Municipal and Corporate Records Management

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Municipal and CorporateRecords Management
Jo Chavez, CRM Records Manager City of Coral
Springs
Lyn Kniffin, Sr.Records AnalystJM Family
Enterprises
Welcome
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Municipal and CorporateRecords Management
Jo Chavez, CRM Records Manager City of Coral
Springs
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Records Management at theCity Of Coral Springs

• The Price of Inadequate Attention to Records is
  Higher than AnyCity or County Can Afford to
  Pay.
• Space Savings
• Reduced expenses for filing equipment
• Increased efficiency of information retrieval
• Compliance with records retention requirements
• Identification and protection of vital and
  historical records

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1 Records Management A Practical Guide for
Cities and Counties, ICMA, 1996, pg. xii.
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Mission Statement

• The mission of the Records Management Program in
  the City of Coral Springs is to support the
  Citys administration in the fulfillment of the
  Citys mission through timely provision of
  accurate and complete information.

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Placing Records Management In The Organizational
Structure

• Chapter 257 Defines The Authority of the State. 
• Chapter 119 Defines Public Records, and public
  access to these records.  
• City Charter Section 8.07, Defines the
  responsibility of City Officers and for the
  records pertaining to his or her office or
  duties.
• The Office of the City Clerk administers the
  Records Management Program in the City of Coral
  Springs.

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The Tools Records Management Software
IBPM Imaging and business Process Management
FRM Fixed Records Management
Together these systems have become the umbrella
database by which intranet users may find and/or
access all types of City documents.
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The PeopleThe Records Management Team
IS staff
Records Manager
City Clerk Staff
Department Staff
Volunteer Services
Offsite Storage Vendor
Contract Scanning and Microfilm Vendor
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The Foundation

• The Inventory

• The Retention Schedule

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State Retention Schedules

• GS1-SL State and Local Government Agencies
  Revised Nov 1, 2006
• 105 Agency Additions
• GS2 Law Enforcement
• GS3 Election Records
• GS8 Fire Departments

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The Corporate Side of Things
Lyn Kniffin, Sr. Records Analyst JM Family
Enterprises
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MISSION

• To ensure that all records are maintained in
  compliance with the companys policies,
  procedures and guidelines and in adherence to all
  legal, statutory and operational requirements.

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WHAT WE DO

• Retention Scheduling
• Record Classification
• Media Management
• Training

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RECORDS RETENTION SCHEDULE

• The records retention schedule forms the basis of
  a Records Management Program (RMP).
• The schedule is an alphabetical listing of all
  records.
• Its primary function is to specify how long to
  retain corporate records

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RETENTION SCHEDULES

• Record
• Media Type
• Citation - Federal and State Regulations
• Retention
• List Vital and Historical designation
• Legal or Tax HOLD

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VITAL RECORDS HISTORICAL RECORDS
Vital records are records whose informational
value to the corporation is so great, and the
consequences of loss so severe, that special
protection is justified in order to reduce the
risk of loss. Historical Record is a designation
given to items that have enduring value because
they document people, events, business
developments, achievements and the community
involvement of the Company.
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RETENTION HOLDS/RELEASE

• Records may be put on retention hold/release to
  satisfy audit or litigation requirements.
• Only Legal or Tax can approve a retention hold or
  release.
• Form Records Retention Hold/Release Notice.

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DESTRUCTION OF RECORDS TAXAND LEGAL HOLDS

• Records on a tax audit or legal hold must not be
  destroyed under ANY circumstances until the hold
  is released and the retention requirement is
  satisfied.

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RECORD CLASSIFICATION

• Records are classified according to purpose.
• Retentions are assigned at the classification
  level.
• An event must occur to start the clock for the
  retention of each record.
• All records that are used for the same purpose
  will have the same retention.

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MEDIA MANAGEMENT

• Administer off site storage accounts and related
  systems.
• Administer Vital Records Program.
• Administer and coordinate destruction and
  disposition through approved methods.

