TO INFINITY AND BEYOND
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TO INFINITY AND BEYOND A PRACTICAL LOOK AT MANAGING RECORDS AND INFORMATION IN THIS MULTI-MEDIA AGE AAMC 2017 Academy
Transcript of TO INFINITY AND BEYOND
TO INFINITY AND BEYOND
A PRACTICAL LOOK AT MANAGING RECORDS AND INFORMATION IN THIS MULTI-MEDIA AGE
AAMC
2017 Academy
Today’s Agenda
• Assisting co-workers with proper storage and disposal of records• Establishing Clear Roles and Responsibilities
Break• Gaining Support for Records Management
• Break• Creating Resources, Tutorials, and Tools to Help Co-Workers Manage Their Records
• Lunch• Responding to Public Records Requests and E-Discovery• Proper Storage and Disposal of Electronic Records
• Break• Archival Management
Establishing Clear Roles and Responsibilities
Points to Cover
• What is “Records Management, anyway?
• As the person responsible for Records Management, what should I be doing?
• Should anyone else have responsibility for this?
• There must be some rules we have to follow…
What is “Records Management”, Anyway?
The application of systematic control to recorded information
A logical and practical approach to the creation, maintenance, use and disposition of records, and therefore to the information those records contain.
IIn the old days, this was records management…….
Today, what is Records Management….
COMPLIANCE
INFRASTRUCTURE
As the person responsible for “Records Management”, what should I be doing?
The first principle of GARP is accountability.
It is a generally accepted recordkeeping principle that a successful records management program has a senior level sponsor who delegates responsibility to an accountable individual to ensure that the program has the necessary structure to be effective.
Pieces of the structure include policies and procedures, initiatives to promote program awareness, and records retention standards that cross the organization.
(ARMA-Association of Records Managers and Administrators)
Strategies for Effective Records Mgmt: Sowing Seeds for Accountability
Municipal Records Management
AS 29.20.380 (4)
The municipal clerk shall:
(4) manage municipal records and develop retention schedules and procedures for inventory, storage, and destruction of records as necessary;
Records Management Ordinance
Before starting a records management program, the governing body should pass an ordinance designating the clerk as the records management officer with authorization to develop policies and procedures for:
• Storage
• Retention
• Destruction
(AAMC Handbook)
What is your program there to accomplish?
• Manages and oversees compliance with state and federal laws and regulations relating to the preservation and destruction of electronic and paper information.
• The authority on how long records created and received are retained.
• Responsible for establishing standards relating to business requirements and needs which ensure the legal legitimacy of record-keeping systems.
• If possible, provide or oversee services which are designed to help ensure that the municipality is meeting its record-keeping responsibilities.
Role of Records Management
What Does That Mean?
General Infrastructure to Support Compliance
• Records Retention Schedules—a must
• Management of Electronic Records (email, scanned records, word-processing, databases, digital images, the Web)
• Files Management
• Inactive Storage/Retrieval and Refile Services
• Litigation and Audit Support
• Training
• Vital Records Identification, Protection, Recovery
Clear Roles and Responsibilities
So, what will your program will take responsibility for…
• Writing retention schedules?
• Inactive storage?
• Final destruction of records?
• Depositions and Interrogatories?
• Freedom of Information requests?
• The program counsels and advises the on the implementation of policy and procedure which promotes adherence to RIM standards and minimizes risk
Should anyone else have responsibility for this?
Responsibilities of Offices and Departments
What is the responsibility of co-workers in offices and departments?
Records AuthoritiesThe Records Authority has final approval for the disposition of records in
storage and for signing off on departmental retention schedules.
Records CoordinatorsThe Records Coordinator administers all day-to-day transactions associated with the office's records-related functions. This can include files organization and maintenance, implementation of retention schedules, inactive records storage, and records destruction. The Records Coordinator also acts as liaison with the Clerk’s Office.
There must be some rules we have to follow
Records Management for Local Records
AS 40.21.070
The governing body of each political subdivision of the state shall promote the principles of efficient records management for local public records kept in accordance with state law.
