12 steps to creating and implementing a records retention ... · 12 steps to creating and...
TRANSCRIPT
12 Steps to Creating and Implementing a Records Retention Schedule
Jim Mack, CRM
MN GRINJanuary 17, 2007
January 17, 2007 Retention Schedule Basics 2
Why is this important?
PoliciesRegulatory compliance / best practice
ProceduresPreservation & disposal
ProductivitySpeed & efficiency
ProcessesWorkflow (business process management)
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THE BIG PICTURE
What do we have?What are they worth?What do we do with them?
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Records Inventory
Data Analysis
Retention Schedule
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12 Steps to Retention Scheduling
1. Define “record”2. Choose victim3. Agree on scope4. Conduct inventory5. Analyze results6. Research retention
7. Negotiate time8. Write schedule9. Gain approval10. Provide training11. Audit compliance12. Revise schedule
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1. Define “Record”
Recorded information, regardless of medium or characteristics, made or received by an organizationthat is evidence of its operations, and has valuerequiring its retention for a specific period of time.
Glossary of Records and Information Management TermsARMA International, Prairie Village, KS, 2000
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1. Define “Record”138.17 Government records administration.Subdivision 1. Destruction, preservation, reproduction of records; prima facie evidence.(b) For the purposes of this chapter:(1) The term “government records” means state and local records, including all cards,correspondence, discs, maps, memoranda, microfilms, papers, photographs, recordings, reports,tapes, writings, optical disks, and other data, information, or documentary material, regardlessof physical form or characteristics, storage media or conditions of use, made or received by anofficer or agency of the state and an officer or agency of a county, city, town, school district,municipal subdivision or corporation or other public authority or political entity within the statepursuant to state law or in connection with the transaction of public business by an officer oragency.
(2) the term “state record” means a record of a department, office, commission, commissioner,board or any other agency, however styled or designated of the executive branch of state government; a record of the state legislature; a record of any court, whether of statewide or localjurisdiction; and any other record designated or treated as a state record under state law.
(4) the term “records” excludes data and information that does not become part of an officialtransaction, library and museum material made or acquired and kept solely for reference…
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1. Define “Record”
Recorded informationEvidence of a government transactionValuable to the organization……for a specified period of timeNot dependent on storage medium
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1. Define “Record”
Proofthat we have donewhat we aresupposedto be doing.
Mack, 2006
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2. Choose Your Victim
…carefully
Are they ready?Cooperative?Supported?Resources available?Is value added?
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3. Agree on Scope
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4. Conduct the Inventory
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Definition of “Records Series”
Group of related recordsfiled and used together as a unitfor retention purposes
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Definition of “Records Series”
Data set:
A separate, discrete body ofcomputer data that is logicallyrelated, serves a commonpurpose or function, and thuscan be considered as a separate unit for analysis.
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Types of Records Inventories
DepartmentalTraditional (military)Disrupted by reorganizations
FunctionalStrategic (use and purpose oriented)Ownership is diffuse
Process-Focused**Tina Torres, CRM, PMP
“Creating a Process-Focused Retention Schedule”The Information Management Journal, September/October 2006
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Process-Based Scheduling
Fewer records seriesEnd users able to classify accuratelyBased on the core processesWork flow is integrated into scheduleRequires in-depth understanding of the
agency and output documentationRetention periods may be longer
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Records Inventory Methods
Physical - we do the heavy liftingSurvey – SMEs answer our questionsInterview – we meet the key playersHybrid – whatever works… …in our agency and the organizational
unit, function, or process under study
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Questions to Ask
Who?
What?
Where?
When?
How?
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Questions to ask – Who?
Who created or received the record?Who uses it in their job?Who controls the content?Who makes sure it is accessible?Who decides how long to keep it?Who can access the record?
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Questions to ask – What?
What is the business need for collecting the data?What would happen if we didn’t have access to the record?What value does the record have to the agency?
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Questions to ask – Where?
