Records & Information management 101

Records & Information management 101

Earl Rich, CRM

Donna

Read, CRM, CDIA+

Florida Gulf Coast ARMA Chapter

March 30, 2017

www.fgcarma.org

Why Do we care about RIM?

Records are essential to protecting life

Medical records allow doctors to treat patients safely and effectively

Maps and floor plans allow rescue workers to locate victims of disastersInfrastructure records showing locations of utility lines keep rescue workers safeConstruction records help engineersassess damage to bridges, tunnels,levees

We care because…..

Records are essential to protecting property

Plats, deeds, and mortgage records establish ownership of real property

Insurance records help owners recover lossesProbate records and wills prove inheritance Bank records verify financial assetsDivorce records include property distribution

Personally Identifiable Information (PII)

Security Information (cyber and physical)

Medical Information (HIPAA)

Agency Investigations (criminal or internal)

Proprietary Business Information

Information on Government Facilities

F.S. § 119.01(1)

We REALLY CARE BECAUSE…

Records are about us…..

Records are essential to protecting rights

School records document educational attainment

Adoption records establish parental rightsMilitary service and employment records provide access to pensions and other benefitsGuardianship records protect those who cannot speak for themselves

Business needs records to function

Records are essential to restoring order and resuming operations following a disaster

Businesses need proof of assets, liabilities, contracts, and other legal obligations

Governments need documentation of decisions, regulations, precedents, and lines of succession and authorityIndividuals need proof of identity, medical histories, and documentation of assetsCommunities need historical records to retain a sense of continuity with the past on which to build a future

Mission of Records Management

Asset

or

Liability

Definition of Records management

RM is the

planning

, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records to achieve adequate and proper documentation of an organization’s policies and transactions, and effective and economical management of operations.

In two words

Operational Efficiency

Federal Definition of a record

“…all books, papers, maps, photographs, machine-readable materials, or other documentary materials,

regardless of physical form or characteristics

, made or received by an organization in connection with the transaction of business and preserved or appropriate for preservation by that organization or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities because of informational value of the data in them.” U.S.C. 3301

Statutory Definition

“Public records” means 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.

F.S. § 119.011(12)

Florida Supreme Court Interpretation

“…all materials made or received by an agency in connection with official business which are used to perpetuate, communicate, or formalize knowledge. All such materials, regardless of whether they are in final form, are open for public inspection unless the Legislature has exempted them from disclosure.”

Shevin v. Byron, Harless

, Schaffer, Reid and Associates, Inc., 379 So. 2d 633 (Fla. 1980)

What Is a record – ARMA International

A record is

recorded information

that supports the activity of the business or organization that created it. It can take the form of: paper documents such as a hand-written memo or a hardcopy report electronic records such as databases or e-mail graphic images such as drawings or maps; these may be in photographic, electronic, or hard-copy formats

What is a record?

3-prong test

1

– Was a record created? - Conversation in the hall is not a record unless you create a record.2 - Was the record created in the course of business? - Email discussion about the classic car for sale at the corner is not a Federal record.3 - Was there any evidential or informational value in the document? – Email indicating that the meeting was moved to a new conference room has no inherent value.

13

Categories of records

Program vs.

Administrative Records

Permanent vs. Temporary

Program records - Unique

Program records are the records that directly support the

mission

of the organization. KFC cares about it’s secret recipe of 11 herbs and spices (part of the KFC mission)KSC cares about putting orbiters into space –launch codes (part of the NASA mission)SWFWMD cares about managing water in SW Florida district – maps of wetlands (their reason for existence)

Administrative records

Administrative records are the records created in performing common facilitative functions that support the mission activities, but do not directly document the performance of mission functions

.

Administrative records relate to budget, finance, human resources, equipment and supplies, facilities, contracting, etc.

Examples of Administrative records

Purchase order

Personnel files

Travel authorizations and vouchersPayroll databasesNetwork backup tapesBuilding utility diagrams

Permanent or temporary

Permanent

really means you are going to keep it forever, and ever, and ever…….

Better be the good stuff that really mattersTemporary means you get to get rid of it, eventually….Better be sure you are making the right decision, you only get to destroy it once

Records lifecycle

Creation/

Receipt

Maintenance

and Use

Disposition

Permanent

(1

–

3%)

to Archives

Temporary

(95

–

98%)

Destroyed

Creation/

Receipt

Maintenance

and Use

Disposition

Permanent

(2

–

5%)

to Archives

Temporary

(95

–

98%)

Destroyed

Records Terms

Records Series

– like items grouped together (you don’t put finance records with personnel records)

Records Retention Schedule or Disposition Schedule – listing of all records series, descriptions and retention requirementsFile Plan – subset of your retention schedule but geared to your area of responsibility

Sample File Plan

Is everything a record? -

No

Records

Personal papers Business information

Elements of a complete record

CONTENT –

WHAT IS IN IT

CONTEXT – WHAT IS AROUND ITSTRUCTURE – WHAT DOES IT LOOK LIKE

BEHAVIOR –

HOW DOES IT ACT

Personal papers at work??

Stuff you get to take with you when you leave the organization

Awards you have received

Reference materials you accumulated prior to your current positionCopies of personnel related documentsPrivate or nonpublic in character

Business information that is considered a non-record

Convenience

copies

used only for referenceStocks of publications, handbooks, manuals, maps, etc.Library or museum materials used for exhibition purposes (not the same as evidence exhibits)Copies of directives, forms, or correspondence that does not require action, or not needed to document program activities

FORMATS AND MEDIUM MATTER, But……………

Technology obsolescence rolls over both of them!

These same principles and basics of RM101 need to be applied to records in all

formats and medium.Hard copy (paper/textual)Electronic versions

Systems that hold records

Records on the Cloud

Email, and social media tools

Collaborative tools

Data pools

The 8 principles of records management

arma

Principle of Accountability

Principle of Transparency

Principle of Integrity

Principle of Protection

Principle of Compliance

Principle of Availability

Principle of Retention

Principle of Disposition

Summary

We care about records and information because it affects our lives

Records Management is a defined job

Records have a lifecycleRecords have categories (program vs administrative, and temporary vs permanent)Records terminology means somethingFormat & medium matter – but watch out8 Principles of Records Management

The end

Donna Read, CRM, CDIA

+

dlread@verizion.netAndEarl Rich, CRMEarl.Rich@swfwmd.state.fl.usFlorida Gulf Coast ARMA Chapterwww.fgcarma.org