The Seven Attributes of an Effective Records Management ...

1 The Seven Attributes of anEffective Records Management ProgramByThomas D. NorrisFebruary 2002 The University of the State of New YorkThe State Education DepartmentNew York State Archives Government Records ServicesAlbany, New York 12230 UU MM BB EE RRNN UU MM BB EE RRNN UU MM BB EE RR61 THE UNIVERSITY OF THE STATE OF NEW YORKR egents of The UniversityCARLT. HAYDEN, Chancellor, , .. ElmiraADELAIDEL. SANFORD, Vice Chancellor, , , .. HollisDIANEO NEILLMCGIVERN, , , .. Staten IslandSAULB. COHEN, , , New RochelleJAMESC. DAWSON, , , , .. PeruROBERTM. BENNETT, , .. TonawandaROBERTM. JOHNSON, , .. HuntingtonANTHONYS. BOTTAR, , .. North SyracuseMERRYLH. TISCH, , .. New YorkENAL. FARLEY, , , .. BrockportGERALDINED.

2 CHAPEY, , , Belle HarborARNOLDB. GARDNER, , .. BuffaloCHARLOTTEK. FRANK, , , New YorkHARRYPHILLIPS, 3rd, , .. HartsdaleJOSEPHE. BOWMAN, JR., , , , , AlbanyLORRAINEA. CORT S-V ZQUEZ, , BronxPPrreessiiddeenntt ooff TThhee UUnniivveerrssiittyy aanndd CCoommmmiissssiioonneerr ooff EEdduuccaattiioonnRICHARDP. MILLSCC hhiieeff OOppeerraattiinngg OOffffiicceerrRICHARDH. CATEDD eeppuuttyy CCoommmmiissssiioonneerr ffoorr CCuullttuurraall EEdduuccaattiioonnCAROLEF. HUXLEYAA ccttiinngg AAssssiissttaanntt CCoommmmiissssiioonneerr aanndd DDiirreeccttoorr ooff OOppeerraattiioonnssCHRISTINEWARDCC hhiieeff,, GGoovveerrnnmmeenntt RReeccoorrddss SSeerrvviicceessROBERTW. ARNOLDThe State Education Department does not discriminate on the basis of age, color, religion, creed,disability, marital status, veteran status, national origin, race, gender, genetic predisposition or carrierstatus, or sexual orientation in its educational programs , services and activities.

3 Portions of thispublication can be made available in a variety of formats, including braille, large print or audio tape,upon request. Inquiries concerning this policy of nondiscrimination should be directed to theDepartment s Office for Diversity, Ethics, and Access, Room 530, Education Building, Albany, NY12234. RReeqquueessttss ffoorr aaddddiittiioonnaal l ccooppiieess ooff tthhiiss ppuubbl liiccaat tiioonn mmaayy bbee mmaaddee bbyy ccoonnttaacct tiinngg tthhee SSttaat teeAArrcchhi ivveess TTr raai inni inngg aanndd GGr raannt tss SSuuppppoorrtt SSeerrvvi icceess, , RRo ooomm 99AA6 688, , CCuul lttuur raal l EEdduuccaat tiioonn CCeennt teerr,, AAllbbaannyy, ,NNYY The Seven Attributes of an Effective Records Management ProgramThe Seven Attributes of an Effective Records Management Program1 IntroductionRecords are a basic tool of government administration.

4 Recordsprovide information for planning and decision making, form thefoundation for government accountability, and are often subject tospecific legal requirements. Records are essential for Effective andefficient administration, but if poorly managed they can become aliability, hampering operations and draining Effective Records management1program helps an organizationget the most out of its Records . It also helps limit costs and the risksthat can come with poorly managed Records . An Effective recordsmanagement program has certain characteristics or Attributes ; TheNew York State Archives has identified Seven such Attributes of aneffective Records Management program. Records managers canassess the effectiveness of their programs by the presence orabsence of these Attributes .