Where does the data come from?Where is it stored?
physical location digital address
Where is the duplicate copy of a vital record kept?Where does the record go when we are done with it?
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Questions to ask – When?
When did we start collecting them?When is it declared a record?When does the “retention clock” start ticking?When does it become inactive?When does it become obsolete?
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Questions to ask - How?
How many do we have?How do we protect the record from unintended destruction? (backup)How is the data in the record protected from unauthorized access?How is the record preserved for the duration of its retention period? (media)
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What’s on the Inventory Form?
TitleOwner / StewardPurposeDescriptionCitationsRetention requirements
Trigger eventLocation
MediaBackupWorkflowQuantity / Accumulation rateData Practices / Access restrictionsSystem requirements
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Schedule eRecords Separately?
Yes – Clarifies procedures
No – A record is a record
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What’s on the Inventory Form?
TitleOwner / StewardPurposeDescriptionCitationsRetention requirements
Trigger eventLocation
MediaBackupWorkflowQuantity / Accumulation rateSensitivity / Access restrictionsSystem requirements
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Who did it /Date
DataPractices
classification
BusinessContinuity
RequirementsOwner
GeneralDescription
New or
Revision
Inventory Form, Page 1
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Records Lifecycle Management
Time
Activ
ity Declaration (“trigger”)
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Inventory Form, Page 2
RecycleSecure
RecycleSecure
RecycleSecure
DISPOSAL
TotalTrigger event
Records center
TotalTrigger event
Records center
TotalTrigger event
Records centerRETENTION
ReportsDelivery method
WorkflowFiling
Indices
Sourcedocuments
CONTENT
OUTPUTPROCESS
USESTORE
INPUTCAPTURE
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www.epa.gov/records/tools
PurposeDescription
Title
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www.epa.gov/records/tools
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www.epa.gov/records/tools
TitlePurpose
Description
…about those electronic records…
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“completed jointly by employee and review team [records manager]”
Technical Stewards
DATASET
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5. Analyze Results
Records as an assetValueHow
valuable?
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The “Big Question”
Does your agencyperceive recordsas a cost centeror as a valuableasset?
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Fiscal Value
ObligationsAccounts receivableAccounts payable
AccountabilityFiscal responsibility
Bottom lineProof to taxpayers / stakeholders
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Legal ValueAre we going to be in troubleif we should have it…and don’t?
COMPLIANCE
Are we going to be in troubleif we still have it…and shouldn’t?
DISCOVERY
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Historical (Reference) Value
Will it be going to State Archives?
Are we doing the right thing?
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Operational Value
Required
Makes it easier
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How valuable are the records?
VITAL Can’t do business without itCan’t be recreated
IMPORTANTCan’t do business without itCan be recreated (although expensive)
USEFULNONESSENTIAL
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6. Research Retention
Think like an attorney
There is no “cookbook”
Ask the SMEs
Use your brain
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Think Like an Attorney
RegulationDiscoveryLitigationProofStatutes ofLimitations
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There is No “Cookbook”
DeclarationRetention “clock”Duration of value
LegalFiscalOperationalHistorical
3-year rule
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www.irch.com
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Ask the SMEs*
FamiliarityKnown risksLocationProcessesWorkflow
* Subject matter experts
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Use Your Professional Judgment
Face validityEnterprise-wide perspectiveClear to someone unfamiliar with jobRelated recordsGeneral schedules
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www.naa.gov.au/recordkeeping
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7. Negotiate Time Periods
PermanentIndefinite20 years7 years12 months“At least…”“No longer than…”
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www.revisor.leg.state.mn.us
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www.gpoaccess.gov/cfr/index.html
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www.Lawmoose.com
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http://public.findlaw.com/library/state-laws.html
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Management of e-Records
The majority of daily communications, record-keeping, and governmenttransactions are done electronically.
Deal with it.
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It’s all about content,not the storage or delivery media.
We must do somethingto protect and preserverecords on digital media.
