RECORDS MANAGEMENT /4/2016 Susan McKinney, CRM University of Minnesota 1

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1 RECORDS MANAGEMENT 101 of Minnesota 1

2 WHAT IS RECORDS MANAGEMENT? Records Management is the systematic control of records from creation to final disposition. of Minnesota 2

3 WHAT IS A RECORD? Definitions vary Look to your organization to define official record ISO 15489: information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business. of Minnesota 3

4 WHAT IS NOT A RECORD? Also need to define what is not considered a record: Drafts Notes Published material of Minnesota 4

5 OBJECTIVES OF A RECORDS MANAGEMENT PROGRAM OLD DEFINITION: Save Space Save Time Save Money Protect the Organization NEW FOCUS: Compliance Protection Accountability Availability Integrity Retention Disposition Transparency of Minnesota 5

6 COMPONENTS OF A RECORDS MANAGEMENT PROGRAM Policies and Procedures Records Retention Schedules Electronic Records Active Records Management Disaster Planning Vital Records Records Storage Records Disposition Archives of Minnesota 6

7 HOW DO WE START? What is the goal? Whose idea and what do they want? Is there a time frame for completion? What is the culture of the organization? What resources will you have? What, if anything, is already in existence? of Minnesota 7

8 HOW DO WE START? Executive Sponsor Advisory Committee Compliance Legal Information Technology Business Processes Policies of Minnesota 8

9 HOW DO WE START? Records Inventory of Minnesota 9

10 WHAT IS A RECORDS INVENTORY? Records Inventory A detailed listing that includes the types, locations, dates, volumes, equipment, classification systems, and usage data of an organization's records in order to evaluate, appraise, and organize the information Source: Establishing Alphabetic, Numeric, and Subject Filing Systems (ANSI/ARMA ). [2]. See also physical inventory and records survey. ARMA International Glossary of Records and Information Management Terms

11 RECORDS INVENTORY Determines the extent and nature of the organization s present systems Identifies the types of business activities conducted by the organization Ascertains the value of the information currently stored Identifies the location and format of information created and received by the organization of Minnesota 11

12 RECORDS INVENTORY Can be done in-person or by questionnaire Must include ALL FORMATS of information Should include Active and Inactive records Inventory Form of Minnesota 12

13 INVENTORY FORMS Name of person interviewed and date Office maintaining files Location Title Inclusive Dates Description Arrangement Medium Volume? File Break Reference Activity Vital Records status Duplication Location Record Retention

14 INVENTORY FORMS - ELECTRONIC Name of System Acronym Purpose of System Information Content: Description of data, time span, update cycle, applications the system supports, how data manipulated, other versions of system Source of system input, eg scanned, keyed in, migrated from other system Major outputs, eg reports, publications Description of Indexes, if any Hardware and Software Environment Contact information for system manager Documentation, eg user manual, data dictionary System Dates Retention Requirements Is the system linked to other systems?

15 RECORDS RETENTION SCHEDULES Administrative Fiscal Legal Historical Scientific or Research Value of Minnesota 15

16 RECORDS INVENTORY Data Map versus Records Inventory for Electronic Records Time consuming process Can be done in pieces, broken down by function of the business How you do this is dependent on resources, time and interest of Minnesota 16

17 WHAT IS A RECORDS SERIES? A set of records grouped together because they relate to a particular subject or function, or result from the same activity. of Minnesota 17

18 RETENTION SCHEDULES Determine how you will organize: Function Program Determine what type of schedule you will create: Big-Bucket Individualized of Minnesota 18

19 RECORDS RETENTION SCHEDULING Transactional records usually scheduled on an annual or chronological basis Reference records disposition usually depends on the occurrence of an event that makes the information obsolete Housekeeping records facilitate achievement of a functional goal. Usually lose value once task is completed. Duplicate records disposition usually depends on the administrative needs of the department. Would like to keep as short as possible, or not filed at all. of Minnesota 19

20 HOW DO WE DETERMINE RETENTION? Federal and State Statutes Regulatory Agencies Fiscal and Administrative Needs Historical Records Appraisal of Minnesota 20

21 RETENTION SCHEDULES Approvals Implementation Education and Training of Minnesota 21

22 RECORDS MANAGEMENT PROGRAMS Active Records Paper Active Records Electronic Inactive Records Paper Inactive Records Electronic of Minnesota 22