Records ManagementCompliance Responsibility
It is general policy to:
• Create only the records you need
• Retain records according to legally approved records retention schedules
• Maintain active and inactive records in appropriate storage equipment and locations
• Discard records when no longer required
• Preserve records of historical significance
• Identify and protect vital records
The Business Case For Records Management
• Reduce Operating Costs
• Save time, save space, save money
• Reduce Risk
• Poor audit, litigation
• Minimize Legal Exposure
• Storage may be cheap, but litigation is expensive
• Continuity of Business Operations in Case of a Disaster
• Protect the Rights and Interests of Employees and Customers
• Eliminates the need to produce records which have reached the end of their retention period–and—have been destroyed—before—notice of the “matter” is received.
Steps to a Records Management Program
• Obtain Support—Establish the Program• Pass an ordinance
• Clear Mission and Goals
• Clear Roles and Responsibilities
• Retention Schedules
• Inactive Storage
• Disposal Process
• Protect Archival Records
• Identify and Protect Vital Records
• Credibility, Credibility, Credibility
Records Retention Schedules
A Records Retention Schedule identifies and describes each type of record created and received by an office and specifies how long that record must be retained before it can be destroyed
All records--paper and electronic--are managed through Records Retention Schedules
Purpose of Retention Schedules
• Assure compliance with state and federal requirements by clearly stating how long each record must be retained
• Provide a guideline for weeding files and moving them to inactive storage
• Identify records which can be purged from the files and destroyed
• Identify Vital Records
• Identify Archival records
Types of Records Retention Schedules
General Records Retention Schedules
Custom Records Retention Schedules
Bucket Records Retention Schedules
Writing and Approving Retention Schedules
Who will complete the inventory and write your retention schedule?• State Archives
• You and your staff
• A consultant
• Your Records Authorities and Coordinators
• Who will review/approve your retention schedules?• Legal? Finance? Audit? IT?
• Governing Body?
Inactive Storage
• Where will your organization’s inactive records be stored?• Internal Records Center• Commercial Records Center• State Records Center• Basement, General Storage Rooms• Every office is responsible for their own storage (Don’t ask, you
don’t want to know)• Internal Server• Cloud
• What will your role be?• Approve records for storage• Liaison• Final word on storage
Basic Procedures for Storing Inactive Records
• There is always a form/container list to be submitted
• Boxes are usually expected to be a specific size
• Box lids have to fit securely
• Boxes have to be labeled in a specific way
• Boxes have to be below a specific weight
• Record types (series) should not be mixed in the same box
• Boxes should not leak or reek
Disposition of Records
• Who approves• Records Manager?• Department?• Both?
• Who has the last word?
• What about electronic records?
• Audit, Litigation, and Public Record HoldsBe aware that all records pertaining to ongoing or pending audits, lawsuits (or even reasonably anticipated lawsuits), litigation holds or public disclosure proceedings must not be destroyed, damaged or altered until the issue is resolved and you are specifically advised that such records may be destroyed.
Good Records Management
• Reduces Risk• Audits
• Public Records Requests
• Litigation
• You can find, open and read all records for the full retention period
• Records are destroyed/deleted at the end of the retention period• Risk Mitigation
• Records retentions are applied to both paper and electronic information
• Regardless of type or device used
• Records retentions are applied consistently across and within groups
Little Break
Exercise: Small—Medium—Large What should my records management program take responsibility for?
Gaining Support for Records Management
Points to Cover
• Proving value
• Good communication on all levels
• Credibility
What will you do to make Records Management a Value Added Proposition?
• Reduce the cost of record keeping
• Compliance
• Risk Management
Add Value
ROI is Opportunity
• Reduces the cost of record keeping• Save time
• Timely availability• Save space• Save money• Vital records reconstruction
• Legislative/Audit compliance issues• Costly fines and penalties• Reliability of record keeping systems
• Risk abatement/management• Limiting risk through retention schedules
ROI of Records Management
Communicating THE vision
Communicate YOUR vision
• Communication plan for the governing body
• Communication plan for your co-workers
How will you convince people of the story?
