1 | Records Management – Records Officer Training Part 1 Oct 2016
Records Officer Training Script
Slide 1
Records Management for Records Officers and Assistants
Welcome to Records Management. I’m Felicia Kennedy, the Management Analyst for the Maine State Archives and will be conducting this webinar.
Slide 2
Overview
This Training is for Records Officers and Assistants who haven’t had any training before or for those who would like a refresher course. What we are offering in this session, coupled with what Rob Caron will cover in Part II is what we like to consider our minimum standards training. These are the topics we will be covering in Part I.
- An Introductionto Records Management including
- Terms and responsibilities
- And the Benefits of having a proper program in place
- How to Gain Control of Records (including)
- Appointing Records Officers
- Conducting an Inventory
- Retentions and Schedules
- Also a Brief Overview of Email Records Management
- And then any Questions you have at the end of the webinar
Slide 3
The Exciting World of RM
It’s very difficult to make records management an exciting topic. Having a head flop on top of a desk is a common reaction when you tell people you’re going to be talking about Records. It’s by no means adynamic topic BUT it’s an important, often overlooked element of every employee’s job. Consider that this is something that is taking place on a consistent basis, yet many state employees aren’t even aware of it; agencies aren’t planning or putting procedures in place for it; yet records are being created and destroyed in all state government agencies on a daily basis. The question is…are those records being properly managed?
Slide 4
The Records Management Program Exists Because it’s written in Maine Statute
According to Title 5, Chapter 6, every state agency must establish and maintain an active, continuing records management program
The Statute is based on an ISO Standard for Records Management
The International Standard for Organizations states the following:
“The standardization of records management policies and procedures ensures that appropriate attention and protection is given to all records, and that the evidence and information they contain can be retrieved more efficiently and effectively, using standard practices and procedures.”
Slide 5
So What Is Records Management
Records management is controlling records throughout their life cycle. This begins with the creation or receipt of a record and continues through maintenance, use, and disposition. Records Management is the process by which an agency captures and maintains evidence of and information about its programs, transactions, policies and procedures in the form of records.
Slide 6
However…the problem is Records Management is very seldom an exact science.
Part of Records Management – including knowing what to retain and what to dispose of at the proper time - is using common sense and sound judgment.
Determining what is and isn’t a record and deciding retention periods is not always black and white – believe me, I wish it were because my job would be made so much easier. There can be several variables or gray areas so it’s important to ask questions and find answers so records aren’t kept needlessly or worse, that records aren’t improperly disposed of.
Slide 7
Some Records Management Misconceptions
Records management is all about getting records out of your office.
Obviously this is not the case. We are sympathetic to space needs because we have them also but we are trying to make agencies understand that if records are managed properly then perhaps they won’t have the same kind of space problems they have now. Sometimes you have to address the process and see what can be changed instead of doing the same old, same old. Meanwhile, boxes pile up in your office and at the Records Center.
Most state employees don’t need to concern themselves with records management because they are not creating anything important.
All state employees are creating public records. Unfortunately there are still many employees who don’t realize this and many agencies which either have outdated schedules or no schedules at all.
If you don’t know what to keep, it’s better to keep everything – just in case.
Any employee should be checking with their Records Officer, Director, General or Agency Schedules, policies or statutes or the State Archives to find out what records they should be keeping. If any agency has had a FOAA you know hanging on to records longer than you should can have its own legal risks, not to mention sifting through records unnecessarily.
All emails should be saved/”archived”
I’m concerned that this is being presented by OIT and I’ll be addressing this later on.
If your agency doesn’t send anything to the Records Center they don’t need schedules.
All records – which are deemed as records - need to be on a schedule.
The Records Center and Archives are the same thing.
They are not. The Records Center is for retention materials; the archives is for archival records. And Rob will be talking about this in more detail tomorrow.
Slide 8
What Records Management Does
Provide standards, procedures and techniques for effective management of records
This is done through our Chapter Rules, the General Schedules and other information we have available on our website.
Help establish retention schedules
Agencies write their own schedules but Records Management will review, give guidance and approve submitted schedules
Provide training for records officers and others in state government
Provide assistance in the transfer and retrieval of records to/from the State Records Center and also the transfer of records to the Archives
Slide 9
State Agency Responsibility
To appoint an Agency Records Officer
1)Records Officers should have a thorough knowledge of the organization and its functions
2)Per Title 5, agencies should have an established records management program/policy in place
3)Agencies need to inventory their records and have updated schedules
4)Depending on how big the agency is they might need to appoint Assistant Records Officer(s)
5)And make sure all employees are informed and trained
Slide 10
Major Reasons Why Good Records Management Is Vital
Supports Better Management Decision Making
Managers who have access to relevant data make better, more informed decisions.