23 ACTIVE RECORDS: FILES MANAGEMENT Files Management is the process of arranging and sorting records so that they may be found quickly. of Minnesota 23

24 OBJECTIVES TO EFFICIENT MANAGEMENT OF FILES Preserve the order of the records Retrieval Continues to function regardless of personnel and organizational changes Retention of information. of Minnesota 24

25 FILING SYSTEMS AND EQUIPMENT Many offices still using, creating and receiving paper records. Storage of paper records takes space and equipment. Many offices do not have a file guide or index only the person doing the filing knows the system. Filing equipment has a significant impact on the efficiency and effectiveness of filing system. of Minnesota 25

26 CRITERIA FOR SELECTING RECORDS STORAGE AND RETRIEVAL SYSTEMS Form of Records Frequency of Use Personnel Space Requirements or Limitations Protection and Security Length of Storage Time of Minnesota 26

27 CRITERIA FOR SELECTING FILING EQUIPMENT Space Utilization Accessibility Mobility Security of Minnesota 27

28 FILING SYSTEMS RECORDS ARE MOST OFTEN REFERRED TO BY: Individual or Organization Name Subject Location Number Date of Minnesota 28

29 FILING Filing is the actual placing of records within the file system. Locate file Remove entire file Insert papers face forward Arrange chronologically Fold each sheet of oversized materials of Minnesota 29

30 GENERAL GUIDELINES FOR Use Outcards FILING Never pull one piece of information out of a file Never title a folder miscellaneous Always keep a file guide Always label drawers and shelving units Always leave plenty of working space in drawers of Minnesota 30

31 GENERAL GUIDELINES FOR FILING Never overstuff file folders Place documents in the file folder in a consistent manner Always back-up magnetic media files Never file duplicates of Minnesota 31

32 ELECTRONIC RECORDS An Electronic Records Series is defined as a separate, discrete body of computer data (text files, data files or image files) that is maintained within a computer system, application or database and is logically related, serves a common purpose or function, and can thus be considered as a separate unit for purposes of developing an electronic records retention schedule. of Minnesota 32

33 ELECTRONIC RECORDS GUIDELINES Text and Data Files: Electronic records which are meant to be documents and are generally developed through a word-processing or database application. Can be retained in either hard-copy or electronic form. Should delineate which form is considered the master record. of Minnesota 33

34 ELECTRONIC RECORDS GUIDELINES Fiscal records: Usually reside in electronic form at the creation. More and more forms are generated electronically, and fiscal data is kept in data warehouses. Make sure to check regulatory requirements for retaining electronic fiscal documents, e.g. IRS has very specific guidelines. Can be moved to other media for longer-term retentions. Usually on-line for a short amount of time, then stored electronically in near-line or offline storage of Minnesota 34

35 ELECTRONIC RECORDS Electronic Mail: GUIDELINES Usually the person transmitting or receiving the message responsible for retention in accordance with established retention periods Retention periods should be based on content, not media Organizations should have Electronic Mail Policies governing useage of Minnesota 35

36 ELECTRONIC RECORDS WEB RECORDS Types of information created Regulatory Requirements Ownership of information Master copy Historical Complexity of documents of Minnesota 36

37 Types of Information Created Original materials resulting from interactive uses--e.g. public hearings and town meetings. Information published on the web and not in print format of Minnesota 37

38 ELECTRONIC RECORDS Important to know not only the records series, but also information about the media. Software Hardware Updates Backups Migration strategies Are inactive records purged or archived? of Minnesota 38

39 RECORDS MANAGEMENT PROGRAMS Vital Records Programs Disaster Planning Risk Management of Minnesota 39

40 VITAL RECORDS PROGRAM OBJECTIVES Recreate Financial Position Fulfill Obligations to Customers, Employees and Outside Interests Provide Inventories of Properties and Assets Resume Data Processing Operations Resume Operations of Minnesota 40

41 6 ELEMENTS TO VITAL RECORDS PROGRAM Assignment of Program Responsibility Evaluation of Potential Disasters Identification of Critical Business Functions/Vital Information Selection of Appropriate Protective Measures Periodic Program Review TEST of Minnesota 41

42 WHAT IS A VITAL RECORD? That information that is absolutely necessary to resume business operations. of Minnesota 42

43 VITAL RECORDS SURVEY Record Series Name Description Location Retention Format Updating Frequency Justification of Minnesota 43