Importance of Communication
• Presentations• 60 second elevator speech
• 15 minute limit
• Reports
• Statistical summaries, goals and objectives
• Metrics
• Charters
• Communication (green light) Plan
Communication for the Governing Body
21441952
1564
1359
1130
726
462
0
192
388
205 229
404
264
$739,680
$673,440
$539,580
$468,855
$389,850
$250,470
$159,390
0
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
0
500
1000
1500
2000
2500
Dec-09 Jan-10 Feb-10 Mar-10 Apr-10 May-10 Jun-10
Remaining
Destroyed
Litigation Costs
Notes:Does not include 53 boxes returned to offices.Costs of litigation based on numbers supplied by the AGO ($345 a box).
Mitigating Litigation by Disposal
Financial Measure 1:Cost Savings Perspective
Definition:
This measure shows the percentage of cost savings resulting from timely and proper disposal of boxes eligible for disposal. The goal is to destroy all boxes within a 6 month period. Each quarter should show 50% of the boxes eligible for destruction disposed of.
Analysis:
As the number of boxes eligible for destruction are destroyed, the liability for having to produce the records in litigation decreases.
Next Steps: Try to destroy a greater number boxes monthly.
• Website
• Newsletters
• Blogs
• TRAINING
• Manual
Communication for Co-Workers
If you have a strong positive reputation in your organization people will notice
• Promote the program
• Training
• Web presence
• Process partners—with a vested interest
• Legal, Audit, IS/IT
• Become an expert on the organization and the records it creates and receives
• Become an expert on your retention schedules
• Become an expert on electronic records—all issues
• BE A RESOURCE
• Be Flexible and ready to compromise
Establish Credibility
The Great Email Debacle of 2007
What Happens When Management Support Isn’t There
Barbara’s head goes…here…
Creating Resources, Tutorials, and Tools to Help Co-Workers Manage Their Records
Points to Cover
• Teamwork
• Its ok to be reactive
• Develop an annual plan
• Ideas for tools and resources
Identify Specific Problems
• Risk mitigation• Efficiency in business• Specific issues that need to be solved• Responding to public records requests• Responding to litigation• Just can’t find anything in a timely manner• Where do I file this?• Email is Out of Control
Set Up A Cross Departmental Team
• Clear direction
• What you need rather than what you want
• Everyone needs to take some ownership
• Need to make sure solutions apply in all situations
• Need to make sure solutions are implementable and not onerous
• Everyone has a good idea now and then
Team Members…..
• Have a genuine interest in records management• Select members whose day-to-day work is directly impacted by records management issues
• Possess a diverse range of skills and specialties• Recruit members from a broad cross section of your organization
• Collaborate well
Work Of The Team—OK To Be Reactive
• Creativity
• Identify pain points
• Production of tools and trainings are open and collaborative
• Instill records awareness
• Review and update retention schedules
• Motivate with tools and tips and tricks—make it easy and fun
• Humor
Develop an Annual Plan
• Annual project and communication plan
• Prioritize goals for the year
• Sketch out and prioritize problems to solve
• Sketch out tools to be created by team
• Calendar these items: tools rollout, an article series, announcements, training, and events
Sample Resources and Tools
• Managing Email—Instructions and Tutorials
• Decision Trees—What to Keep/What to Toss
• Quick Reference Cards—Basic Retention Info
• Infographics
• FAQs
• Portals
• Idea Board
• Info Sheets
http://finance.uw.edu/recmgt/resources
September 12, 2012 - Info Sheet 4/14 - https://imhr.admin.washington.edu/teams/RecordsMgt/WebPart%20Pages/Email.aspx
Don’t Agonize...Organize Organizing Email Folders
Intro
Cluttered and unorganized mailbox folders can make it difficult to find or delete emails when they reach their retention.
Developing a new approach to organizing your email can help you to gain more control, improve your response time, and keep
up with critical actions and due dates. An organized mailbox helps with retaining and dispositioning important documents
and data. The first step to organizing is to create categories and separate emails by topic and/or function.
