Transcript Records Management Essentials Ann Marie Przybyla New York State Archives

Records Management
Essentials
Ann Marie Przybyla
New York State Archives
NYALGRO 2007
Our Goals
Provide the legal framework for records
management in New York State
Address basic records management
activities, principles, and strategies
Find answers to some tough questions
about managing records
Records Management in NYS
Legally mandated
Per the Local Government Records Law
And Commissioner’s Regulations
All governments must have an RMO
Individual and corporate responsibility
Responsibilities of the RMO
Oversee and coordinate management
of records
Liaison with other departments
Delegate responsibility as needed
Follow State Archives guidelines
CEO and Government Board
Must…
Support and promote RM program
Identify historical records and ensure
their protection
Designate RMO when not mandated by
law
All Government Officials Must…
Create and maintain records that
document business transactions
Destroy records appropriately
Pass records on to successors
Support work of the RMO
Basic Activities
Exerting Control
Formal inventory
Appropriate storage space
Boxes, labels, shelving, cabinets
System for rotating records
Database locator
Software for managing ER
Question
What do you consider your
single greatest tool for
managing records?
Question
What would you advise a
new records manager who
has inherited a mess?
Filing
Adopt a file plan
Use appropriate filing system
Use appropriate filing equipment
Anticipate retention
Coordinate paper and ER files
File centrally, when possible
Using Records
Distinguish between internal access
tools and those meant for the public
Apply same access procedures to
everyone
Limit access to records storage areas
Know laws relating to records access
Balance access with care of records
Using E-records
Provide levels of access
Create metadata that makes records
more searchable
Provide onsite public-use terminals
Make records available via a network
and the Internet
Selectively convert hardcopy records
Records Scheduling
Use MU-1, CO-2, ED-1, or MI-1
Keep only what is required
Appraise minimally for historical value
Document decisions to lengthen required
retention
Implement regularly
Managing Retention of ER
Must file centrally to manage well
Implement a classification system
Link classification system to retention
Educate end-users
When possible, manage retention
electronically
Question
Why shouldn’t you just
“save everything forever?”
Preservation
Involves managing
• Physical environment
• Storage
• Handling
• Security
• Disasters
• Conservation measures
Preservation of ER
Applies to all ER, not just permanent
Anticipate obsolescence and instability
Some strategies
• Print out
• Standard formats
• Migration
• Refreshing
Reformatting
Options are
• Microfilm
• Imaging
• Hybrid solution
Projects involve prep, process, QC
Follow State Archives’ specs
Have a contract if using a vendor
Destruction
Follow retention schedule
Do not destroy reactively
Use appropriate destruction methods
Exercise discretion
Destroy completely
Document destruction
Managing Destruction of ER
Control all computers
• PCs, laptops, tablets, PDAs, digital cameras
Control all copies
• Backups, printouts, microfilm
• Detachable devices, removable media
Have method of halting destruction
Destruction of ER
When
Planning records system
End of retention period
Computer reassignment or surplusing
How
Physical destruction
Degaussing
Overwriting (scrubbing)
Question
Does deletion destroy ER
completely?
Disaster Management
Identify vital and valuable records
Identify risks
Reduce most risks now
Assess potential impact of ongoing risks
Prepare response plan to minimize
impact
Basic Principles
RM is Comprehensive
Defines records as a byproduct of
government business
Pertains to records in all formats
Involves the care of records from
creation to destruction or permanent
preservation
Questions
Who owns e-mails that government
officials create on their home
computers?
Are they FOILable? Are they subject to
discovery?
RM is Selective
Strategies vary, depending on the
records’
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Volume
Frequency of use
Retention
Age
Physical condition
Level of confidentiality
Degree of importance (vitality and value)
Questions
How do you manage
• meeting minutes?
• case files?
• payroll records?
• blueprints and maps?
RM is Efficient
Brings order to disorder
Focuses on value of information
Anticipates and minimizes costs
Uses space wisely
Saves staff time
Reduces risk
RM is Dynamic
Records
• Are increasingly complex and ephemeral
• Can have layers of obsolescence
Tools for managing records
• Include databases, imaging, vaulting
Different partners and culture
Constant learning curve
Questions
How involved is RM with IT in your
government?
How do you stay current with
developments in information
technology?
RM Must be Formalized
In a written policy framework to ensure
• Consistency
• Continuity
• Reliable basis for change
• Ongoing training
• Legal admissibility
The Policy Framework
Needs assessments and BPAs
Records and equipment inventories
3-year program plan and a disaster plan
Policy that documents all decisions
Policy on appropriate use
Procedures for day-to-day activities
RM is About Service to…
Your own staff
Your government and NYS
Your constituents
Yourself
Basic Strategies
Address ER
Opportunity rather than threat
New legal rules and decisions that
emphasize control, retention, training
Some standards and models
Efforts at coordination
Increasing number of automated
solutions
Balance the Ideal with Reality
There are few perfect answers to most
questions
Know requirements, standards, best
practices
But balance against your resources
And environment and culture
Find Allies
Governing board
Records Advisory Board
IT staff
Historian
Other co-workers
Legal counsel
Consultants and vendors
Promote the Program
Educate others on value of records
Keep board and public informed of
progress and issues
Emphasize savings
Maintain statistics
Seek sources of funding
LGRMIF Grants
Deadline will be 1 Feb 2008
For any project that focuses on records
Increasingly for ER projects
New application and reviewers’
instructions introduced this year
Funding level depends on economy
Questions?
Thank you!
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