Records Management Essentials

Ann Marie PrzybylaNew 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 ControlFormal 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 RecordsDistinguish 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

ReformattingOptions 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 ERWhen

Planning records system

End of retention period

Computer reassignment or surplusing

HowPhysical 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 SelectiveStrategies vary, depending on the records’• 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 DynamicRecords • 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 FrameworkNeeds 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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