Transcript Jackson Pollock Template

Why Records
Management
Lisa Maxwell, CRM
Deputy Town Clerk
Town of Gilbert
Why have a Records
Management Program?
It makes good Business Sense!
And it is required by State statute – ARS §41-151.14(A)(1)
What is Record Management?
The application of management
principles to the systematic control of
the life cycle of all records created or
received in the course of business. It
provides measurable benefits in many
areas, including cost reduction and
avoidance, protection of vital records
needed in case of disaster, systematic
destruction of records and the
preservation of historical records.
Objectives of a Records
Management Program
Categories:
1. Service – effective and efficient
2. Cost avoidance
3. Social – moral, ethical and legal
responsibilities
Records Management objectives
usually fall into one or more of
these 3 categories
TEN BUSINESS REASONS
FOR RECORDS MANAGEMENT
(IN NO PARTICULAR ORDER)
1. To Control the Creation and
Growth of Records
After years of hearing about the
paperless office, how many people
actually have less paper now?
An effective records management program
addresses creation and retention of records
in all formats
2. To Reduce Operating Costs
Every department is completing for
limited resources.
Paper records: filing equipment, space in
offices, and staff to manage records
Electronic records: hardware, software, and
annual maintenance fees
News story – May 26, 2014
• Maricopa County Community College
data breach
– $17.1 million in expenses to cover
consulting, repairs, lawyers, notification
and credit monitoring
– end of May 2014 an additional $2.3
million in lawyer’s fees and $300,000 for
records management was approved
3. To Improve Efficiency and
Productivity
A good records management program
utilizes an enhanced retrieval system.
This includes a well defined filing systems
with effective indexing (paper and/or
electronic).
News story – May 23, 2014
• Tompkins County, New York
– “… had a vision for probably the most
dismal area of government, which is
records and management”
– saw Laserfiche demo and were going to
use it to track paper records – bar codes
on boxes
– focus went from finding records to using
them
– 9,000 boxes from 29 departments dating
back to 1817 – scanned 13 million
images
News story – May 9, 2014
• Missoula County, Montana Clerk
and Recorder
– more than 250 county deed books and
some microfilm
– digitize the documents used most –
deeds and water rights books
– the index books for the old deeds aren’t
in a form conducive to scanning.
Someone has to type them into a
computer database – a process that
could take years
4. To Assimilate New Records
Management Technologies
Buying new electronic systems with
enhanced record-keeping features
cannot solve filing problems.
Analyze existing records and if necessary
over-haul current system.
Blog – May 12, 2014
• Hazards of the Cloud
– A cloud-based application for managing
research data, suffered a “devastating”
technical failure that caused academics
across the country to lose large amounts
of research work, some of which may be
gone for good.
– Every data-storage system can fail and
the benefits of the on-site services
available outweigh the risk of storing
work on faraway servers.
News story –
June 5, 2014
• Top Law School Email Screw-Up
Reveals Grades, Ranks
– the 2015 Applicants Workbook contained
a wealth of information, gathering
information from every nook and cranny
of these potential clerks’ lives, including
their undergraduate schools, where they
worked their summers, where they’re
from, and even their political affiliations.
It looks like the law school’s career
services officers are tracking everything
News story –
May 29, 2014
• Montana Health Department
computer hacked
– computer where huge amounts of
personal data on public clients and state
employees stored was hacked in July
2013
– the investigation won’t be able to
conclude conclusively that this
information wasn’t misused.”
5. To Ensure Regulatory
Compliance
The only way an organization can be
reasonably sure it is in compliance with
laws and regulations is with a good
records management program.
Destroy records at the end of their retention
period.
Promptly fill public records request – with
ALL records requested.
News story - May 6, 2014
• Quincy, Massachusetts City Clerk
– in March the public works department
burned 49 boxes of old records without
permission from the state
– in April dozens of city records, some
containing private information about
individual military veterans, were found
strewn across a city neighborhood on
the same day they were supposed to be
destroyed.
News story – mid-May 2014
• Salisbury, Massachusetts City
Finance Department
– the newspaper requested records on
amount of money town spent on lawsuits
related to a sewer project
– instead of releasing the public records,
the Finance Director sent an email stated
he estimated the town has spent nearly
$100,000
– the newspaper filed a civil complaint in
Superior Court.