Examples:
Unmanageable clutter in your email inbox
Inconsistently categorizing email messages of similar topics into more than one folder
Folders containing messages that should be printed and filed
Information that may be important to coworkers kept only in your email folders
Retention guidance:
Some emails do have a retention period. Organizing your folders with retention in mind (for example, include
disposition date in folder name) can keep your email in compliance with UW Retention Schedules. Determine if your
email is transitory or valued.
Value: Messages with administrative, legal, fiscal, historical, final decisions, or other retention value. These should be
filed or stored in keeping with the UW and/or departmental retention guidelines.
Transitory: Drafts, routine requests and messages that are used for reference or informational purposes. These can
be kept in your email folders until they are no longer useful.
Useful tools:
Create folders: Create topic-specific folders for regular messages with similar content
Create rules: Rules can automatically sort incoming messages, bypassing your inbox
Create Quick Steps: Use the Quick Step setup located in the Outlook toolbar to quickly respond to, flag or change
status, and/or move messages from your inbox to an appropriate folder
Create a habit: Schedule time for yourself to regularly process messages from folders to their final retention
destination
ACTION REQUIRED
With 5 minutes you can:
Create new folders or create a rule to automatically file incoming messages
With 10 minutes you can:
Create a Quick Step to use in responding to or dispositioning messages or you could find empty or near empty folders
and combine or delete
With 10+ minutes you can:
Review your current folders and consolidate those with similar subject matter
National Records and Information Management Month Event
• Every April
• Provide General Information
• Records Management In the News
• Records Management Games (Jeopardy)
• Food
• Displays
Biggest loser
Visuals—1 gigabyte=176 boxes
Quiz – Question 1
True or False: To achieve records management process improvement in your organization, work proactively from the beginning – avoid being reactive.
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False: Starting out reactively can help identify and fix existing problems, creating a stronger foundation for future process improvement. Perform a records inventory, document your current records management process, and identify records management inefficiencies in your organization.
Quiz – Question 2
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What are realistic records management expectations to convey to others?
1. Start now, worry about finishing later
2. Concentrate on small tasks rather than doing everything at once
3. Focus on moving forward rather than trying to catch up
4. When the time is right, set a timeline/goal
5. All of the above
Lunch
Exercise: Records Management SloganNorthwest Profile#30: Keeps UW General Retention Schedule as Favorite on IPAD…Like you we are a little different
The Records Clash—Should it Stay or Should it Go? Only Your Retention Schedule Knows for Sure
Responding To Public Records Requests
Points to Cover
• A little context never hurt
• Don’t tell me, more rules to follow….
• Creating a process
• Who does what?
Why We Have a Public Records Law
• Passed by citizen’s initiative
• Watergate
• Vietnam War
• Civil Rights Movement
• Considered a human right
• Used in some countries as an anti-corruption tool
• Over 100 countries around the world
• Best FOI law is Mexico’s
• Britain’s FOI law only 12 years old
• Sweden’s FOI law the oldest in the world (1766)
Trends in Freedom of Information
•Assure municipality complies with the spirit of as well as the letter of the law
•Manage legal and financial risk, and risk to image (“Brand Risk”)
• Make fulfilling the request as easy as possible
• Have a process in place
Objectives of Public Records Compliance
Public Records are Open
• Inspection and copying during regular office hours
• Public officer who has custody of the records provides a certified copy
• You can charge:• For copying
• For personnel costs to search for the records• Only if it takes more than 5 hours a month to find them
• Personnel costs can’t exceed salary (with benefits) for the person searching
• You can charge in advance of the search
• You can also waive a fee
Which Documents are Public Records?
All records are considered public records and should be evaluated for release
And, information should be made available in “usable electronic formats to the greatest extent feasible.” (AS 40.25. 115)
Some records are exempt from release(AS 40.25.120)
Examples are:• Records about Juveniles• Medical and related public health records• Some law enforcement records• Some reports concerning boat accidents• Records about maintaining security• Records that the feds exempt from release
But, But, But…I Can’t Let You See
We have a Public Records Request, What Happens Now?
