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Records Management Amelia Winstead Government Services Coordinator

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1 Records Management Amelia Winstead Government Services Coordinator
Records & Information Management Services Georgia Archives Data Collection Conference August 2011 Good Morning! I am Amelia, I work in the RIMS unit. Today I will lay the foundations for a successful records management program. Records management deals with the principles and practices for systematic management of recorded information. This training is intended for newly appointed RMOs, experienced RMOs and other agency staff who want a review of specific topics reflecting the scope and responsibilities of a successful records management program in their agency. Now as I go through the presentation, please feel free to ask a question. I will also have allowed some time for questions at the end of each section.

2 What is Records Management?
Goal of RM is to ensure that records are properly retained for legal, compliance and business purposes, and properly disposed of when no longer needed. Part of larger profession of Information Management. Information management is about determining which information created and received by your agency is valuable in some way, based on its content; making sure that this information is properly protected, stored, shared, and transmitted; and making it easily available to the people who need it, when they need it, and in a format that they can rely on. Information management is an umbrella term that includes a variety of disciplines and activities such as - records management - document management - knowledge management - enterprise content management - information security - information privacy - disaster recovery/business continuity - customer relationship management - storage management - data mining All work together to ensure the efficient and effective management of information in the agency.

3 RM - Why is it so Important?
Total Cost of Failure - Lack of compliance with state & federal law, rules, and regulation Citations on audit Government investigation Lawsuits Costs to recover and search for records The price of compliance failure can be huge in both financial and human terms. Failing to follow state law and agency policy because of laziness, lack of oversight, or negligence can and does have profound consequences.

4 Requirements for Records Management
Georgia Records Act (O.C.G.A. § et seq.) Requires each agency to: Create and maintain adequate and proper documentation to protect the legal and financial rights of the government and its citizens To protect records from removal, damage or loss To establish and maintain a records management program and designate a records manager To develop retention schedules for agency records and destroy records only in accordance with those schedules There are two overarching laws that provide the mandate for records management in Georgia government – the Georgia Records Act and the Georgia Open Records Act. So, the main fundamental thing influencing records management in Georgia is the Georgia Records Act. This act was established 1972, and is the enabling legislation behind Records Management in GA. The Georgia Records Act establishes the responsibility of government to treat all public records as public property and to establish a program for managing its records. Specifically, the GA Records Act establishes several requirements that each agency must meet. . .

5 Requirements for Records Management
Georgia Open Records Act (GORA) (O.C.G.A. § et seq) Requires each agency to: Allow the public to inspect and take a copy of any open public record in the custody of the agency – in all media Establish and enforce reasonable rules governing access to the public record The Georgia Open Records Act (GORA) requires each agency to . . . Both acts define a public record and require the establishment of policy, procedure, and rules to manage records. Additional agency specific laws may also impact your records program.

6 Compliance The Records Act and GORA establish a framework in which agency must: Know what information & records it creates and maintains Know how long to keep information Establish policy & procedure for the management of information Manage information in ALL media and formats To be compliant with the Records Act and GORA an agency must: In other words, an agency must establish an active records management program.

7 Let’s Get Started The basics What is a Record? Why are Records important? What is a Retention Schedule?

8 What is a Record? Records management is the control of recorded information Recorded information is any and all information created, received, maintained, or used by an organization in accordance with its mission, operations, and activities Here we will look at a few definitions of what a record is. This definition comes from the ISO international standard for records management. It is a prescriptive standard intended for both public and private organizations, so the definition is rather broad. Records are documentary materials that you create or receive while you do your job. I like this definition because there is no confusion with regards to electronic records. Policy and procedure must exist for records in all media. Retention schedules should not distinguish between media but establish the retention period for the information. Documents & records are dependent on technology to interpret them. certain documents require the correct software, i.e. just recently we updated to Office 2007, not these documents cannot be opened in older versions—must have processes in place to migrate records forward into new software applications. Storage is relatively cheap—servers can hold a lot of data, this becomes a problem because it can holds so much data, it becomes many times a data dump, with no regard to the management of the information—trying to sift through 30TB or more of data to find something would be a nightmare Risk of alteration and deletion—lack of safeguards to protect information and ensure records stay accurate and authentic is important

9 What is a Record? All documents, papers, letters, maps, books, tapes, photographs, computer based or generated information, or similar material prepared and maintained or received in the course of the operation of a public office or agency. Now, the Georgia Open Records Act, defines a record as all documents, paper, letter, maps, books, tapes, photographs, computer based or generated information, or similar material prepared and maintained or received in the course of the operation of a public office or agency. All The definition provided in the state code includes all materials prepared and maintained or received in the course of operation. This definition is from the Open Records Act, and is intended to outline what records are available to the public. Just about everything is available to the public.