Improves Efficiency and Productivity
A good records management program can help reduce the volume of records stored and improve retrieval systems – so the right record gets to the right person as quickly as possible. It can free up office space by removing inactive or obsolete records.
Promotes a Positive Reputation for State Agencies.
Records Management promotes a positive image by complying with FOAA requests in an efficient manner by being able to produce requested records. Also by having up-to-date schedules and following those retentions.
Protects the Agency and the Records
Meets statutory and regulatory requirements including archival, audit, and oversight activities.
Helps to document the historical records of the agency.
Safeguards Vital Information
Every organization, public or private, needs a comprehensive program for protecting its vital records and information from disaster, whether that’s environmental or technological.
Slide 11
Implications of Improper Record Keeping
Maine State Agencies produce records every day. They are vital component to the functionality of the agency for administrative, fiscal, legal and historical purposes.
Improperly destroying records is not the answer to Records Management and neither is keeping everything. There are implications for both. If your agency doesn’t have a Records Management program you could be in danger of some of the following:
A Presumption that records are correct and complete
Wasting resources/money to store unnecessary records
An Inability to locate information when needed
Destruction of records before they have met fiscal or legal requirements or possible destruction of archival records
Having to produce records for a FOAA request that otherwise should have been destroyed
Slide 12
Key Aspects of Records Management
Records Management programs should be concerned with the following aspects of information management:
Ensuring compliance with all relevant recordkeeping laws and regulations
Agencies should be aware of any federal laws, state statutes or policies regarding their records.
Organizing active records for retrieval when needed
This would be within the agency and would include paper or electronic records
Determining how long to keep recorded information (known as retention and disposition)
Managing inactive records
Those records that are typically transferred or destroyed once closed
Protecting vital records
Those records which are absolutely essential to continue and/or reconstruct the operations of a state agency
Slide 13
Gaining Control of Records – the 10 Step Plan
To gain control of your agency’s records, you need to find out what records exist and how to manage them – what we like to call the 10 Step Plan.
Slide 14
Step 1 – Agencies need to appoint Records Officers and Assistants
A Records Officer Coordinates the Department’s Records Management Program and ensures records management activities are performed in accordance with standards and procedures.
Records officers should collaborate with others within the agency, at all levels, to understand their business needs and functions and what records are necessary to conduct business activities.
You don’t need to be an expert on everything, but you must know enough to be able to ask the right questions and provide proper records guidance. It’s important to communicate across your agency that records management is an integral part of state government operations.
Slide 15
Step 2 – Conduct a Records Inventory
An Inventory is perhaps the most important, often overlooked step in the Records Management process. BUT…if you don’t know what you have, how can you properly schedule your records and determine what should stay and what should go.
Slide 16
What is a Records Inventory
A records inventory is a high level survey of all types of information created, received and stored by your agency.
An Inventory can tell you:
•What Records Series you have(those are common collections of record types)
•Different Formats of records (whether they are paper, digital, or some other format)
•Location of records
•Date range
•And the Volume of materials you have
So basically the inventory tells you what records the organization has, how many there are, and where they are located.
It’s your role as a records officer to make sure your agency is maintaining adequate records. An often-overlooked benefit of a well implemented Records Management program is that identified weaknesses in records can reflect weaknesses in processes and procedures. One way to identify these weaknesses is by conducting an office inventory.
For further information you can watch the National Archives video on this subject.
Slide 17
What is a Record?
"Record" means all documentary material in any format (paper, microfilm, digital records including e-mail messages and attachments), made or received and maintained by an agency in accordance with law or rule, or in the transaction of its official business.
Things to keep in mind:
•Records can have varying purposes per agency
•Focus on the material’s content, not the format
•Most non-retention or “non-record” materials don’t document government business or they’re duplicate documents which can be destroyed
Slide 18
If you answer “yes” to any of these questions, you may have a record:
Was it created in the course of business?
Things like correspondence, agreements or studies
Was it received for action?
Such asFOAA requests or other types of information requests
Does it document agency activities and actions?
Things like meeting minute or project reports
Is it mandated by statute or regulation?
Records specific to the functions of the agency; outcome based records
Does it support financial obligations or legal claims?
