Records Retention Workshop Waukesha County June 2016
Presenters Katie Scanlan, CRM, IGP Centralized Records Supervisor Waukesha County Records Management Ben O Donnell Records Analyst Waukesha County Records Management
Agenda - Records Past and Present - Waukesha County Initiatives - Tips and Strategies
Records Past and Present
The Evolution of the Record OMG did U C? LOL! L8R
Historical Highlights - U.S. and Wisconsin U.S. 1776 Declaration of Independence 1934 National Archives of the U.S. 1943 Records Disposal Act 1950 Federal Records Act 1967 Freedom of Information Act Wisconsin 1848 Statehood 1849 Wisconsin Revised Statutes 1853 Wisconsin Historical Society 1947 Committee on Public Records 1982 Public Records Law
Present Day Challenges Regulatory Compliance Access and Retrieval Efficiency Information Security Privacy Integrity and Authenticity Preservation Destruction Information Overload Cost and Risk Reduction
Waukesha County Initiatives
Waukesha County Formed in 1846 576 square miles 38 municipalities 390,000 inhabitants County government has about 1,400 employees
Records Management Division... Mail Services County Records Center Imaging and Reproduction
... Records Management Division Records Retention Schedules Policies, Procedures and Training Enterprise Content Management
ECM Enterprise Content Management Waukesha County as an enterprise government corporation All content: information, in any media or format, used in the course of County business Manage the content through systems, policies and procedures
Our Information Universe Physical E-Mail Network Drive Web Applications
ECM Initiatives ECM Policy SharePoint Policy E-Mail Management Policy Records Management Policy Records Retention Schedules
ECM Policy Currently under review for approval Objectives, roles and responsibilities, core principles ECM Governance Committee TACTICAL TEAMS CORE GROUP EXECUTIVE TEAM Program Co- Lead Emergency Prep Corp Counsel Records Management Waukesha County ECM Governance Committee ECM Governance Executive Team ** Director of Administration Corporation Counsel ** Items of Countywide importance and issues not resolved at the core level through consensus will be brought to the County Executive s Cabinet for resolution. Program Co- Lead HHS E-Mail Risk ECM Governance Core Group Corp Counsel MEO ECM Governance Tactical Teams Help Desk SharePoint County Clerk PLU IT Infrastructure Training DPW Sheriff IT Operations Workflow
SharePoint Policy Currently under review for approval Roles and responsibilities Project request process Training and support resources Tactical Team approves the project Department submits a Project Request IT and RM evaluate and discuss with Department IT and RM recommend decision to Tactical Team Tactical Team does not approve the project Tactical Team reports all projects to Core Group IT, RM and Department design and implement the project Core Group reports to Executive Team
E-Mail Management Policy Published in April 2016 Roles and responsibilities Retention and disposition Filing practices
Records Management Policy Last published in 2000 Updates in progress Key terms and definitions Roles and responsibilities Records retention schedules
Records Retention Schedules Terms and definitions Processes to develop and update Search and browse options
Tips and Strategies
Records Progress Rules Projects Resources People
Records 101 Records
Creation or Receipt Active Life: Use and Maintenance The Records Life Cycle Semi-Active Life: Nearby Storage Destruction Inactive Storage Destruction Permanent Preservation
Records Inventory
Inventory Information Record Series Title Record Series Description Media, Formats, Locations Current Retention / Disposition Practices Current Volume, Annual Accumulation Regulatory Citations
Records Retention Schedules List of records and retention periods Apply to records in any media or format General schedule for all departments Departmental schedules for individual business units
Determining Retention Periods Administrative Value Legal Value Financial Value Historical Value
Records Retention Schedule Design Record Series ID Record Series Title Record Series Description Recordkeeping Requirements Retention Period State Code Authority
Know the Rules, Make the Rules Rules
Providing Access to Public Records Wis. Stat. 19.31-19.39 Declaration of Policy Definitions Legal Custodians Access Times, Locations, Fees Withholding Access
Destroying Obsolete Public Records Wis. Stat. 19.21 Public Permanent Authorized and systematic destruction decreases the cost of storage, backup and maintenance reduces the risks of security breach makes it easier to find information when you need it
Internal Policies Sending and receiving records Storage media and locations Destruction procedures Security protocols Retention schedule reviews Compliance expectations
Adopt and Adapt Available Resources Resources
Resources WI Public Records Board http://publicrecordsboard.wi.gov/
Resources Wisconsin Historical Society http://www.wisconsinhistory.org/
Resources NAGARA http://nagara.org/ ARMA International http://www.arma.org/ Madison Chapter http://armamadison.org/ Milwaukee Chapter http://www.armamilwaukee.org/ League of Wisconsin Municipalities http://www.lwm-info.org/
Records Management = People Management People
Designers Develop records management policies, procedures, and records retention schedules Research, adopt, and adapt existing resources Secure management approval and support Monitor and measure progress
Approvers Support records management initiatives Trainers Instruct staff on policies and procedures Doers Comply with policies and procedures
Defined Goals = Measurable Success Projects
Project Ideas Investigate and make decisions on stashes Brainstorm on paper reduction initiatives born digital, retain digital, destroy digital Cleanup initiatives: network drives, paper, e-mail, structured data systems, etc. Track statistics
Clean Out the Clutter Not work-related Passed retention periods and not subject to Litigation Hold Duplicate or transitory records that are no longer useful Destruction approved by Public Records Board / Wisconsin Historical Society Can be electronic, paper, multi-media
Destruction Decision Tree NO Have I used it in the last year? Can I reasonably expect to use it in the next year? NO Destroy NO Is it an official record? NOT SURE Retain no longer than the official record Is it on Litigation Hold? YES Suspend all destruction until the Hold is released YES Consult records retention schedule Retain / destroy / offer to WHS per records retention schedule
Clean Up the Rest Consistent filing practices Naming and dating conventions Destruction review dates
Parallel File Structures Recruitment Records E-Mail Paper Server / Database 2016 Recruitment Position A Correspondence Position B Correspondence Position C Correspondence 2016 Recruitment Position A Applications Received Interview Notes Position B Applications Received Interview Notes Position C Applications Received Interview Notes 2016 Recruitment Position A Job Description Job Posting Applications Received Letters Sent Position B Job Description Job Posting Applications Received Letters Sent Position C Job Description Job Posting Applications Received Letters Sent
Celebrate Success Progress
Benefits of Records Management Increase Efficiency and Productivity Reduced Costs and Risks Legal Compliance Complete, Accurate, and Reliable Information Protection from Misuse and Unauthorized Access Defensible Disposition Historical Preservation
Questions? Thank you!