44 PRIORITIZING SURVEY RESULTS Organization function chart Organization-wide committee Risk Analysis of Minnesota 44

45 RISK ANALYSIS Replacement Value Consequential Value Contingent Value of Minnesota 45

46 VITAL RECORD PROTECTION Hot-site/Cold site Duplication for dispersal Off-site remote storage On-site storage Magnetic Media storage of Minnesota 46

47 WHAT IS A DISASTER? A DISASTER CAN BE DESCRIBED AS AN UNEXPECTED EVENT WITH DESTRUCTIVE CONSEQUENCES. of Minnesota 47

48 WHAT IS A DISASTER? THE ACT OF RECOVERING THAT WHICH WE DID NOT EXPECT TO LOSE AT A TIME THAT WE LEAST EXPECTED TO LOSE IT. of Minnesota 48

49 KEYS PREVENTION PREPAREDNESS RESPONSE of Minnesota 49

50 DISASTER PREVENTION SURVEY OF HAZARDS. A. EXTERNAL HAZARDS B. INTERNAL HAZARDS of Minnesota 50

51 EXTERNAL HAZARDS TYPE OF BUILDING ROOF LANDSCAPING CONSTRUCTION PARKING LOTS/DRAINAGE of Minnesota 51

52 INTERNAL HAZARDS AIR CONDITIONING/HEATING SYSTEM PLUMBING PIPES ELECTRICAL SYSTEM HOUSEKEEPING HAZARDOUS MATERIALS of Minnesota 52

53 INTERNAL HAZARDS STORAGE AREAS EMPLOYEE TRAINING FLOOR PLANS INTERNAL CONSTRUCTION of Minnesota 53

54 DISASTER PREPAREDNESS A DISASTER PLAN IS A WRITTEN, APPROVED, IMPLEMENTED AND PERIODICALLY TESTED PROGRAM TO IDENTIFY, PROTECT, AND RECONSTRUCT/SALVAGE AN ORGANIZATION'S VITAL AND HISTORICAL RECORDS AND TO ESTABLISH PROCEDURES FOR THE IMMEDIATE RESUMPTION OF BUSINESS OPERATIONS IN CASE OF A DISASTER. of Minnesota 54

55 4 GOALS OF A DISASTER PLAN IDENTIFY AND PROTECT YOUR VITAL RECORDS REDUCE THE RISK OF DISASTERS ENSURE YOUR ABILITY TO CONTINUE OR RESUME OPERATIONS AFTER A MAJOR DISASTER. ENSURE YOUR ABILITY TO RAPIDLY RECONSTRUCT ESSENTIAL INFORMATION AND/OR SALVAGE DAMAGED RECORDS. of Minnesota 55

56 COMPONENTS OF A DISASTER PLAN POLICY STATEMENT DISASTER TEAM TELEPHONE TREE EMERGENCY PHONE NUMBERS EMERGENCY PROCEDURES RESOURCES of Minnesota 56

57 COMPONENTS OF A DISASTER PLAN INSURANCE VITAL RECORDS NETWORKS/COMPUTERS/DATA PUBLIC RELATIONS APPENDICES of Minnesota 57

58 CONCLUSION THE BEST WAY TO PREVENT A DISASTER IS TO PLAN FOR ONE of Minnesota 58

59 RECORDS MANAGEMENT PROGRAMS Records Storage Records Disposition Historical Records/Archives of Minnesota 59

60 RECORDS STORAGE On-Site Off-Site Vaults Active vs. Inactive Outsourcing vs. Inhouse of Minnesota 60

61 RECORDS DESTRUCTION Recycling Shredding Destruction Requests and/or Certifications of Minnesota 61

62 RECORDS DESTRUCTION When should the retention schedule not be followed for records destruction? Litigation Audit Investigations of Minnesota 62

63 RECORDS MANAGEMENT PROGRAMS Marketing Education and Training of Minnesota 63

64 HOW TO SELL THE PROGRAM Creativity and Enthusiasm Helpful and Cooperative Cookies and Treats Education News Articles Assistance to departments or units with all aspects of your program of Minnesota 64

65 RECORDS ARE FOOD FOR THOUGHT NOT FOR MICE. Control your records before they control you. of Minnesota 65

66 QUESTIONS? COMMENTS? CONCERNS? of Minnesota 66

67 Susan McKinney, CRM Records & Information Management University of Minnesota 502 Morrill Hall 100 Church St. SE Minneapolis, MN (612) (612) (fax) of Minnesota 67