Items such as grants, contracts or case files
Does it communicate agency requirements
Such as guidance documents or policies and procedures
Slide 19
Are Drafts Considered Records?
Drafts or working documents are records but they might only need to be retained for a brief period of time if they do not have significant administrative, legal, fiscal or historical value.
The July 2016 Advice Bulletin has more information on drafts. That is located on the Records Management website.
Slide 20
If you answer “yes” to any of these questions, you may have non-retention material (or “non-records”):
Is it reference material?
Such as vendor catalogs,technical journals
Is it a convenience copy?
These are duplicate copies of correspondence or directives that are
specifically for convenience purposes where no action is required
Is it a stock copy?
Things like agency publications or forms
Is it only related to your personal affairs?
Those personal messages like (“Can we do lunch?”)or personal schedules
One Note here: Be careful about Personal planners or calendars - they can be considered records if they document agency activities
For more information you can watch the National Archives video on non-records.
Slide 21
Create an Agency Records Management Policy
A policy will guarantee all employees are following the same records management procedures.
Where records will be kept
"centralized" area, or "decentralized" at individual work stations
What type of documents to be included in the record files
How draft documents, working papers, and copies will be handled
How records will be maintained for access
So all employees who need access can find and retrieve what they need – including confidential records
Who will be responsible for maintaining the record copy
Who is considered as the records custodian
Slide 22
Step 4 – Record Retention Schedules
Slide 23
Managing Your Records
In order to have the information you need (when it’s required), there has to be a way to identify, manage and retain records for the right amount of time.
Records are managed by creating agency schedules – a document that tells you how long to keep specific types of records and what should happen to them when they have served the needs of the agency.
We live our lives by schedules and agendas – giving us a certain structure to know where we need to be and what we need to do on a day-to-day basis.
This is how we need to think of our records. That without a proper schedule, people can’t be expected to know what the purpose of the records are, who is responsible for keeping them, where they can be found and for how long they need to be retained.
Slide 24
What Is a Records Schedule?
A records schedule describes agency records, establishes a period for their retention by the agency, and provides mandatory instructions for what to do with them when they are no longer needed for current Government business.
This includes digital records or records that never leave the creating agency's custody.
In other words – all records (anything that has been determined as a record) needs to be on a schedule
Always remember that Content, not format, determines retention.
Slide 25
What is the Life Cycle of a Record?
Creation: Receiving or generating information for the first time
Active/Current: Using or referring to records regularly in the course of business
Retention is in the agency until records are closed
Inactive/Noncurrent: Infrequent need for the records but they still need to be kept for fiscal, administrative, legal, or historical purposes per approved retention schedules
These are closed record. Retention can be served at the Records Center or within the agency.
Disposition: Is the final fate of a record – will these records be destroyed or are they archival (what some people refer to as permanent retention)
Slide 26
Types of Retention Schedules
There are 2 types of retention schedules
General Record Schedules- issued by the Maine State Archives to provide retention and disposition standards for records common to most State agencies (there are currently 17 schedules)
Agency Schedules– for those records unique to the office
Before submitting a new schedule be sure that a General Schedule doesn’t exist.
Slide 27
Do your records fall under the State General Schedules?
This is the list of the 17 General Schedules
Most of the General Schedules relate to audit, fiscal, correspondence or other administrative office procedures.
If you are retaining records in your office that fall under the General Schedules, an agency schedule is not necessary. HOWEVER, if you will be sending records to the Records Center or Archives (such as Commissioner’s Correspondence), you will need an agency schedule to provide unique schedule and series identifiers.
Federal laws or other mandates can supersede the State General Schedules and agencies may need to keep records longer than the General Schedule recommended times. An agency schedule would then be necessary.
Slide 28
Next Step - By conducting an Inventory of agency records, you have determined what records you have, where they are located, dates records close, what similar “series” of records there are, where the “record copy” resides, etc.
With the Record Retention Schedule, you now have to determine what purpose these records serve to the daily operations of the agency and beyond.
Slide 29
Determine Retention and Disposition of Your Records
Unfortunately, there is no universal guide to determine retention periods and disposition methods. Each record series needs to be examined individually in regard to usage patterns, departmental needs, historic value and legal issues.
Agency retentions can vary greatly depending on a number of factors. Even records that may appear similar between two departments can have different usage patterns, and thus require different retention strategies.
In order to dispose of records at the appropriate time, you need to evaluate them in relation to their period of usefulness or specific requirements foryour department
Questions to ask: