Records Management For the 21 st Century Making it Systematic & Routine Mary Beth Herkert, CRM, CA State Archivist.

Records ManagementFor the 21st Century

Making it Systematic & Routine

Mary Beth Herkert, CRM, CAState Archivist

Points of Interest9% of agency/corporate annual budgets are dedicated to e-discovery

The Secretary of State spent 2.5% of its biennial budget in setting up ERMS. Ongoing licensing and maintenance will equal less than 1% of the agency’s biennial budget.

Dupont reviewed 75 million pages and found half were past retention. Cost for review of records past retention - $12 million

Estimates - employees spend 25-40% of their day searching for the right information to complete a given task.

Estimates – organizations can only retrieve about 22% of records relevant to an e-discovery case.

Agencies without an active policy and strategy for managing information will spend one-third more time on e-discovery than agencies that do.

It is becoming cheaper to settle out of court than to defend your agency.

Solution: Become Proactive and Manage your Information

Know The Laws

Public Records ManagementOregon Public Records Laws – Retention & Disposition

Oregon Public Records Laws (Access)“’Public record’ includes any writing containing information relating to the conduct of the public’s business, including but not limited to court records, mortgages, and deed records, prepared, owned, used or retained by a public body regardless of physical form or characteristics.” – ORS 192.410 (4)

'Public record’ means any information that: (A) Is prepared, owned, used or retained by a state agency or political subdivision;(B) Relates to an activity, transaction or function of a state agency or political

subdivision; and (C) Is necessary to satisfy the fiscal, legal, administrative or historical policies,

requirements or needs of the state agency or political subdivision.

Each state agency or political subdivision shall maintain a public record or accurate copy of a public record in accordance with a retention schedule authorized under the law without regard to the technology or medium used to create or communicate the record.

Why the Change?

Original Law written in 1961; last amended in 1989

Always assumed that a record was something tangible or something that could be captured

Definition was confusing

Applying the old definition to newer technologies was difficult

Intent of the Changes

To create a definition that is clearly technology independent

To create a definition that is easy to understand and apply for records retention and disposition

To formalize the requirement of having written policies and procedures that address use, retention and ownership of public records

To create a definition that can deal with a technology such as social media and any new technologies that are developed down the road

Traditional ComputingA series of products (software, hardware, etc.) that an agency buys, configures and maintains to satisfy agency needs.

Cloud ComputingIs the delivery of computing as a service rather than a product, whereby shared resources, software, and information are provided to computers and other devices as a utility (like gas, electricity, etc.) over a network (typically the Internet).

Public Meetings Law

“The Oregon form of government requires an informed public aware of the deliberations and decisions of governing bodies and the information upon which such decisions were made. It is the intent of ORS 192.610 to 192.690 that decisions of governing bodies be arrived at openly.” - ORS 192.620

What the Laws Include

They are all inclusive

AND

They DON’T distinguish between home or office

Be prepared by……

Having written Policies and Procedures that address use, access, retention & ownership of public records; make sure that staff signs the policy; and that staff is trained on the policy

Corvallis Policies

Having an authorized and up-to-date records retention schedule

Using the schedule systematically and routinely

Records Retention Schedules

Records Retention - What is it?

Records retention is the minimum length a time that a public record must be kept to satisfy administrative, legal, fiscal and historical requirements of that public record. Retention is applied to ALL public records.

A records retention schedule, approved by the State Archives, is your legal authorization to destroy public records.

Retention is determined by the content of the information and not by the medium that it is produced or transmitted in.

Retention periods can be as short as 1 day or as long as forever (permanent).

Administrative needs of the agency

Fiscal requirements of the agency

Legal requirements of the agency

Long term research value (Historical)

Appraisal Values of Records

OAR 166-200-0285 Mayor/Council - documents the activities and decisions of the city’s elected officials.

(1) Appointment Records (166-200-0070(1)) Minimum retention: (a) Mayor or councilor appointments, retain permanently; (b) Commissioners and other positions, if appointed, retain 6 years after separation; (c) All other positions, if not appointed, retain 1 year.

(2) Legislative Issues Records (166-200-0070(3)) - Minimum retention: 4 years.

(3) Proclamations (166-200-0070(4)) Minimum retention: (a) Proclamations requested by outside groups or organizations, retain 1 year; (b) All other proclamations, retain permanently.

(4) Sister City Records (166-200-0070(5)) Minimum retention: (a) Ceremonial agreements, retain permanently; (b) Financial records, retain 3 years.

(5) State of the City Addresses (166-200-0070(6)) - Minimum retention: Permanent.

General Schedule Example

Deciding what is a Public Record

Is the information prepared, owned, used or retained by you, your division or program? Does the information relate to an activity, transaction or function performed by you, your division or program; and

Is the information necessary to satisfy the fiscal, legal, administrative or historical policies, requirements or needs of your division or program?

If you answer yes to all three of these questions, then you have a public record.

Social Media and Public Records

Public Records are…

Contracts, purchasing records,Uncollected Fees Records Payroll and Personnel records, calendars

Assumed Business Names, Notary Public Registrations, Oregon Business Guide Publications

Municipal Audit Reports, Audit Work Papers, Government Waste Hotline Log Records

Speeches, Press Releases, Oaths of Office

Voter Registrations, Campaign and Expenditure Statements, Election Recount Records, Voters Pamphlet

Infrastructure Research Project Records, Completed Systems Project Records,Information Systems Policy Committee Records

Oregon Blue Book, Administrative Rules Subscription Records, Records Retention Schedules, Records Center Records Requests, Patron Registration Records

E-mail messages fitting the definition of a public record

Public Records Examples

Public Records Examples

Public Records Examples

Public Records Examples

Public Records Examples

Public Records Examples

Duplicates Listserv Messages, Advertisements, junk mail/spam

General mailings such as Governor’s Food Drive, Charitable Fund Drive, timesheets ready to approve messages, etc.

Reference material such as articles, magazines and books

Voice mail

Public Records are not…

Non Public Records

Non Public Records

Non Public Records

Non Public Records

Drafts Project Team Records – who is responsible?

Notifications

Message strings

Social Media Postings

Public Records – “The Gray Area”

Public Records – “The Gray Area”

Public Records – “The Gray Area”

Public Records – “The Gray Area”

Public Records – “The Gray Area”

Quick Test

Public Record?

Quick Test

Public Record?

Quick Test

Public Record?

Quick Test

Public Record?

In Conclusion………

Storage of information = Management of information

Know the Public Records Laws and Public Meetings Law and what they mean

Have written policies and procedures that address use, access, retention and ownership of your information

For More Information…

Archives Division - Information Resource Management Unit

Phone: (503) 373-0701E-mail: mary.e.herkert@state.or.usWebpage: http://arcweb.sos.state.or.us