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Records Management A guide to controlling your records… before they control you. Presented to PACTC May 2010.

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1 Records Management A guide to controlling your records… before they control you. Presented to PACTC May 2010

2 Of all our national assets, Archives are the most precious; they are the gift of one generation to another and the extent of our care of them marks the extent of our civilization. Arthur G. Doughty, Dominion Archivist, 1904-1935

3 What is a record? Content in any format…  Paper files  USB  Cell phone/handheld  Laptop/computer  CD/DVD  Camera  Video  Floppy disc, etc.

4 The list continues to grow...  e-mail and their attachments  web sites  data bases  text messages  instant messages  voice mail (can now be converted to e-mail)  digital photos  scanned documents  Outlook calendars  Spreadsheets  word-processing documents  Wiki’s, blogs, Twitter

5 Fundamentals are the SAME with electronic records (including e-mails) as with traditional paper records. Content drives retention periods and archival requirements. Media, storage method or form does not drive retention periods and archival requirements.

6 Apply same decisions to retaining and archiving an electronic record as you would another traditional format. Chapter 40.14 RCW “…regardless of physical form or characteristics, and including such copies thereof, that have been made or received by any agency of the state of Washington in connection with the transaction of public business.” In other words…

7 Nearly everything is a public record… …but few require archival. Delete, shred or recycle when appropriate. …but beware, executive records are often exceptions to the rules! FACT: transfer 2.5%; destroy/discard 95-98%

8 What is records management? “The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.” (ISO 15489:2001 (International Standard for Records Management)

9 Who is responsible? RCW 40.14.040 mandates a records officer’s responsibility: Inventory, or manage the inventory, of all public records at least once during a biennium for disposition scheduling and transfer action, in accordance with procedures prescribed by the state archivist….” EVERY public employee has a level of responsibility for the care and management of public records.

10 If only we knew what we already know. Glenn Sanders

11 Why care? Records and information are an agency’s most important assets—a vital necessity. Records provide the continuity for the function and mission of an agency, and show the evolution of its existence, culture, society, etc. Applying disposition reduces the volume needed to be searched and produced. It’s liberating. Requests for archival records transferred to the state archives becomes THEIR responsibility. It promotes effective business practices. It promotes efficient use of resources. It promotes compliance and cost savings in discovery/disclosure issues.

12 The best laid plans of mice and men are all filed away somewhere. Anonymous

13 Get started… Take a tour. Know your archivist. Be proactive.

14 Records Responsibilities on Campus  Public Records Officer  Records Coordinators  Records Manager  Records Custodian

15 Retention Schedules A guide for records that need to be retained for operational, fiscal, legal or historical reasons. A retention schedule serves as an “instruction sheet” for the rules of care and preservation of public records.

16 Record Series (WAC 434-663-270) A group of records that are created, used, filed and disposed of as a unit because they relate to a particular…function, result from the same activity, or document a specific kind of transaction. (easier to manage as a group instead of single entities)

17 What does a retention schedule tell you? Record Series Title & Description (what they are called and what’s contained therein) Retention period (minimum required for retention) Cut-off (date or event that signals beginning of retention period) Two Types Date (Calendar year, fiscal year, end of biennium) Event (Termination of employment, termination of contract, until superseded) Disposition Authority Number (DAN) Disposition Remarks & Archival Designation (comments and if series is deemed archival, essential or may be destroyed) Cut-off + Total Retention = Disposal Date

18 Dedicated Retention Schedules Use the dedicated schedule (CTC) ONLY when the record would not be found in the general retention schedule. (i.e., if it’s college- system specific, it would not be in the general schedule, such as curriculum or grading records) For a time, some common records will appear in both schedules, with different retention requirements. The general schedule takes precedence. Use the record series number in the general schedule if available.

19 CTC Retention Schedule Professional Leave Grading records Curriculum General Retention Schedule Board Minutes Correspondence (incoming & outgoing) Executive-level/mgmt minutes Subject files (different for exec/mgrs) (vs. correspondence) HR Documents Photos Combined Fund Drive Financial Records Some examples…

20 Special Note—Executive Level Correspondence vs. Subject Files Most executive level correspondence (incoming or outgoing) requires retention. Be careful not to bury it in subject files that may not require retention. Consider “correspondence files”—incoming and outgoing.

21 Questions to consider (along with the retention schedule)… Does it address your work, office or program and document actions taken? Does it require action? Will someone else need it for operational, fiscal or legal reason? Will I need it in the future? Will this substantiate a decision, action, policy, financial transaction, proof of ownership, etc. ? Does it relate to policies, significant decisions, commitments or important meetings? Does the message facilitate or document actions affecting the conduct of business? Does it request or provide substantive information? Does the content protect rights/authority, legal, fiscal, property, other?

22 Primary vs. Secondary Records Methods to Determine Whose record is it? Only one of a “unique” record typically needs to be maintained. Who does so? Interdepartmental agreements (internal retention schedule) Stamp to identify (originals vs. copies) blue ink vs. black ink It’s not black and white!

23 Primary vs. Secondary If you know, remove the guesswork...


25 …label your files (electronic and hard-copy) with retention information. Auditor, WA State 2008-09 (no retention) Correspondence, Incoming 2008-09 (4 yrs, archival 6/14)

26 A word about drafts and primary copies… Minutes When do they become the official record? And are drafts public records? Correspondence hard copy e-mail Draft Project Files—Major projects which show development stages may be an exception.

27 If you purge it, they will come. Jan Schuffman

28 Public records and legal discovery… Litigation Holds Everything must be kept, regardless of retention & disposition until the case is resolved. (whether you’ve been notified or not) Must keep information when there is “reasonable anticipation of a lawsuit.” (even if you ordinarily could have discarded it) FACT: The number one most requested items for discovery are now e-mails! If it exists somewhere…anywhere in your “possession”…you must produce.

29 In 2008, the average user sent and received 160 e-mails per day. Average 30% increase in growth in electronic records per year. What’s in your inbox? (How many e-mails?)

30 e-mail you don’t need…delete them! (again, content and function direct value, not format) Content of a transitory nature Spam/junk mail Personal messages/chit-chat Social, meeting or announcement type of notices (exception: applicable Agendas) Information only—requires no action (think through this)

31 Who has records? What are the records? Where are the records? Why are those records there? How do we manage those records? Identify records managers Do you really need to keep it? Do you “get to” keep it? Assessing Your Records…

32 Ready to archive or toss? Archival Form Records Destruction Logs Boxes

33 Records management means never having to say you’re sorry! Jan Schuffman

34 Applicable Laws & Rules RCW 40.14 Public Records Act (1957) RCW 40.10 Essential Records RCW 42.56 Public Records Act WAC 434-663 Imaging Systems WAC 434-662 Preservation of Electronic Public Records

35 The end… …which is just the beginning. Presented by Ann Jurcevich Executive Assistant to the President Spokane Falls Community College (509) 533-3535

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