RECORDS MANAGEMENT 101 - WordPress.com · what is records management? ... establishing alphabetic, ... vital and historical records and to establish procedures for the immediate

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

RECORDS MANAGEMENT 101

4/4/2016Susan McKinney, CRM University

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WHAT IS RECORDS MANAGEMENT?

Records Management is the systematic control of records from creation to final disposition.


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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.”

WHAT IS NOT A RECORD?

Also need to define what is not considered a record:• Drafts• Notes• Published material


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OBJECTIVES OF A RECORDS MANAGEMENT PROGRAMOLD DEFINITION:

Save Space Save Time Save Money Protect the Organization

NEW FOCUS:Compliance ProtectionAccountability AvailabilityIntegrity RetentionDisposition Transparency


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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

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?


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HOW DO WE START?

Executive Sponsor Advisory Committee

• Compliance• Legal• Information Technology• Business Processes

Policies


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HOW DO WE START?

Records Inventory

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 12-2005). [2]. See also physical inventory and records survey.

ARMA International Glossary of Records and Information Management Terms


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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


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RECORDS INVENTORY

Can be done in-person or by questionnaire

Must include ALL FORMATS of information

Should include Active and Inactive records

Inventory Form

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

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?


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RECORDS RETENTION SCHEDULES

Administrative Fiscal Legal Historical Scientific or Research Value

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


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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.

RETENTION SCHEDULES

Determine how you will organize:• Function• Program

Determine what type of schedule you will create:• Big-Bucket• Individualized


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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.


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HOW DO WE DETERMINE RETENTION?

Federal and State Statutes Regulatory Agencies Fiscal and Administrative Needs Historical Records Appraisal

RETENTION SCHEDULES

Approvals Implementation Education and Training


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RECORDS MANAGEMENT PROGRAMS

Active Records – Paper Active Records – Electronic Inactive Records – Paper Inactive Records – Electronic


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ACTIVE RECORDS: FILES MANAGEMENT

Files Management is the process of arranging and sorting records so that they may be found quickly.


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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.


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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.


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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


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CRITERIA FOR SELECTING FILING EQUIPMENT

Space Utilization Accessibility Mobility Security


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FILING SYSTEMS

RECORDS ARE MOST OFTEN REFERRED TO BY:

• Individual or Organization Name• Subject• Location• Number• Date


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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


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GENERAL GUIDELINES FOR FILING

Use Outcards 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


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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


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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.


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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.


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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 off-line storage


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Electronic Mail: • 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


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ELECTRONIC RECORDS–WEB RECORDS

Types of information created Regulatory Requirements Ownership of information Master copy Historical Complexity of documents


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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


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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?


Vital Records Programs Disaster Planning Risk Management


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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


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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


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WHAT IS A VITAL RECORD?That information that is absolutely necessary to

resume business operations.


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


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PRIORITIZING SURVEY RESULTS

Organization function chart Organization-wide committee Risk Analysis


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RISK ANALYSIS Replacement Value Consequential Value Contingent Value


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


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WHAT IS A DISASTER?

A DISASTER CAN BE DESCRIBED AS AN UNEXPECTED EVENT WITH DESTRUCTIVE CONSEQUENCES.


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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.


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KEYS PREVENTION PREPAREDNESS RESPONSE


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DISASTER PREVENTIONSURVEY OF HAZARDS.

A. EXTERNAL HAZARDSB. INTERNAL HAZARDS


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


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INTERNAL HAZARDS AIR CONDITIONING/HEATING

SYSTEM PLUMBING PIPES ELECTRICAL SYSTEM HOUSEKEEPING HAZARDOUS MATERIALS


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INTERNAL HAZARDS STORAGE AREAS EMPLOYEE TRAINING FLOOR PLANS INTERNAL CONSTRUCTION


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DISASTER PREPAREDNESSA 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.


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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.


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COMPONENTS OF A DISASTER PLAN

POLICY STATEMENT DISASTER TEAM TELEPHONE TREE EMERGENCY PHONE NUMBERS EMERGENCY PROCEDURES RESOURCES


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COMPONENTS OF A DISASTER PLAN

INSURANCE VITAL RECORDS NETWORKS/COMPUTERS/DATA PUBLIC RELATIONS APPENDICES


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CONCLUSION

THE BEST WAY TO PREVENT A DISASTER IS TO PLAN FOR

ONE


Records Storage Records Disposition Historical Records/Archives


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RECORDS STORAGE

On-Site Off-Site Vaults Active vs. Inactive Outsourcing vs. Inhouse


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RECORDS DESTRUCTION

Recycling Shredding Destruction Requests and/or

Certifications


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RECORDS DESTRUCTION

When should the retention schedule not be followed for records destruction?• Litigation• Audit• Investigations


Marketing Education and Training


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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


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RECORDS ARE FOOD FOR THOUGHT…NOT FOR MICE.

Control your records before they control you.


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QUESTIONS?

COMMENTS?

CONCERNS?


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Susan McKinney, CRMRecords & Information ManagementUniversity of Minnesota502 Morrill Hall100 Church St. SEMinneapolis, MN 55455

(612) 625-3497(612) 626-4434 (fax)[email protected]

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RECORDS MANAGEMENT 101 - WordPress.com · what is records management? ... establishing alphabetic, ... vital and historical records and to establish procedures for the immediate