Records Management

1
Records Management
Presented by

• Joe Barajas Chuck Booz

Greater Sacramento Capitol ARMA Chapter
2
Issues

• Strategic Records Planning
• Enterprise Records Knowledge
• Records Standards
• Records Appraisal
• Record Lifecycle/Continuum

3
Important Concerns?

• The importance of Records Management
• Records Retention
• Operations/use of a Records Center
• Role of Standards

4
What is Records Management?

• Records Management is designed to ...apply
  efficient and economical management methods to
  the creation, utilization, maintenance,
  retention, preservation, and disposition of
  records.

5
Do you know?

• How many records you have and where they are
  kept?
• Who uses the records and how often are they used?
• When the last review was done to see if retention
  periods could be shortened?

6
Reasons for Records Management

• Control the creation and growth of records
• Minimize litigation risks
• Safeguard Vital information
• Preservation of historical documents

Save Space
Save Time
Save Money
7
Establishing a Program

• If Records Management is to be successful,
  top management must be aware of the statutory
  requirement, understand the importance of it,
  and fully support the program

8
Records Management Analyst

• In order to ensure that responsibility be
  assigned at a level within the agency that has
  easy access to management and all divisions,
  agencies must employ an analyst

9
What are Records?

• Paper, map exhibits
• Magnetic or paper tapes
• Microfilm, photographic films prints
• Other documents produced, received, owned or used
  regardless of physical form or characteristics.

10
What are Non-records?

• Transmittal letters and acknowledgements
• Informal notes, worksheets, rough drafts of
  letters, memos, reports that do not represent
  basic steps in preparing documents
• Shorthand notes, stenographic notebooks,
  stenotype tapes, and dictating media which have
  been transcribed
• Miscellaneous notices regarding community
  affairs, employee meetings, or holidays

11
Non-records

• Stocks of publication or unused forms that are
  kept for supply purposes only
• Requests for printed material after the requests
  have been filled
• Tickler, follow-up or suspense copies of
  correspondence
• Library and reference material

12
Steps in a Records Retention Program

• Take an inventory
• Appraise all records
• Establish retention periods
• Develop retention schedules
• Approve retention schedules
• Apply retention schedules

13
Preparing for the Records Inventory

• Find out what records there are and where they
  are stored?
• Figure from the table of measurements the
  quantity in cubic feet
• When should it start and be completed
• What information will be obtained concerning each
  group of records.

14
Appraising the Record

• Values to be considered
• Administrative
• Legal
• Fiscal
• Research, Historical or Archival

15
Administrative Value-created to help accomplish
the functions for which an agency is responsible

• Examples include
• General Correspondence, chron/reading files,
  policies, procedures, org charts, directives
• Property /Facilities
• Records Management

16
Legal Value- contains evidence of legally
enforceable right or obligations.

• Examples include
• Legal decisions opinions
• Fiscal documents representing agreements, such as
  leases, titles, contracts
• Records of action in particular cases, such as
  claim papers and legal documents

17
Fiscal Value- those records which pertain to the
financial transactions.

• Budgets
• Ledgers
• Allotments
• Payrolls and vouchers

18
Research, Historical or Archival Value-documents
the departments accomplishments.

• Minutes of Board Meetings
• Letters signed by nationally known figures such
  as politicians or scientists
• Typically apply only to about 5 of your records

19
Setting Retention Periods

• Negotiate the retention periods internally
• Review CAM for the General retention periods for
  personnel, fiscal, and payroll records
• Consult with managers and users
• Federal and State Statutes
• Perpetual type record

20
Perpetual Type Records

• Current- indicates that the record is in force or
  has some effect even though there is no activity
  or ongoing process directly related to it.
• Active-indicates some ongoing process or activity
  not yet complete for which no definite time frame
  is known.

21
Examples of Codes for Determining Retention
Periods

• Agricultural Code- Sec. 20701
• Health and Safety Code- Sec. 3226

22
Record Retention Schedules

• A document (electronic or paper) that lists or
  describes the types of data and record series
  that exist within an agency
• Specifies for each type the length of time they
  must remain active, inactive and if and when they
  may be destroyed.

23
California Public Records Act

• Gov Code Sect. 6250-6261 As a general rule all
  public records are open to the public.
• Public records-writing containing information
  related to the conduct of the publics business
  prepared, owned, used or retained by any state or
  local agency.

24
Information Practices Act

• Civil Code Sec. 1798 was enacted to protect an
  individuals right to personal privacy concerning
  state agency records and information practices
  by establishing strict standards for the
  collection, use and dissemination of information
  about individuals who are the subject of state
  agency records