Records Management Training for Maine State Employees · Records Management Training for Maine State Employees ... Waste of resources/money to store ... As a government employee,

1

Records Management

Training

for

Maine State Employees

Maine State Archives Records Management Training October 2016

Welcome to Records Management!

OVERVIEW Introduction

What is Records Management

Records Management Responsibilities

An Overview of the Records Management Process

Where to Go for Help

Brief Overview of Email Management

The State Records Center – Transfer and Retrieval of Records

Questions

2 Maine State Archives Records Management Training October 2016

The Exciting World of RM


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Maine State Archives

Records Management Program

Why Our Program Exists – Because it’s written in Maine Statute

And this Statute is based on an International (ISO) Standard for Records Management


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What is Records Management Records management is controlling records throughout their life cycle.

This begins with the creation or receipt of a record and continues

through maintenance, use, and disposition. Records Management is the

process by which an agency captures and maintains evidence of and

information about its programs, transactions, policies and procedures in

the form of records.


https://www.youtube.com/watch?v=3rNJwvvyMA8



HOWEVER….

Records Management is not always an exact

science.

Part of Records Management

is using common sense and

sound judgment.


Records Management – What We Do

• Provide standards, procedures and techniques for effective

management of records

• Help establish retention schedules

• Provide training

• Provide assistance in the transfer and retrieval of records


State Agency Responsibility

• Appoint an Agency Records Officer

• Records management program/policy

• Inventory agency records and have updated schedules

• Appoint Assistant Records Officer(s) as needed

• Train employees


Reasons Why Good

Records Management is Vital

Facilitates effective performance and delivery of services throughout

an agency

– Allows quicker retrieval of documents and information from files

– Improves office efficiency and productivity

– Provides better documentation

– Frees up office space

Protects the rights of the agency, its employees, and its customers

– Protects records from inappropriate and unauthorized access

– Meets statutory and regulatory requirements

– Provides protection and support in litigation

Better information, at the right time, makes sense for staff, the

organization and the public!


Maine State Government

Needs ALL Staff

To Be a Part of Records Management

All State employees need to learn more about

Records Management and how to do their part.

Maine State Agencies produce records every day. They are the

vital component to the functionality of the agency for

administrative, fiscal, legal and historical purposes.


Implications of Improper Record Keeping

Presumption that records are correct and complete

Waste of resources/money to store unnecessary records

Inability to locate information when needed

Destruction of records before they have met fiscal or legal

requirements or possible destruction of archival records

Having to produce records in Discovery proceedings that

otherwise should have been destroyed


Why Should You Care

About Records Management?

Because whether we want to accept it or not, we are all

an integral part of the agency and how it conducts its

business. If YOU are mismanaging records you could be

in danger of harming the integrity and reputation of the

agency, not to mention any legal ramifications the

mismanagement of records can pose.


Is Managing Records

YOUR Responsibility?

All state employees are responsible for creating records needed to

do the business of their agency, and documenting activities for

which they are responsible. As a government employee, you are

responsible for managing any and all public records (including

email) for which you are the custodian.


Records Management Procedure

Agency Management Responsibility Creating and maintaining an efficient and continuous records management program

(this includes creating an agency RM policy)

Records Officer Responsibility Implement the program and oversee records inventory process

and records scheduling.

Employee Responsibility If Management and the Agency Records Officer are doing their parts…

Employees will know what records they are responsible for, how long records are to

be retained, and where to go for answers.


The Records

Management

Process

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Have the Right People in Place

Records Officers and Assistants

A Records Officer Coordinates the Department’s Records

Management Program and ensures records management

activities are performed in accordance with standards and

procedures.

Maine State Archives Records Management Training Oct. 2016 16

Identify Your Records – the Records Inventory

An Inventory is perhaps the most important, often overlooked

step in the Records Management process. BUT…if you don’t

know what you have, how can you properly schedule your

records and determine what should stay and what should go.

Further Information: National Archives Video: Word of the Week – Inventory

Maine State Archives Records Management Training Oct. 2016 17

An Inventory is a high

level survey of all

types of information

created, received and

stored by your agency.

https://www.youtube.com/watch?v=9vJnSy3KakA&list=PLugwVCjzrJsWbTAkNkRdOj_LsgsVpMHeZ&index=13




What is a Record?

Record means all documentary material in any

format (paper, microfilm, digital records

including e-mail messages and attachments),

made or received and maintained by an agency in

accordance with law or rule, or in the transaction

of its official business.