News story – May 20, 2014
• Raritan Borough, New Jersey
– Raritan owes Gannett New Jersey more
than $590,000 in legal fees as a result of
a lawsuit the company won in 2012
– Officials say they’ll have to raise taxes or
cut services if they’re made to set aside
money the town owes to a media
company that won a public-records
lawsuit against the municipality
News story – May 12, 2014
• State of California
– the Legislature’s budget last year had a
provision allowing local governments to
deny requests for public records
because the state wouldn’t reimburse
them
– Proposition 42 amends the
State Constitution to require cities,
counties, and local agencies to comply
with state laws to make documents
available and to cover the costs for doing
so
News story – May 28, 2014
• Corinthian College
– sanctioned for spoliation of evidence
caused by the employer’s failure to issue
a litigation hold and employee e-mails
were deleted as allowed by their records
retention policy
– important reminder of the risks
associated with failing to preserve
electronic information related to actual or
threatened litigation
6. To Minimize Litigation Risks
Routine destruction of records in the
normal course of business can reduce
liabilities associated with record
disposal.
Magazine article -- May 5, 2014
• Is your data an asset or a liability?
– data is growing at 50% a year while
storage budgets are staying steady at 8%
– a biomedical device manufacturer
outsourced a subpoena request for
information to PricewaterhouseCoopers
and the bill for it, not including the legal
services, was more than $25 million
because they had no idea where the
information was
– The information was an asset to them
until it became a huge liability
Blog story -- May 22, 2014
• Georgia State Attorney General
– David Schick made a public records
request for documents concerning
names of candidates for UG's president
– he published what he has acquired, and
according to the AG the information
which was released as part of a public
records request wasn't supposed to be
made public
– the AG went after the student instead of
the entity which "improperly released"
the information
News story –
June 4, 2014
• University of Cincinnati Hospital
– An employee posted a patient’s medical
records on Facebook
– The hospital said ”We take the privacy
and safety of our patients very seriously
… the unauthorized access or viewing of
medical records, or the unauthorized
sharing of PHI, is a serious violation of
federal medical privacy laws and
regulations
News story –
June 11, 2014
• P.F. Chang’s
– Computer system was compromised
between March and May 19
– Credit card numbers are being sold for
$18 to $40 each
– For sale is the data copied from the
magnetic stripe on the backs of credit
cards. "The most common way to steal
this type of card data is by hacking into
cash registers and planting malicious
software
7. To Safeguard Essential
Information
An important part of a records
management program is a program to
identify and protect essential records
from disaster or catastrophe.
News story – April 30, 2014
• St. Ignatius, Montana, Mission
Irrigation District
– documents that could play a critical role
in various lawsuits pertaining to water
rights disputes on the Flathead
Reservation are missing from the
Mission Irrigation District’s files
– district staff and commissioners asked
people to come forward if they have any
information on the whereabouts of the
district’s files from the early 1980s
News story – June 14, 2014
• Supreme Court of Victoria, Australia
– A burst water main gushed for up to 20
hours and records were found floating in
nearly 10 feet of water
– There were changes to court hearings on
as a result of the flooding and some
administration services were effected
while inspectors assessed whether the
buildings were safe to use
8. To Support Better
Management Decision Making
A records management program can
help ensure managers have the
information they need when they need it
so they can make better informed
decisions.
Blog story –
June 18, 2014
• Federal government issued Managing
Government Records Directive in
2012 regarding the management of
records in electronic form
– Justifying the expense at the Nuclear
Regulatory Commission, “…staff needs
mission-related records, quick access to
the correct records anytime, anywhere in
order to complete mission-related
tasks.’”
9. To Preserve the Corporate
Memory
Records contain institutional memory.
Every day records are created which
could be background information for
future management decisions and
planning.
News story –
June 13, 2014
• Former Ontario Premier
– McGuinty’s office under investigation for
breach of trust in relation to the deletion
of emails
– allegedly used WhiteCanyon software to
wipe all data while leaving the operating
system intact
– McGuinty said he was unfamiliar with
records-management policies and he
stressed the “verbal” nature of
communication in his office
10. To Foster Professionalism
An office with disorganized records
creates a poor working environment.
The perception of the public and
“image” and “morale” of the staff is a
good reason to establish a records
management program
News story – May 1, 2014
• Havelock, Nebraska
– requested all documents relating to loans
for Rico’s property, plus correspondence
between the mayor’s office and Urban
Development about the decision to
rescind the $174,000 loan
– “you make it so damned difficult and so
damned expensive that the public can’t
afford the cost of the documents”
News story – May 7, 2014
• Dallas, Texas City Council
– recommended that the city implement a
permanent retention policy to preserve
video and audio tapes of such meetings,
the current policy allows for the
destruction of those tapes after 90 days
– even though the 90-day retention policy
complies with state law, to the public it
looks “like a conveyor belt that leads to a
furnace.”
News story – June 13, 2014
• Internal Revenue Service
– computer crash and lost director’s
emails from 2009 – 2011, did locate
24,000 of 67,000 emails
– to respond to request from Congress IRS
had more than 250 employees working
more then 120,000 hours at a cost of $10
million
• Update – July 10, 2014
– an email released to Congress cautioned
folks about what they say in emails
Questions?