Pass an Ordinance as recommended by AAMC
• Records not specifically exempt from release are open to the public
• Site state statute AS 40.25.110
• Clerk is in charge of process
• Spell out charges and fees
• Spell out circumstances where charges/fees may be waived
• Public inspection of records is restricted to regular office hours
• Create a records request form
• Consider reviewing the exemptions listed in the Alaska Statutes in advance and identify which specifically apply to records that you have—and include a list of these records in the Ordinance
• Make it clear that this is only a partial list
Pass an Ordinance
Steps in the Public Records Process
• Manage timeline
• Clarify with requestor if necessary
• Put records on destruction hold
• Search obligations • Where to look and what to look for• Search content across formats
• Make sure records are responsive• If necessary interview custodian of records regarding contents
• Decide what to withhold from release• Interpret federal and state statutes regarding responsive records • If necessary review case law• Redact
• Release the records• In person• Send copies
Duties Under A Destruction Hold
• Send out a Hold Notice
• Provide a designated contact person for questions
• Suspend routine destruction of records
• Preserve records in their original electronic form (Native Format)
• Preserve all copies including duplicates
• Preserve new information generated or received after the litigation hold
Who Does What?
The Search—It’s a Problem
• I’m busy, I’ll answer the request later• These are my records, I can’t let anybody see them• What do you mean I have to search my email?• Search the cloud, why?• These records are confidential• These records designated as confidential or proprietary by contract• These records designated as confidential by our (my) policy• I wish we didn’t have these records• Why do we still have these records?• Shouldn’t we talk to a lawyer about this?
The Search
• Who searches paper records?• In storage• In the office
• Who searches electronic records?• Email• Shared Networks• Databases• BYOD
• Who makes sure the records are responsive?
• Who gets the fees from the search?
The Legal Work
• Who sends out the hold notice?
• Who decides what exemptions to use?
• Who decides how widely to apply the exemptions?• Redact pieces
• Whole document
• If there is an appeal (requestors can make an appeal to the superior court)• Who justifies the search?
• Who justifies the exemptions?
Alaska Has It Easy
• No time limit for response
• No fines
• But there is a rather small exemption list
Do you know where your records are?
Paper Records
Electronic Records
Break
Electronic Records
Points To Cover
• Why care?
• The basics
• Where do I save my files?
• Manage by folders
• Applying retention
• Cloud computing
Why Should I Care About Managing Electronic Records?
• It’s a record• E-records contain evidence of official Municipal actions, decisions, approvals or
transactions.
• It can be requested in Public Records Requests, Audit, and Litigation• Each employee needs to take responsibility for handling and maintaining records
(including email and other electronic records) in accordance with policy and requirements.
Electronic Records• Support mission-critical operations
• Contains unique information unavailable elsewhere
• Protects the rights and interests of employees/customers/citizens
• Auditable/Admissible in Court—must be maintained in Native Format
• May have a relatively long retention period
• Exist in just about every format from a word document to email, to a Facebook page, to a web page
• Issues:• We know they are a record• We know they are subject to records retention schedules• But: How do we implement the appropriate retention
periods?• But: How do we make all employees aware of these facts and
give them a sense of responsibility toward managing their electronic records?
Electronic Records: The BasicsDefinition of a Record
AS 40.21.150(6) “record” means any document, paper, book, letter, drawing, map, plat, photo..…electronic record, or other document of any other material, regardless of physical form or characteristic, developed or received under law or in connection with the transaction of official business and preserved or appropriate for preservation by an agency or a political subdivision, as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the state or political subdivision or because of the informational value in them…..
The retention period which would have been applied to the paper record must instead be applied to the electronic record.
All electronic records must be accessible and readable for their full retention period • Find it• Open it• Read it
Why Is Managing Electronic Records So Hard?
VOLUMEToo many Emails
Too many Files
Too much in the Cloud
Too many places to look
What Causes Volume?
ROT
80% of records
Redundant
Out of Date
Transitory
That Text Message Is a Record???