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Migration / Conversion / Emulation
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What about the hard drives?
Issue:Access by employees who have a need to know.
Keep official records on the shared servers.
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Once created,eRecords liveforever.
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Memory is cheap. Why not keep it all forever?
Have to index themToo many to search efficientlyAll information is not created equalHave to track where everything isSystem redundancy for vital recordsThe records can be discovered
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www.CricketTechnologies.com
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Scheduling records is a decision-making process that is best done when not under the pressure of a subpoena, disaster, or other crisis.
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8. Write the Schedule
Do Ihave to?
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Assumptions:
A new records series is discovered The old schedule is out of dateManagement of the records in electronic format is not describedOveruse of “permanent” or “indefinite” retention periodsNot understood by employees
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8. Write the Schedule
The following words are banned from RecordsRetention Schedule titles:
records miscellaneousfiles generalforms etc.
olddeadarchives
old Blue files
from Bob’s desk
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Schedule Writing Tips
Tie disposal to a recurring eventUse general schedules“Permanent” has to be definedPlan for technological changeIdentify records series requiring
unusual management procedures
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Abbreviations
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Acronyms
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Use the Description field to:
Clearly define who owns the recordClarify roles and responsibilities of the
records’ stewardsShow how the record is usedPoint out where it fits in the agency’s
business planDescribe special handling required
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Use Retention Requirements to:
Define the record’s movement through the life cycle processDefine the point when it becomes the
“copy of record”List storage locations and conditionsMap out backup proceduresDisposal instructions
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Put enough detailin the description of the records seriesso that anyonecan follow theprocedures andrequirements.
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Scheduling Issues:Owner v Steward (Custodian)Standards are criticalUsers can be very creativeEverybody’s records are vital
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What’s on the Schedule Form?
Owner / stewardSeries identifierTitle DescriptionRetention requirements
Trigger eventLocationMigration plan
MediaBackup plan
VitalImportantUsefulNonessential
Data Practices classification
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www.whitehouse.gov/oa/foia
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9. Gain Approval
Get supportfrom the boss
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9. Gain Approval
Attorney General / legal servicesLegislative/State Auditor / internal
auditState Archives / records managementBusiness unit (subject matter expert)
Get approval (and buy-in) fromyour Records Management Team:
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9. Gain Approval
Information technology services
They are thetechnicalstewardsof ourrecords.
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10. Provide Training
IntranetIn-service trainingNewsletterInformation sheetGroup/staff meeting
Excellent service
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11. Audit Compliance
Is there an approvedrecords retention schedulecovering all of the records?
Are all employees followingthe approved schedule?
Is destruction / deletionof records documented?
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12. Revise Schedule
Retention schedulesare living documents.
Revise them asneeded to enablecompliance.
(This is an exampleof poor electronicrecords management)
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What is the result of all this recordsinventorying,analyzing, andscheduling?
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A happy boss.
Thanks,Records Guy!
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The boss stays out of headlines.
POLICYCompliance
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Useless records are gone.
PROCEDUREDisposal
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Work gets done faster.
ProductionEfficiency
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We’re organized.
PROCESS
Workflow
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So…what’s the plan?
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The Work Plan
Phase 1 – IdentifyAction: Each employee identifies the documents that prove they are doing their job.Decisions:
Official records v convenience copiesOwnership v stewardshipSorting into groups (records series)
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The Work Plan
Phase 2 – InventoryAction: Describe the life cycle of the documents identified as records in Step 1.Decisions:
Length of time that records have valueContinuity of operations planningData Practices (privacy) classification
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The Work Plan
Phase 3 – ScheduleAction: Document how the records described in Step 2 are to be managed for their entire life cycle.Decisions:
Data capture methodStorage media selectionBackup strategyMigration/conversion schedulingDisposal requirements and procedures
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Need more info?
www.archives.gov/records-mgmt
http://infomgmt.homestead.com
www.mnhs.org/preserve/records