records management: create, store, shred,067ffb58-e3cd...kary tillmann clerk/treasurer city of...
TRANSCRIPT
Records Management:
create, store, shred,
toss, repeat…..
2020 MCFOA CONFERENCECINDY ANDERSON, CLERK/TREASURER, CITY OF EDEN VALLEY
KARY TILLMANN, CLERK/TREASURER, CITY OF ZIMMERMAN
Topics to be
Covered:
What is Records
Management?
How do I set up Records
Management in my
City?
Digitization and
Electronic Records
Basics of
Records
Management
Records Management (RM) is the supervision and administration of digital and paper records, regardless of format. RM activities include the creation, receipt, maintenance, use and disposal of records for the purpose of improving the efficiency of recordkeeping, ensuring access to public information pursuant to MS 15.17 – the Official Records Act.
The term includes:
The development of records retention schedules
The management of filing and information retrieval systems
The adequate protection of records that are vital, archival, or confidential
The economical and space-effective storage of inactive records
Control over the creation and distribution of forms, reports, and correspondence
Maintenance of public information in a manner to facilitate access by all stakeholders
What is a
‘Record’ and
other
definitions…
RECORD -- Any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a public agency that documents activities in the conduct of business or use of public resources.
RETENTION PERIOD – The minimum time that must pass after the creation, recording or receipt of a record, or the fulfillment of certain actions associated with a record before it is eligible for destruction.
RECORDS RETENTION SCHEDULE – A document issued by the Minnesota Historical Society establishing mandatory retention periods for local government records.
RESPONSIBLE AUTHORITY – The individual designated as being responsible for the collection, use, and dissemination of any data. Most often, this is the City Clerk.
Why Records
Management?
Contributes to the smooth operation of agency programs by making necessary information readily available for decision making and operational readiness
Helps deliver services to residents, businesses, property owners, citizens and government offices in a consistent and equitable manner
Facilitates the effective performance of activities throughout the City
Protects the rights of citizens, businesses, the city and its employees
Ensures continuity in the event of a disaster
Protects records from inappropriate and unauthorized access
Meets statutory and legal requirements, including archival preservation, audit and oversight activities
Effective means of maintaining institutional knowledge
We all play a role in effective records management!
MN Records
Retention
Government records must be preserved according to state law. In Minnesota, local governments may only destroy government records pursuant to:
An “Application for Authority to Dispose of Records” submitted to and approved by the State Records Disposition Panel; or
A records retention schedule adopted by the governing body and approved by the State Records Disposition Panel.
MN Records
Retention
If the government entity adopts one of these general records retention schedules and that schedule is subsequently updated by the State Records Disposition Panel, the governmental entity does not have to adopt the new version of the general schedule. Instead, the State Records Disposition Panel will assume the governmental entity will use the most recent version of the general schedule.
www.mnhs.org/preserve/records/retentionssched.php
Provides links to various records retention schedules for Minnesota government entities, including State Agencies, Minnesota Counties, Cities, Townships, School Districts, and District Courts.
General
Records
Retention
Schedule for
Minnesota
Cities
The General Records Retention Schedule for Minnesota Cities (no. 018-061) is available in pdf form on the Minnesota Clerks and Finance Officers Association (MCFOA) website (www.mcfoa.org). The schedule was updated in May 2018 after review and approval by the Minnesota Records Disposition Panel. It is a revision of the general records retention schedule for Minnesota cities last issued in May 2017. If you have not previously adopted the general records retention schedule, you must notify the State Archives. To adopt a schedule, complete the Notification of Adoption form.
For city records which the State Archives has identified as having permanent, historical value and are eligible for transfer to the State Archives, please Informational Leaflet No. 4 Municipal Records (PDF).
General Records
Retention
Schedule for MN
Cities
Notification of
Adoption of
Records Retention
Schedule
Benefits of
adopting a
records
retention
schedule
Preserves the value of records –ability to identify records of value and take measures to preserve these in the event of a disaster, or to maintain the ability to exist
Effective use of resources –Resources to consider when creating a records management plan are staff, equipment, space and money.
Compliance with legal requirements – Allows local governments to be in compliance with applicable laws, rules, regulations and policies to provide necessary protections to a local government.
Provides authority to destroy records – the authority to destroy records is a major benefit to having an authorized records management program.
Life
Cycle
of a
Record
Disposal of
records
Cities may only dispose of government records by following the procedure prescribed by state law. Government records may not be destroyed except pursuant to an approved records retention schedule or PR-1 form. It is a crime to destroy government records except by the authority provided for in state statute.
PR-1
Form
Getting
Started!
You got this!
Don’t let the process of sorting
records intimidate you!
Find the
space
to work
in
Use
whatever
you have
on hand
What to
Keep
Records must be kept if:
It was created by your city
Details an action you or your
city was directly involved in
Contains information that is
not available anywhere else
Meets the Records Retention
Guidelines
What to
Keep
Original Documents
You can keep the copies,
but never longer than the
original document
Original records should only
be retained by the initiating
office
How long
should I keep
something?
Records MUST be kept for their
allotted retention period – see
the most current schedule for
info
Records need to be kept longer
if the record is involved in any
claim, audit, litigation,
negotiation, administrative
review, public information
request or other action
When it doubt, keep it!
Sorting Paper
Records
Sort your records by date. It
makes it easier to follow the
retention schedule
Mark the box with the name or
type of document, number o
years to retain and the
destruction date.
Storing Paper
Records
Store your boxes by years – this
will make it easy to grab the
records that need to be
destroyed each year.
Store
records by
type and
destruction
date
Storing Paper
Records
Put permanent documents
together and store them away
from records that will eventually
be destroyed
Filing Paper
Records
Mark current files with the
retention code, number years to
retain, and shred date
Make your new system easy to
follow and easy to store
Shredding
Records
Contact a shredding company
and request bins for your use
Allow yourself a few weeks or
months to fill your bins of
documents to be destroyed
REMINDER: It took your City
years to collect, stuff away and
pile up your records, so it may
take you a while to sort and
dispose of them
Electronic
Records
Electronic records are those that are created, maintained, transmitted and disposed of in an electronic format.
Can be in any form:
Word processing files
E-mails
Images of maps or pictures
Web content
Computer code
Spreadsheets
databases
Can be stored in computer memory or on storage media
May or may not have a paper back up
Electronic
Records
There is no difference in requirements from non-electronic retention simply because a record is in an electronic format. Before scanning source documents, ensure:
Authenticity
Record is what it says it is
Reliability
Record is a full and accurate representation of the business transaction
Integrity
Record is complete, unaltered, and protected from unauthorized access and alteration
Usability
Record can be located, retrieved, and used
Before you
shred…..
Yes, you can destroy the originals*
*but…You must ensure the quality of the digital copies
Avoid a “Scan & Shred” mentality
Considerations
for electronic
records
management
Indexing
Systems Back ups
Security of Electronic Records
The most difficult e-records to control are social media and email
Recap
Establish written procedures for records creation, maintenance and disposition
Destroy records on a regular schedule
Document electronic records and digital imaging systems
Enforce security controls
Train staff and monitor work habits
Questions??
Other
Resources
LMCIT Handbook for MN Cities Chapter 26Records Managementwww.lmc.org
Data Practices OfficeMN Dept of Administration
https://mn.gov/admin/data-practices
Contact us!
Cindy AndersonClerk/TreasurerCity of Eden [email protected]
Kary TillmannClerk/TreasurerCity of [email protected], x. 22