• Word
• Excel
• SharePoint
• Text Messages/Tweets
• Databases
• Information and data kept in a cloud computing environment
• Web pages/Facebook pages
• “Unofficial” records
• Anything about municipal business that you recorded in some way
Electronic v. Paper
If you create or receive it electronically• Don’t Print It, keep it electronically
• You don’t have to create paper copies
• Best to keep it in its “Native Format”
• Remember to migrate long term records to new software versions
• Consider keeping long term records as PDFs rather than word documents
• If you do print, but don’t annotate, it’s a duplicate and can be destroyed at any time (unless its on destruction hold)
• Retention applies to the original electronic copy—Retention is based on CONTENT not FORMAT
It Doesn’t Matter…..
• Who created it
• How it was created
• Where it is kept
• Who owns the storage device
Records and Their Repositories
There are almost as many places to put records as there are types of records themselves!
Where do I save my files?
Making Some (Not So) Tough Decisions
• Just because you CAN doesn’t mean you SHOULD
• Decide which repositories you’re going to use and for what types of records –be explicit and document it
• Security vs Access
• How easy is it to search, find, and manage records?
PERSONAL WORKSPACE vs. GROUP WORKSPACE
PERSONAL
• PERSONAL DRIVE ON NETWORK
• The creator of the files is the only user
• Limited access to a record series leads to greater security and confidentiality
GROUP
• SHARED DRIVE ON NETWORK
• SHARED Workspace i.e. SharePoint or One Drive
• Uniformity and consistency is important to maintain
• All important information is located in a central location
Where to Save Electronic Records
SHARED DRIVE
Not recommended for work files
Not backed up
Vulnerable to hardware/software failure, virus and theft
Best for software program files and desktop shortcuts
C DRIVE
For files shared with co-workers
Can be used by any co-worker
Backed up
No shared access to files
Only owner can view files
Backed up
PERSONAL DRIVE
But…Network Shares
Everybody’s got (at least) one
It often becomes a swirling
black hole
A handful of folders containing the records you
use every day
Some other folders filled with odds and ends
Your predecessor’s entire directory, just in case…
though you only looked in it once… the week after you started… eight years
ago!
Somewhere you know there’s a folder with some mildly-outdated training
materials
Then there’s the other 80% of the folders that you have no idea what’s in
them, who uses them, or what they’re for
A Shared Burden
In many cases:
• Everyone creates folders as they choose
• No one deletes anything
• Cleanup is a rare event
• If you’re lucky, there’s pizza in the conference room.
Use shared folders
Organize the information
Document the plan
Assign a custodian
Regularly scheduled cleanup
A Problem Shared is a Problem Halved!
➪
➪
➪
➪
➪
avoid information silos
folder/file names
common consensus
active management
prevent ROT
Implement retention rules
For Posterity
The Importance of Organization
A commonly used metric among records managers is, “Can you find the record you’re looking for in less than 30 seconds?”
If you can answer “yes” more often than not, you’re off to a good start!
But now ask yourself, “How long would it take for someone else to find that record if I wasn’t around to ask?”
Is the answer still less than 30 seconds?
Organizing Electronic Records
Manage By Folders• Create folders based on your needs
• Project
• Subject
• Employee
• Client
• Address
• Create Subfolders for more detailed information• Budget
• 01-4470
• 74-4470
NAMING CONVENTIONS
• ADVANTAGES• Documents easily located• Avoids duplicating work• Distinguish final versions of drafts• Facilitates automated search and
management
• CONVENTIONS SHOULD BE: • Simple and consistent• Clear, concise, and relate directly to what will
reside in the folder• Understandable• Based on existing conventions and standards• Related to manual filing system
EXAMPLES• Projects
• Project name and Date Project Closed
• Timesheets• Name of Employee and Fiscal Year
• Meeting Minutes
• Function of File and Year of Meetings
• Permits• Type and Year Issued
Organizational Excellence
Filing structures and naming conventions
• How will someone look for it?
• How will someone get rid of it?
• Think about alphabetization
• Think about performing a search
• Eliminate redundancy
• Eliminate ambiguity
• Don’t overdo it! In records management, the “cut-off” is the trigger that starts the clock on
the retention period.
Thinking Outside the Boxes
Remember, its easier to apply retention on the folder level rather than to individual files
Belaboring the ‘Point
• Nearly anything I’ve said about shared drives is equally applicable to SharePoint
• One additional bonus, AUTOMATED RETENTION
I love Collaborative Workspaces
Automated Retention!
