RECORDS & INFORMATION MANAGEMENT 101

Donna Read, CRM, CDIA+Florida Gulf Coast ARMA ChapterSeptember 20, 2016www.fgcarma.org

WHY DO WE CARE ABOUT RIM?

Records are essential to protecting life Medical records allow doctors to treat patients

safely and effectively

Maps and floor plans allow rescue workers to locate victims of disasters

Infrastructure records showing locations of utility lines keep rescue workers safe

Construction records help engineersassess damage to bridges, tunnels,levees

WE CARE BECAUSE…..

Records are essential to protecting property Plats, deeds, and mortgage records establish

ownership of real property

Insurance records help owners recover losses

Probate records and wills prove inheritance

Bank records verify financial assets

Divorce records include property distribution

RECORDS ARE ABOUT US…..

Records are essential to protecting rights School records document educational

attainment

Adoption records establish parental rights

Military service and employment records provide access to pensions and other benefits

Guardianship records protect those who cannot speak for themselves

BUSINESS NEEDS RECORDS TO FUNCTION

Records are essential to restoring order and resuming operations following a disaster

Businesses need proof of assets, liabilities, contracts, and other legal obligations

Governments need documentation of decisions, regulations, precedents, and lines of succession and authority

Individuals need proof of identity, medical histories, and documentation of assets

Communities need historical records to retain a sense of continuity with the past on which to build a future

DEFINTION OF RECORDS MANAGEMENT

RM is the planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records to achieve adequate and proper documentation of an organization’s policies and transactions, and effective and economical management of operations.

In two words

Operational Efficiency

FEDERAL DEFINITION OF A RECORD

“…all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an organization in connection with the transaction of business and preserved or appropriate for preservation by that organization or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities because of informational value of the data in them.” U.S.C. 3301

WHAT IS A RECORD – ARMA INTERNATIONAL

A record is recorded information that supports the activity of the business or organization that created it. It can take the form of:

paper documents such as a hand-written memo or a hardcopy report

electronic records such as databases or e-mail

graphic images such as drawings or maps; these may be in photographic, electronic, or hard-copy formats

WHAT IS A RECORD?

Donna’s 3-prong test

1 – Was a record created? - Conversation in the hall is not a record unless you create a record.

2 - Was the record created in the course of business? - Email discussion about the classic car for sale at the corner is not a Federal record.

3 - Was there any evidential or informational value in the document? – Email indicating that the meeting was moved to a new conference room has no inherent value.

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CATEGORIES OF RECORDS

Program vs.Administrative Records

Permanent vs. Temporary

TMI

• More processing power in an iPhone 5S than in the computer that landed Apollo 11 on the moon in 1969.

• 1990 – one million people owned a mobile phone – today, estimated six billion phones are in use.

• Humans will create more data (documents, email, text messages, social media postings, etc.) in the next 48 hours than was created in all of recorded history up until the year 2003.

• 300 hours of video is uploaded to YouTube every minute, 24 hours a day, 365 days a year.

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PROGRAM RECORDS - UNIQUE

Program records are the records that directly support the mission of the organization.

KFC cares about it’s secret recipe of 11 herbs and spices (part of the KFC mission)

KSC cares about putting orbiters into space –launch codes (part of the NASA mission)

SWFWMD cares about managing water in SW Florida district – maps of wetlands (their reason for existence)

ADMINISTRATIVE RECORDS

Administrative records are the records created in performing common facilitative functions that support the mission activities, but do not directly document the performance of mission functions.

Administrative records relate to budget, finance, human resources, equipment and supplies, facilities, contracting, etc.

EXAMPLES OF ADMINISTRATIVE RECORDS

Purchase orderPersonnel filesTravel authorizations and

vouchersPayroll databasesNetwork backup tapesBuilding utility diagrams

PERMANENT OR TEMPORARY

Permanent really means you are going to keep it forever, and ever, and ever…….Better be the good stuff that really

matters

Temporary means you get to get rid of it, eventually….Better be sure you are making the right

decision, you only get to destroy it once

RECORDS LIFECYCLE

Creation/Receipt

Maintenanceand Use

Disposition

Permanent (1–3%)

to Archives

Temporary (95–98%)Destroyed

Creation/Receipt

Maintenanceand Use

Disposition

Permanent (2–5%)

to Archives

Temporary (95–98%)Destroyed

RECORDS TERMS

Records Series – like items grouped together (you don’t put finance records with personnel records)

Records Retention Schedule or Disposition Schedule – listing of all records series, descriptions and retention requirements

File Plan – subset of your retention schedule but geared to your area of responsibility

SAMPLE FILE PLAN

IS EVERYTHING A RECORD? - NO

Records

Personal papers

Business information

ELEMENTS OF A COMPLETE RECORD

CONTENT – WHAT IS IN IT

CONTEXT – WHAT IS AROUND IT

STRUCTURE – WHAT DOES IT LOOK LIKE

BEHAVIOR – HOW DOES IT ACT

PERSONAL PAPERS AT WORK??

Stuff you get to take with you when you leave the organization

Awards you have received

Reference materials you accumulated prior to your current position

Copies of personnel related documents

Private or nonpublic in character

BUSINESS INFORMATION THAT IS CONSIDERED A NON-RECORD Convenience copies used only for reference

Stocks of publications, handbooks, manuals, maps, etc.

Library or museum materials used for exhibition purposes (not the same as evidence exhibits)

Copies of directives, forms, or correspondence that does not require action, or not needed to document program activities

FORMATS AND MEDIUM MATTER, BUT……………TECHNOLOGY OBSOLESCENCE ROLLS OVER BOTH OF THEM!

These same principles and basics of RM101 need to be applied to records in all formats and medium.

Hard copy (paper/textual) Electronic versions Systems that hold records Records on the Cloud Email, and social media tools Collaborative tools Data pools

THE 8 PRINCIPLES OF RECORDS MANAGEMENT ARMA

Principle of Accountability

Principle of Transparency

Principle of Integrity

Principle of Protection

Principle of Compliance

Principle of Availability

Principle of Retention

Principle of Disposition

SUMMARY

We care about records and information because it affects our lives

Records Management is a defined job Records have a lifecycle Records have categories (program vs

administrative, and temporary vs permanent) Records terminology means something Format & medium matter – but watch out 8 Principles of Records Management

THE ENDDonna Read, CRM, CDIA+

Senior Records AnalystRead Incorporated

dlread@verizion.net

www.fgcarma.org

Oil by DLRead