10 What is a Retention Schedule?
A list of records maintained by all or part of an organization together with the period of time that the records are to be kept. A successful Records Management program develops retention schedules for its records. Besides be a necessity, records retention schedules are mandated by the Georgia Records Act. Essentially, a records retention schedule is a list of records series maintained by all or part of an organization together with the period of time that each records series is to be kept. It is a “schedule”; a scheduled period of time that a record can or needs to be kept. The preparation of retention schedules is a defining characteristic of records management work. Retention schedules are the core component in a systematic records management program. They provide a foundation upon which other records management activities are based, i.e. disposition or destruction.

11 What is a Retention Schedule?
Types of retention schedules: Common Schedules: retention schedules for records common to all agencies, such a payroll records or personnel records. Agency Specific Schedules: retention schedules for records unique to a single agency. Retention schedules identify records by record series. There are two types of retention schedules applicable to state agency records: Agency specific: retention schedules for records unique to a single agency. These records document the mandated functions and programs of an agency. Agency specific schedules apply to state agencies only. State-wide common: retention schedules for records common to all agencies, such a payroll records or personnel records. These records document functions and programs that all agencies must perform. Common schedules are developed for state government, local government, and universities. Both types of schedules must be reviewed and approved by the State Records Committee. A Commission-approved retention schedule authorizes an agency to dispose of those records identified as no longer necessary to retain. Draft agency specific schedules are prepared by the agency, in consultation with RIMS, and submitted to the committee for review.

12 What is a Retention Schedule?
Retention schedules are the legally required retention periods for which the records shall be maintained under normal business conditions. By statute, “Approved retention schedules, once approved, shall be authoritative, shall be directive, and shall have the force and effect of law” (O.C.G.A. § (a)). Litigation, audit, or special department requirements may require the maintenance of the records for a longer period of time.

13 Retention Schedules Retention of records: Local Government Records Schedules State Government Records Schedules and Agency Specific Records Schedules A second layer of policy and procedure that needs to exist is – the adoption and use of retention schedules. As local government officials, you use the schedules located at this website as a guide to adopt your own retention schedules. And, you should make sure that the schedules are the most up-to-date ones available. The retention schedules for local governments are updated every other year – the most current is dated November The 2009 schedule has been posted. A mid-year update is expected in October to address several tabled items. Show Berkley Lake

14 Implementation The fundamental rule for implementing retention schedules is that every record an agency creates (regardless of whether the records are kept in paper, microfilm, or electronic format) must either be identified by an agency specific schedule or a common schedule before disposal. There are no exceptions.

15 Implementation Next Steps. . . When to implement schedules. What is disposition? Destruction of records

16 What is Disposition? Disposition: Disposition is the action taken with the records following the end of the retention. Refer to retention schedule sample Disposition is the action taken with the records following the end of the retention. When records have met their retention periods, they must either be destroyed, or if they have historical value, they must be retained permanently. Arrangements should be in place to destroy records in a proper and timely manner. Records with historical value can be maintained permanently by an office if they have continuing administrative value; otherwise, state agencies should transfer permanent records to the Georgia Archives for preservation and access. Developing Procedures for Implementation The work of the agency committee does not stop here. Once the agency has approved retention schedules, the agency should implement an ongoing process for records disposition. Regular implementation of approved retention schedules is one component in the development of an effective records management program. Referring back to the records inventory, you will notice that many records – for which an approved retention schedule already exists - that have been retained longer than the recommended retention period. Those records may be eligible for immediate disposition. Others are active records and will need to be retained for a period of time prior to implementing the disposition instructions. Still others will be identified as copies or duplicates of those in government offices. And, others will be identified as permanent records requiring continued storage and preservation.

17 Implementation Three classes of disposition: Destruction Temporary storage – Records Center Permanent storage – Archives

18 Disposition - Destruction
Calculating Destruction Dates: Year Created Retention Period Retention Count Eligible Destruction Date Calendar Year (Jan. 1, 1986 – Dec. 31, 1986) 1986 10 years , 1991, 1992, 1993, 1994, 1995, 1996 1/1/1997 Fiscal Year (July 1,2000- June 30, 2001) FY 2000 3 years FY2001 (07/ /2002) FY2002 (07/ /2003) FY2003 (07/ /2004) 7/1/2004 (FY 2005) Federal Fiscal Year (Oct 1, Sept 30, 2008) FFY2007 2 years FFY2008 (10/2008 – 09/2009) FFY2009 (10/ /2010) 10/1/2010 (FFY 2011) School Year (August 4, 2009-May 21, 2010) SY2009 1 year SY2010 (09/ /2011) 9/1/2011 (SY2012) The first step in determining destruction dates is to ensure you are using the most recent version of your agency’s retention schedules. In order to keep destruction practices practical and systematic, it is best to select certain times of the year as designated destruction times, such as the end of a calendar, fiscal, federal fiscal, or school year. To calculate destruction dates: Do not count the year in which the record was created. Begin counting retention years with the year after the record closes. A retention statement may read, “Retain 3 years after receiving final receipt.” In this example, the record closes when the final receipt is received. This is also known as a trigger. Count up through the stated number of retention years as outlined on the appropriate retention schedule. Records should be retained for the full year of the final year of retention. Destroy records at the beginning of the next yearly cycle.