PURGING ELECTRONIC DOCUMENTS
• Same requirements as paper records
• Disposed of according to records retention schedule
• Need to be purged from all areas -- word processing, excel spreadsheets, databases, cloud, etc.
Make It All Regular
• Schedule a regular clean-up – align it with retention cut-offs
• Prior to clean-up, check on existing legal holds – lift it or reiterate it
• Make sure retention periods are clear and understood
• Identify records that aren’t being managed – explore new ways to handle them
Each type of record has a retention period which includes a cut-off(the cut-off specifies when the retention clock starts counting down).
The retention clock continues to count down while a legal hold is in place –it is only the destruction that is on hold. If a hold is lifted and the retention period has expired, the record can be disposed of immediately.
Don’t Forget…..Cloud Computing
You are responsible for:
• Ensuring you still own the records
• Organization (Filing system)
• Searching for Public Records Requests and Litigation
• Deleting at the end of the retention period
They are responsible for:
• Backups
• Purging records
Cloud Storage
Is it accessible?
Is it secure?
Is it backed up?
Can it be organized?
Does it allow for managing records throughout their lifecycle?
Does it allow for deletion at the end of the retention period?
Will you retain ownership of the data?
Will you be able to perform a data migration if the service changes?
Exercise: Ideas for Quick Clean-Up Review and delete drafts if a final version has been approved
Sort folders and files by date
Delete folders/files whose dates have past their retention period
Break
Archival Management
Points To Cover
• What is an Archives?
• What are Archival records?
• What do I do with Archival records?
• Resources
What is an Archives?
AS 40.21.150 Definitions
• “archives” means(1)(A) the noncurrent records of a state agency or political subdivision of the state preserved, after appraisal, because of their value; also referred to as archival material or archival holdings
Lets Translate That….
Records, regardless of characteristics or format, that need to be kept permanently because they have lasting value.
Values may be:• Administrative• Legal• Fiscal• Historical
Go back to the state definition of a record:
“…….as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the state or political subdivision or because of the informational value in them…”
What Sort of Records Are Archival?
“SPECIFIC RECORDS”Minutes
Ordinances
Resolutions
Annexation Records
Annual Reports
Master Plans
“SUBJECTIVE RECORDS”Statistics
Planning and Community Development
Utilities expansion
Housing
Records about growth and development of municipality and its people and about how government grew and changed
EPHEMERAScrapbooks
Photographs
Maps
Newspapers
Pins
Archival Resources: State Archives
• Required as per AS 40.21.020
• Ingests public records of permanent value
• Operates the State “archival depository”
• State Archivist is the official custodian of the archival resources of the state
State Archives Responsibilities
• Preservation
• Arrangement
• Repair
• Rehabilitation
• Duplication
• Reproduction
• Description
• Exhibition
(AS 40.21.030)
What To Do With Your Archival Records
• Governing Body may authorize the transfer of records (to the State Archives) that have legal, administrative or historical value but that are not required for the transaction of current business.
• Prepare a list describing the records transferred in sufficient detail to identify them
Note: State archives becomes the legal custodian of the records in its possession
(AS 40.21.090)
Setting Up Your Own Archives
• Create a collection policy
• Purchase Acid Free boxes/Folders
• Only use Pencil around archival records
• Maintain Provenance
• Arrange and Describe the records
• Safe storage• Temperature and Humidity• (70 degrees and humidity between 30-50%)• Avoid fluctuations and light• Flat storage—nothing rolled
QUESTIONS/COMMENTS?
Resources
Association of Records Managers and Administrators (ARMA)
https://www.arma.org/
Society of American Archivists
https://www2.archivists.org/
National Association of Government Archivists and Records Administrators (NAGARA)
https://www.nagara.org/
Alaska State Archives
http://archives.alaska.gov/
National Archives
https://www.archives.gov/
Library of Congress
http://www.loc.gov/preservation/
Thank You!
Barbara Benson, Director
Records Management Services
University of Washington
http://finance.uw.edu/recmgt/