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The Life Cycle of Records

Creation: Receiving or generating information for the first time

Active/Current: Using or referring to it regularly in the course

of business

Inactive/Noncurrent: Infrequent need, but kept for fiscal,

administrative, legal, or historical purposes per the schedules

Disposition: The final fate of a record – destroy or archival

(permanent retention)


If you answer “yes” to any of these questions, you may have a record:

Was it created in the course of business?

Was it received for action?

Does it document agency activities and actions?

Is it mandated by statute or regulation?

Does it support financial obligations or legal claims?

Does it communicate agency requirements?


Are Drafts Considered Records?

Drafts or working documents are records but they might

only need to be retained for a brief period of time if they do

not have significant administrative, legal, fiscal or historical

value.

For more information on DRAFTS see the July 2016 Advice Bulletin


http://www.maine.gov/tools/whatsnew/index.php?topic=arcbulletin&id=690541&v=article

If you answer “yes” to any of these questions, you may have non-

retention material (or “non-records”):

Is it reference material?

Is it a convenience copy?

Is it a stock copy?

Is it only related to your personal affairs?

For more information watch the NARA video on Non-Records

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https://www.youtube.com/watch?v=dwc-jsBNpvQ&list=PLugwVCjzrJsWbTAkNkRdOj_LsgsVpMHeZ&index=7



Things to Consider

• Not all business materials are records that require a retention

time

• Part of a records management program is deciding what is

and what is not a record

• Focus on material’s content, not the format

• Most non-retention or “non-record” materials don’t document

government business or are duplicates

• Records must be managed throughout their life cycle,

according to their retention schedules


1. How Do You Manage Your Records?

Start by asking yourself:

What types of records do you create?

Examples could include client files, project documents or

administrative type records such as invoices or agency

general correspondence.

It’s important to consider the aspects of your job and the

types of records you might be creating.


2. What is the Purpose of the Records?

Next Review:

Why are these records created and maintained?

There are a number of valid reasons for creating files such

as statute, regulation, management reporting, and program

administration.

There are also less valid reasons such as reference or

personal convenience.

Concentrate your attention on the files that directly support

the agency’s mission.


3. Who is Responsible for the Records?

Then Think About:

Who is responsible for these records?

Generally there should only be one “custodian” for each

type of record.

Where are these records located?


Schedules And

Record Retention

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Managing Your Records

In order to have the information you need (when it’s

required), there has to be a way to identify, manage

and retain records for the right amount of time.

Records are managed by creating agency schedules.


What Is a

Records Schedule? A records schedule describes

agency records, establishes a period

for their retention by the agency,

and provides mandatory

instructions for what to do with

them when they are no longer

needed for current Government

business.

This includes digital records or

records that never leave the

creating agency's custody.

Schedules and retention periods

apply to ALL government

records.


Why You Need Schedules

Legal authority to retain and purge records

Capture business process

Ensure proper records management practices

30 Maine State Archives Records Management Training October

2016

What Schedules Can Do

• Ensure records are organized and maintained

• Protect legal rights and interests

• Helps preserve historical/archival records

• Determine appropriate records media

• Maximize storage

• Provide security and control

Schedules make sure everyone in the agency is retaining

records for the same amount of time!


Types of Retention Schedules

• General Record Schedules - issued by the

Maine State Archives to provide retention

and disposition standards for records

common to most State agencies

• Agency Schedules – for those records unique to the office


Do your records fall under the State General Schedules?

Most of the General Schedules relate to audit, fiscal, correspondence or

other administrative office procedures. • Schedule 1, Vendor Series

• Schedule 2, Accounting Series

• Schedule 3, Payrolls and Authorizations

• Schedule 4, Income Series

• Schedule 5, Budget Series

• Schedule 6, Financial Order Series

• Schedule 7, Attorney General Opinions Series

• Schedule 8, Inventory Series

• Schedule 9, Records Management Series

• Schedule 10, Personnel Series

• Schedule 11,MFASIS Reports

• Schedule 12, Minutes of Meetings

• Schedule 13, State Agency Correspondence

• Schedule 14, Rules Adopted by State Agencies

• Schedule 15, Quality Management Records

• Schedule 16, State Employee Charitable Programs

• Schedule 17, Freedom of Access Act


http://www.maine.gov/sos/arc/records/state/GS 1.pdf

http://www.maine.gov/sos/arc/records/state/GS2.pdf
















Agency Specific Schedules

Agency Record Schedules are those created because of unique programs or

activities within your agency. They should be reviewed annually and

updated as necessary by your Records Officer. Any schedules and

amendments must be approved by the Maine State Archives.

