Basics of Records Management - FRMA Home

1 1. Welcome! FLORIDA Records . Management THE Basics . Vestina F. Crayton 2. Agenda What and Why of RM. Responsibilities How Records are managed Challenges of electronic Records Electronic Records Break! Records Inventory Records Schedules Disposition of public Records Evaluation 3. The Florida Department of State Records Management Program Chapter 257, The Florida Administrative Code Rule 1B-26. Rule 1B-24. 4. Florida DOS. Records Technical assistance Management 850-245-6750. Establish record retention Program schedules Services Operate the State Records Center Provide record Management seminars 5. Records Management Liaison Officer RMLO . It is the duty of each agency to designate a Records Management liaison officer.. Section (5)(a), 6.

2 Agency Records Custodian Custodian of public Records means the elected or appointed state, county, or municipal officer charged with the responsibility of maintaining the office having public Records , or his or her designee. Section (5), 7. What is a record ? Any documentary material that shows a transaction or activity Records can exist in any format Electronic documents, microform, photographs, sound recordings What makes it a public record = the information it contains 8. Definition of a public record All documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of the physical form, characteristics, or means of transmission, made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency.

3 (12). 9. public Records public record Non public Records 10. Why Records Matter Are critical to the proper functioning of all government agencies Contain information needed to conduct daily business Ensure government's ability to answer to the people Financial Records = tax payers and money spent Meeting minutes = decisions and actions taken Records protect: Life Property Rights Restore order 11. What is Records Management ? It is the process of maintaining information in a way that allows you to get what you need, when you need it Secure Preserve 12. Elements/ Activities of a RM Program Obtain strong policy and financial support Develop policies Put in place filing and indexing systems Conduct an inventory Establish and follow retention schedules Identifying and using technology appropriately Storing inactive Records in a cost effective and secure manner Disposition and obsolete Records 13.

4 Benefits of a RM Program Records Management is not optional (S. 257, ). Locating what you need when you need it Reducing the volume Improving storage and retrieval systems Increasing the efficiency of office operations Reducing costs for equipment, supplies, space, and personnel Improving customer relations Improving government accountability for public funds Reducing liability risks 14. Problems of Poor RM. Not being able to perform/ mission public suspicion of government officials Financial costs of: Time and resources to re-create Penalties imposed by courts Inability to respond to special requests Improperly disposing Accidental disclosure 15. Responsibilities and Terminology Duties of a record manager: Compiling inventories Determining how long each type of record should be retained Identify essential Records Duties of Information Technology (IT).

5 Coordinating with Records Management to ensure Records in information systems remain accessible throughout the retention period 16. Trustworthiness 1) Records provide evidence agencies have met their obligations to the public 2) Records are used as proof of activity Authentic Reliable Not deceptive Free from tampering Handled correctly throughout it's life Security never compromised 17. How are Records Managed? Overview: 1) Define a public record 2) Life cycle 3) Active vs. Inactive Records 4) Tools to manage 5) Identify requirements 6) Challenges of managing electronic Records 18. Define a public record (continued). An important aspect of the definition is regardless of physical form, characteristics, or means of transmission.

6 What are some types of formats? 19. Electronic Records What are some examples of electronic Records ? 20. 21. 22. Challenges of Managing Electronic Records Software dependency Sustainability Limitations to the life of the media Data migration Sharing Security 23. record -Keeping Requirements Ensure documentation that is: Complete documents entire transaction Consistent across all offices Concise only necessary documentation is included Compliant meets statutory & state rules/requirements Cost effective Records are maintained in an efficient and effective manner. 24. A public record is Not Always Open A Common Mistake: Some Records are exempt from disclosure, but they are still public Records . Creation Disposition Utilization record Storage Life Cycle Maintenanc e Preservatio Retention n HISTORICAL.

7 A. L. F. HISTORICAL. ADMINISTRATIVE. L. F. HISTORICAL. ADMINISTRATIVE. LEGAL. F. HISTORICAL. ADMINISTRATIVE. LEGAL. FISCAL. May 2, 2014 FRM-FL- S1 (c) 32. record Value Examples Historical Administrative Legal Fiscal 33. Active v. Inactive Records Active Records Inactive Records Used more than once a Used less than once a month month Should be stored on-site Should be stored in a Records storage facility 34. record Series, as defined by Rule 1B-24, record series means a group of related public Records arranged under a single filing arrangement or kept together as a unit (physically or intellectually) because they consist of the same form, relate to the same subject or function, result from the same activity, document a specific type of transaction, or have some other relationship arising from their creation, receipt, or use.

8 A record series might contain Records in a variety of forms and formats that document a particular program, function, or activity of the agency.. 35. record Series A record series is a group of related documents that work together to help an agency perform a particular function. 36. Records Inventory A Records inventory is a survey that What do you have How and where they are maintained Non- record materials Essential/ Vital Records 37. Elements of a record Inventory Records series title Description Inclusive dates Types of formats Identify your essential Records (vital). Physical location Volume Retention requirements (if known). record copy (master) or duplicate copy 38. record Copy record Copy public Records designated by the agency custodian as the official record If there is only one copy in existence, that will be the record copy regardless of whether the agency designated another copy as the master/ record copy Duplicates Reproductions that are not designated as the official record Duplicates are public Records and their retention requirement is OSA.

9 39. Did You Know? 40. Did You Know? 80% of the Records in our offices are duplicates. It is important that everyone is aware of the retention requirements! 41. OSA. 42. Obsolete, Superseded, Administrative Value lost OSA . Do not have legal, fiscal, or historical value. Duplicates are OSA . Transitory messages are OSA . OSA Records do not have to be documented when disposed OSA Records should be disposed of as soon as they are no longer needed 43. Records Retention Schedule Schedule Number Title Description Retention Period Date effective Name of agency or department Method of disposition or preservation Special instructions 44. Adhere to Retention Schedules A public record may only be destroyed or otherwise disposed of only in accordance with retention schedules established by the Division (of Library and Information Services, Florida Department of State, Records Management Program).

10 Section (6), 45. record Retention Schedules General Schedules Establishes retention for common Records Are established by the Florida Department of State Cover up to 75-80%. Individual Schedules Establishes retention requirements unique to a specific agency only. Are approved and established by the Florida Department of State Cover 20-25%. May 2, 2014 FRM-FL- S1 (c) 46. General Records Schedules General Records Schedules means retention requirements established by the Division for public Records common to all agencies or specific types of agencies within the State of Florida indicating the minimum time such Records must be kept. Rule (3)(g), 47. General Schedules GS1-SL State and Local Government Agencies GS2 Law Enforcement, Correctional Facilities, and District Medical Examiners GS3 Election Records GS4 public Hospitals, Health Care Facilities, and Medical Providers GS5 Universities and Community Colleges GS6 Building and Zoning (incorporated into GS1-SL).