5 A government office has an Effective Records Management programwhen the office .. ccrreeaatteess tthhee rreeccoorrddss iitt nneeeeddss,, aanndd nnoonnee tthhaatt iitt ddooeessnn are efficiently created in the normal course ofbusiness for all functions sufficient to satisfy legal, fiscal,administrative, and other recordkeeping requirements.. rreettaaiinnss tthhee rreeccoorrddss nneeeeddeedd aass eesssseennttiiaall eevviiddeennccee aanndd ggeettssrriidd ooff oobbssoolleettee are retained and usable for aslong as required for legal or business purposes, and thenefficiently disposed of or preserved as archives to supportsecondary uses..ssttoorreess iittss rreeccoorrddss eessppeecciiaallllyy aarrcchhiivvaall rreeccoorrddss ssaaffeellyy are stored and maintained in a safe, secure,cost- Effective fashion to support retention, access, and archivalpreservation where applicable.

6 Rreettrriieevveess iinnffoorrmmaattiioonn qquuiicckkllyy tthhrroouugghh eeffffiicciieenntt aacccceessss aannddrreettrriieevvaall systems provide Effective andefficient retrieval and access to Records , to support use by thecreating organization and by the public as appropriate underlaw.. uusseess tthhee rriigghhtt iinnffoorrmmaattiioonn tteecchhnnoollooggyy ffoorr tthhee rriigghhtt uses are made of information technology to store,retrieve, make available, and use Records . _____1 For a definition of this and other Records Management and archival terms, see the glossary at the back of this publication.. pprroommootteess aanndd ssuuppppoorrttss tthhee uussee ooff aarrcchhiivvaall rreeccoorrddss aass aaccoommmmuunniittyy secondary use of Records bypublic and other entities is supported and promoted.

7 Rreeccooggnniizzeess tthhrroouugghh ppoolliiccyy aanndd pprroocceedduurree tthhaatt rreeccoorrddssmmaannaaggeemmeenntt iiss eevveerryyoonnee ss Records managementgoals and priorities are integrated through the organization andits operations as part of the normal course of following is an elaboration of each of these Attributes , alongwith some indicators that can help Records managers determinewhether and to what degree each of these Attributes exists in CreationMany Records Management programs manage existing Records , Records Management often is not Effective during thetime that Records are being created. This can lead to redundantrecords, lack of clearly identified official copies, and insufficientrecords for audits or litigation.

8 An Effective Records managementprogram is one tthhaatt ccrreeaatteess aallll tthhee rreeccoorrddss iitt nneeeeddss,, aanndd nnoonnee tthhaatt iittddooeess nnoott Here are some indications of Effective recordscreation: Records are sufficient for audits. Unneeded Records and copies are kept to a minimum. Official copies of Records are identified. Records are available for litigation. New York State Archives guidelines and other professionalstandards are used in Records County is a good example of a government with effectiverecords creation as an integral part of its Records managementprogram. Adherence to county policies and state regulations ensurethat county departments have the Records needed for audits. Thecounty also keeps an inventory of all Records on computer thishelps track retention periods and locations of official copies ofrecords.

9 The Records Management department has completed needsassessments of recordkeeping in various departments, and has usedone assessment to institute major improvements in the creation ofsocial services case files. Lastly, guidance from the recordsmanagement department helps the county control production ofunnecessary Records and Seven Attributes of an Effective Records Management ProgramThe Seven Attributes of an Effective Records Management Program3 Records Retention and DispositionProper Records retention and disposition is key to an effectiverecords Management program. It ensures that Records are presentwhen needed for litigation, audits, day-to-day business purposes, orhistorical research, but that unneeded Records do not take up costlystorage space.

10 Regular and systematic disposition of recordsaccording to a State Archives retention schedule provides evidencethat Records which no longer exist were not destroyed to avoid theiruse as evidence in court or to evade Freedom of Informationrequests. Some indications that a good retention program is in placeinclude: Archival Records are identified early in their life cycle. Retention schedules are adopted and used in the normal courseof business. Office retention schedules are developed and used. Records are systematically disposed of. Electronic Records are retained and disposed of according toretention schedules. Plans are in place to ensure that electronic Records continue to beaccessible following technology changes. Disposition is routinely Town of Ledyard in Cayuga County is a good example of alocal government with Effective Records retention practices.