Are you familiar with your Agency Schedules? Find them on our website:

Agency Schedules


http://www.maine.gov/sos/arc/records/state/agencyschedules.html

Agency Schedules – Process

The Agency Records Officer submits an

Application for Records Retention Schedule

and Inventory Form (available on our website)

with proper justifications for the chosen

retention times. Samples of the records are also

submitted.

Maine State Archives Records Management Training October 2016 35

http://www.maine.gov/sos/arc/records/state/recordsforms.html

Determine Retention and Disposition

Unfortunately, there is no universal guide to determine retention periods

and disposition methods. Each record series needs to be examined

individually in regard to usage patterns, departmental needs, historic

value and legal issues.

The most important principle to remember is this: Content, not

format, determines retention.


Determining Retention Periods

4 Part Criteria

1. Administrative use: What is the value of the records in carrying out the function of the

organization? How long are they needed for immediate retrieval?

2. Legal requirements: Is a certain period specified for compliance with statutes, agency

rules or protection of legal rights and interests of the state? Are Federal retention periods

involved?

3. Fiscal requirements: How much time must be allowed for the completion of fiscal

activities such as audit or budget?

4. Historical or research purposes: Do these records document historical events or the

history and development of the organization?


Record Disposition

Non-archival (non-permanent) retention is based

completely on the record’s time-value to the business

functions of the agency, including audit or other statutory

requirements, and reasonable access by interested parties.

Archival (or what is sometimes referred to as

Permanent) retention is based on the record’s value after it

no longer serves the agency’s business.


Things To Consider

Avoid the “Just in Case” or CYA syndrome.

Information should be retained if there is a reasonable

probability it will be needed at some future time to support

legal or business objectives, and the consequences of its

absence would be substantial.

Remember, the presence or absence of information can be

either helpful or harmful.

A retention period is most likely to be valid if it is based on a

consensus of the opinions of persons most knowledgeable

about the value of the information.


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Where To Go

For Help


The Agency Records Officer

The Agency Records Officer should have a thorough knowledge

of agency functions, the records created to fulfill those functions

and the schedules which define the retention and disposition of the

records. A list of all appointed records officers can be found on

our website.


http://www.maine.gov/sos/arc/records/state/recordsofficers.html

Records Schedules

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If you have a question

regarding retention and

disposition of records you

should first check both the

General Schedules and

Agency Schedules to confirm

how long you need to keep

certain records.

Remember the total retention

time may include time stored

at your agency and any time at

the Records Center.


http://www.maine.gov/sos/arc/records/state/generalschedules.html

http://www.maine.gov/sos/arc/records/state/generalschedules.html

http://www.maine.gov/sos/arc/records/state/agencyschedules.html

Agency Policy

Does Your Agency Have a Records Management Policy?

A policy will guarantee all employees are following the same records

management procedures.

Where

What

How

Who


Maine State Archives

Record Management

Our staff can assist with training, schedule or transfer

questions or other record related questions.

Also, go to our website for schedule and records officer

listings, training and resource information and records

management forms.


http://www.maine.gov/sos/arc/records/state/index.html

Other Sources

Are there any Federal Laws or State Statutes

Agency Chapter Rules

Does your agency have a FOAA representative

Contact your agency AAG for legal questions


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Email

Management


Email Management

First Things First

When you ask: How long do I keep my e-mail?

Remember…Email is a format, not a record.

Retention is determined by the content of the email.

Records are unique and email is subject to the same retention requirements as paper correspondence.


Why Bother to Manage Email?

Because these are potential records and just like

records in paper format, they must be managed so

they can be retained, accessed and destroyed at the

appropriate times.


Email Schedules

Email is typically considered general correspondence.

In the General Records Schedules, most general

correspondence, and therefore most email, has a

retention period of 2-5 years.

General Schedule #13: State Agency

Correspondence


General Schedule #13

Series 1 – Commissioner/Executive Correspondence

Retention of Record Copy: 2 Years Disposition: Archival

Series 2 – Program Correspondence

Retention of Record Copy: Variable Disposition: Destroy

Series 3 – General Correspondence

Retention of Record Copy: 2 Years Disposition: Destroy

Item 4 - Transitory Correspondence

Retention of Record Copy: Retain until no longer needed

Disposition: Destroy

Item 5 – Non-Business Related Correspondence

Retention of Record Copy: Delete/destroy immediately


When Are My Emails Records?

If you are conducting government

business in that email it is considered a

record (communication sent or received

in the transaction of state government

business.)


Things to Consider

Think about what types of email you send and receive.

Non-retention material such as spam or personnel messages

should be deleted immediately.