19 Disposition - Destruction
Destruction Georgia Law [O.C.G.A (b)], Confidential records are to be destroyed in such a manner that they cannot be read, interpreted, or reconstructed Methods differ with various media

20 Disposition - Destruction
Media matters Paper – landfills, recycling, shredding Microfilm – silver reclamation, remove from spool Magnetic – overwriting, degaussing Witnessing destruction If you are using a vendor for destruction of records make sure this vendor is bonded (insured) to handle the records in an appropriate manner. Also, check up on this vendor occasionally – follow the truck out to the recycling center and watch the destruction of the records. Recycling is the preferred method for destroying paper records – you can even shred records prior to placing them in the recycling bins if you are concerned about protecting the confidentiality of the information. Acceptable methods for paper destruction include: 1. Incineration: your local hospital or paper mill will have waste incinerators, but a fee may be assessed for using the facility. Also, you will have to provide all labor. 2. Landfill: your local city or county landfill will accept paper records. However, make sure an schedule a time when you may have the records delivered and make sure that a hole is dug for the records. Have a staff member accompany the records to the landfill and witness the records being buried to ensure that they are not easily accessible to ‘dumpster divers.’ Also, you will need to be able to deliver the records to the landfill. NEVER, NEVER, EVER leave records in your trash can or dippy dumpster for your local trash pickup. Dumpster divers will think they have hit the mother load and you will find your records at the local flea market for sale the next weekend. 3. Maceration: a local recycling company may provide this service in which documents are soaked in chemical liquid in order to decompose. This process is also referred to as pulping and renders the media and information non-reconstructable. This process is idea for the destruction of volumes or books. But, what if you have microfilm or magnetic media that needs destroying? Acceptable methods for the destruction of film include: Shredding: a local recycling company may provide this service where unspooled microfilm is run through a shredder to effectively destroy the information. If your office owns a heavy duty shredder, check with your vendor, the shredder may be able to handle film. Silver reclamation: several vendors nation-wide (such as Kodak) provide a service for silver film where the silver is stripped from the film and reclaimed for other uses. This option is cost effective only with large volumes of film. Despite the fact that it seems unlimited, space on networks and computer hard drives is limited. As more and more is stored, response times for retrieving files get slower and slower. Electronic records need to be managed the same as their paper counterparts. And let me emphasize that hitting the ‘delete’ key doesn’t necessarily destroy the file. Network drives are backed up often on a daily basis and images may be burned to CD or DVD for storage. Therefore, destruction of electronic records needs to include the destruction of backup tapes and other media. Acceptable methods for the destruction of magnetic media (tapes, CDs, DVDs, etc.): De-gaussing: the process of removing magnetism from magnetically recorded tape thereby rendering most of the information non-reconstructable. Depending upon the procedure used for de-gaussing, it is possible that all of the information could be rendered non-reconstructable. Media for this process may include: audiotapes, and magnetic tapes. If restricted information is on the media, then once de-gaussed, it should be shredded. Shredding: the use of mechanical cutting of the media thus rendering the information non-reconstructable. Media for shredding may include: CDs, DVDs, magnetic tapes, audiotapes, and diskettes. In general, when paper media is shredded, it is done using a cross cut method rendering the media non-reconstructable. When the other media listed is shredded, it is almost pulverized thereby rendering it non-reconstructable. Breaking or puncturing: the use of a hammer, drill or other implement to break or puncture a CD or DVD. This method is better suited to small volumes of media. Over-writing: magnetic tapes may be overwritten or reused. However, the effective destruction of the information is achieved only AFTER a minimum of seven (7) over-writes of the tape. And remember, duplicates or backups of records (no matter what the medium) should be destroyed at the same time as your official record. Otherwise, you are simply destroying one out of many copies. DON’ FORGET surplussing of equipment – PCs and digital copier-scanners either

21 Disposition - Storage Not all records will be eligible to be destroyed. Some records will be identified with the retention of “Permanent.” Controlled access Offsite May be associated with a reformatting program

22 Questions? Records & Information Management Services FAX Under ‘Most Popular’ click on Records Management Bookmark this site!

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