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ON-SITE MEDIA DESTRUCTION

• The record retention schedule is authorization to
  destroy records located on site.
• Secured shredding bins are located throughout the
  company for the purpose of destroying on-site
  records.
• Shredding is conducted on-site by a secured
  shredding vendor.

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OFF SITE RECORDS DESTRUCTION

• Compile a list of eligible boxes
• Attach a Destruction Sign-off Form and forward to
  responsible department coordinator
• Approval
• Notify storage facility to destroy appropriate
  boxes
• Storage facility sends Records Manager a
  destruction certificate

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The Records Lifecycle
CREATION MAINTENANCE USE STORAGE DISPOSITION
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Creation, Maintenance And Use

• Active Files
• Indexing
• Barcoding
• Usually creation of file to two years and ALL
  linked to specific retention

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Inactive Files

• Paper Storage(Low Use, Short Retention)
• Electronic Storage(Imaging, Microfilm)
• Vital Records Storage(Microfilm Backup

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Offsite Paper Storage

• Retention 10 years or less
• Infrequently used documents
• Not currently used (older than 2 yrs)

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Disposition

• Retention reached
• 107 Form to Authorize
• OSA not necessary to schedule on 107

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ELECTRONIC RECORDS/SYSTEMS

• Must adhere to the same retention requirements as
  stated in the Federal and State regulations.
• Must follow the appropriate record
  classification.
• Ensure performance of auditing, migration and
  refresh initiatives.
• Provide support for new development and
  enhancements of RM applications.

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DESTRUCTION ELECTRONIC RECORDS

• Records maintained in electronic form are
  destroyed by one of the following means
• The record is obliterated from the media on
  which it was maintained by
• Completely overwriting the record with new data
• Reformatting the media without the ability to
  recover the record, or Wiping the record from
  the media via a process that overwrites it with a
  string of characters.
• Physically destroy

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TRAINING

• Education is the best method of ensuring
  compliance. All Associates are required to
  attend records management training.

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HOW DO WE DO THIS?

• By providing the following tools to assist in the
  identification or management of records
• Records Management Program User Manual
• Record Classification Master List
• Records Retention Schedule
• Hardcopy
• Electronic/System
• Off Site Storage Inventory System
• Digital Archive

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COMPLIANCE

• To ensure adherence compliance audits are
  conducted and may include the following
• Compliance with the record retention schedule.
• Protection of vital and historical records.
• Creation and maintenance of necessary records in
  electronic information systems.

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Electronic Storage

• Long Term Retention
• Frequent Use

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Electronic Storage

• Highly automated- City Clerk Files complete, both
  active and inactive - from 1998 to current,
  Building Department files new to system average
  800 per files per week.
• Microfilm Conversion to Electronic

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Other Major Departments Utilizing Electronic
Imaging

• Department
• Building Department
• City Clerk
• Finance/Purchasing
• Occupational Licensing
• Police and HR
• PD Incident
• PD Subpoena
• HRPDQ

Pages 1,636,813 1,652,100 110,997 112,266 3,512,
176 119,594 13,184 18,912
Documents 63,257 5,024 2,837 10,515 210 49,746 1
2,200 992
Totals 144,781
Totals 7,063,746
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Training

• Records management manual
• Detailed procedure manual
• Project assistance

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Fulfilling Mission Statement

• Implementation of efficient filing systems
• Intranet access to imaged documents
• Easy access to documents stored offsite
• Vital records protection
• Compliance with public record requests
• Timely destruction of documents past retention

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Good Records Management

• The Right Record
• At the Right Cost
• At the Right Time

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Thank You
Jo Chavez, CRM Records Manager
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ANY QUESTIONS?
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THANK YOU!
Feel free to contact us at
Jo Chavez, CRM Records Manager City of Coral
Springs ccjcc_at_coralsprings.org
Lyn Kniffin, Sr.Records AnalystJM Family
Enterprises Lyn.kniffin_at_jmfamily.com