Transitory records can be deleted when no longer needed and

should be kept no longer than 30 days.

If emails are CC’s or Forwards where no action is taken or

required they typically can be deleted.

If you are the official custodian of any email records YOU are

the person responsible for retaining them until they have

served their retention.


Email Planning

Organizing Folders

It is best to set up folders in your Outlook mailbox that

organize email messages according to your retention

schedules, with sub-folders set up by year and month.

For more information on mailbox and archive folders

watch OIT’s 8 minute video:

http://inet.state.me.us/foaa/mailbox-archive-folders.mp4


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A Word of Warning

ONE IMPORTANT EMAIL NOTE

Be careful when seeing the word “archive” or “archiving” on

the OIT site. This does not mean all email should be saved as

a permanent record. Remember, email is only a format. It is

the content of the email that matters and each record should be

retained according to schedules.


Some Suggested Email

Folders/Filing Schemes

• Personal email or non-record material (should be deleted immediately)

• Transitory email (delete when no longer needed – typically 30 days or shorter)

• General correspondence requests (delete after 2 years)

• Program related emails (retain according to schedule)

• Permanent email (save to archival folders)


Email Tips

• Don’t use personal email for professional business

• Don’t delete or save emails indiscriminately

• Limit the use of “Reply All”

• Fill in/use meaningful subject lines

• Plan daily email times

• Consider an Agency-wide Electronic Records time

• Separate transitory email

• Cc: yourself


Tools in Outlook

Organize email by categories which makes it easy to send them to appropriate folders in your inbox or archives (pst) to meet out their retention.

Set up rules to help manage your inbox and send emails to specified folders.


When records are kept in more than one format, you

should identify an official “record copy” to which

you will apply the full retention period. When the record

copy is electronic, it’s important to identify the storage

location (directory and subdirectory) so that all changes

are made there and that records are purged once they

have met their retention.


Legal Implications

Organizing and managing records (including electronic records) limits your liability for deleting records you shouldn't, and gives you authority to delete files you should delete. It will also reduce legal exposure in DISCOVERY proceedings on records that otherwise should have been destroyed.

In other words…IF IT EXISTS AND

SOMEONE ASKS TO SEE IT, THE

AGENCY HAS TO PRODUCE IT!

For more information on Freedom of Access Act

Go to the FOAA website.


http://www.maine.gov/foaa/

How Do I Find the Time?

Email is something that can no longer be ignored.

Managing email has to become part of our jobs, part of our daily routine and has to be recognized as being important enough to incorporate that management into our work process.

State government email is used in so many ways for which it is not intended. How many of these type of email messages do you see in a day?

• ”Thank you!”

• “You’re welcome!”

• “Hey, can you come see me?”

• “Yes I’ll be there in a minute.”

• “Okay.”

Consider how much email we could cut out of our lives right now if we pick up a phone or get out of our chairs or just THINK before we send the email.


Final Note

When an employee leaves a

position, computer files,

including e-mail, may NOT be

automatically deleted!

Checklist for Departing

Employees (pdf)

For more information go to the

OIT website


http://inet.state.me.us/foaa/documents/Checklist_saving_email_files.pdf



http://inet.state.me.us/foaa/archiving.aspx

Final FINAL Note

How Does Records Management

Become a Priority? My question is, how can it not be?


• Let records management take you... from heap to harmony...

from chaos to control. (Christopher Gaines)

• Information which is not communicated is valueless

Information which cannot be found is worthless

The value of Information is directly related to its accessibility.

(Katie Geuin)

• ABC of RM:

A: Keep what must be kept

B: Shred what may be shredded

C: Understand the difference between A and B (Yves Légaré)


Records Staff Tammy Marks

Director

287-5799

[email protected]

Felicia Kennedy

Management Analyst (creating/amending schedules)

287-5798

[email protected]

Robert Caron

Records Center Supervisor (record retrieval, packing boxes for shipping, filling out forms)

287-5792

[email protected]

William Towne

Records Center Assistant (record retrieval, packing boxes for shipping, filling out forms)

287-3627

[email protected]

Maine State Archives: http://www.maine.gov/sos/arc/records/state/


mailto:[email protected]








http://www.maine.gov/sos/arc/records/state/

QUESTIONS? Felicia Kennedy

Management Analyst

287-5798

[email protected]

Maine State Archives: http://www.maine.gov/sos/arc/records/state/



http://www.maine.gov/sos/arc/records/state/

Records Management Training for Maine State Employees · Records Management Training for Maine State Employees ... Waste of resources/money to store ... As a government employee,

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