Archives Training Module: Training for Records Officers

2014

Records Management Training Training Description: Provide an overview of Records Management to Records Officers and public employees for the purpose of managing public records

Training Objectives: At the end of this training, you will be able to: •

Define public records

•

Issue and comply with Records Management Policies and Procedures, as part of your agency’s Records Management Program (template on p. 4)

•

File and retain records in accordance with records retention schedule

•

Understand the challenges presented by electronic records management

Agenda: 1. Opening a. Introduction b. Overview, course agenda, objectives, logistics, ground rules 2. Introduction to topic (p. 3) a. Public Records – What you need to know b. Test the knowledge 3. Life Cycle of a Record (p. 4) 4. Records Management Program (pp. 4-7) a. Preparing your organization to comply with records management laws & regulations b. Checklist of records management program c. Example of a records management policy (p. 5)

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

5. Records Retention Schedule (p. 8) a. Why we use a schedule b. Types of records c. Records values 6. Basic Records Management (pp. 9-10) a. Filing systems b. Essential records (disaster preparedness) c. Technology (Electronic Records Management) d. Storage 7. Worksheet: Action plan for Records Management at your agency (p. 11) 8. Training Evaluation (p. 12)

Instructor: Matt Brown Secretary of State, Archives Division Phone: (503) 378-5255 Web page: http://sos.oregon.gov/archives/Pages/recordsmgmt.aspx

Logistics of the Class: This classroom training lasts approximately 45 minutes during which attendees will learn their basic responsibilities for public records.

Training Prerequisites: To ensure success, learners should either be the agency’s Records Officer, or have duties for managing agency records.

Ground Rules:       

Treat others with respect Come prepared to learn Listen with an open mind Focus on what is good for the customer, the team and the organization Ask questions and share concerns openly with your instructor Provide feedback to help others learn Work hard to improve

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

What do you need to know about public records?

Element Definition Public Record (Retention) any information that: (A) Is prepared, owned, used or retained by a state agency or political subdivision; and (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. Public Record (Access) “Any writing that contains 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.” 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.” Official copy of a record That version of a public record that has been designated by the agency as the record of a transaction or event, The official copy is the one copy subject to records retention schedules. Records Retention A document approved by the State Archivist Schedule listing the length of time a record needs to be kept for administrative, legal, fiscal or historic purposes. Retention Period The length of time a public record must be retained as authorized by an applicable records retention schedule produced and approved by the State Archivist Full glossary of terms is available at http://sos.oregon.gov/archives/Pages/records _glossary.aspx Records Management regulations and General Retention Schedules: http://arcweb.sos.state.or.us/pages/rules/oars _100/oar_166/166_tofc.html

Secretary of State Archives Division

Citation ORS 192.005(5)

ORS 192.410

ORS 192.620

ORS 192.005(5) (D)

OAR 166

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Archives Training Module: Training for Records Officers

Life Cycle of a Record Creation

Distribution and Use

Maintenance

Correspondence, Reports, Directives, Maps

Inter agency Decision Making Intra agency Documentation External Response

File Retrieve

Disposition Archive Destroy

Records Management Program

Each Oregon public agency is required to designate a records officer to coordinate its records management program and to serve as liaison with the State Archivist (ORS 192.105(2)(a)). Required elements of a records management program are:  Agency-wide current Policies & Procedures (see next page for example)  Designated records officer with decision making authority  Current & implemented records retention schedule (OAR 166-150)  File structure/Files management  Essential records  Safe storage

Secretary of State Archives Division

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2014

Archives Training Module: Training for Records Officers

SAMPLE Records Management Policy NUMBER SUPERSEDES: EFFECTIVE DATE

REFERENCE: ORS 192. OAR 166030 & 166-300, SOS Approved Record Retention Schedule

SUBJECT: Records Retention and Destruction

APPROVED SIGNATURE Signature on File

Purpose: The purpose of this policy is to manage records from creation to destruction or final disposition, including all information that is relevant to the business of the _____________. Definitions: ORS 192.005(5) also defines what is not a public record for the purposes of retention. Those applicable are: a. Extra copies of a document, preserved only for convenience of reference; b. A stock of publications; c. Messages on voice mail or on other telephone message storage and retrieval systems; and d. Spoken communication that is not recorded “Retain” means to keep for a period of time. “Records Officer” means the employee of ___________ who is responsible for coordinating record retention.

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

Policy: All employees of ___________ will retain, transfer for permanent retention, and destroy public records in accordance with Records Retention Schedules approved by the Secretary of State’s Archives Division.

Records Retention Schedules: In order to properly retain and destroy public records, the department must use the following schedules:  

_________ General Records Retention Schedule - covers general administrative records, facility and property records, as well as financial, payroll, personnel and risk management records (OAR 166-___). _____________ Records Retention Schedule - specific to the agency.

Record Maintenance: ___________’s records are stored in the following ways:       

Computer servers kept on the premises. The door to the server room is secured by a punch lock system. Access to the servers is given only to certain members of the IS team. Traditional computing with networks. Cloud computing Social Media- ___________ utilizes Facebook, Twitter, YouTube, and blog for marketing and informational purposes. Email- ___________ contracts with a third party to deliver, maintain and store email. Back up for the departments’ records is done through DAS. Traditional paper records.

These records are retained and destroyed using the above records retention schedules. If an electronic record has been printed and stored in a paper file, the electronic record may be deleted. Social Media Record Maintenance: Public records that are produced via Facebook, Twitter, YouTube, blog, or other platform, are printed and stored in a paper file to be retained according to records retention schedules. The Records Officer determines if the information falls under the definition of a public record and prints and stores them accordingly. Responsibilities of Employees: All employees of ___________ are responsible to ensure that the records in active use are properly retained. Employees must ensure that no records are destroyed before the retention period has been reached. Responsibilities of Managers: All managers of ___________ are responsible for all records created within their section or division. Managers must approve all records going to the records center or State Archives. Approval from managers is necessary to Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

destroy records that are held at the State Records Center. Managers must ensure that all records within their section or division are retained and destroyed properly. Record Inventory: All employees of ___________ shall regularly review the records they create and work with. This includes email and electronic media. On a regular basis, employees shall determine if records should be destroyed or retained, in accordance with the definition of a public record and the records retention schedules. Records Center: Records which are no longer in active use must be retained in accordance with the agency/general retention schedules. These records are sent to the State Records Center for storage until their specific destruction date. Documentation of this storage is kept by the Records Officer. Record Destruction: Records shall be destroyed in accordance with agency/general records retention schedules. All records sent to the State Records Center have a specific destruction date. The State Records Center provides the Records Officer with a list of records that are scheduled for destruction. The Records Officer provides the list to the applicable manager, who confirms that the records can be destroyed. The only exemptions from routine records destruction are when requested for litigation, audit, or mitigating administrative need. The Records Officer responds to the State Records Center which records may be destroyed. A letter confirming that the records were destroyed is sent to the Records Officer. All documentation regarding the destruction of public records is kept by the Records Officer.

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

Records Retention Schedules Why we use them: Legal requirement for disposing of public records Essential element of a records management program Identify official copy of agency information Identify essential records Helps identify records ready for destruction Makes remaining records more accessible What are the different types of records retention schedules that my agency may use? General Schedule

Agency Special Schedule

Written so that many individuals may use them, regardless of the agency or department that they work for. (Fairs use the County and Special District General Records Retention Schedule (OAR 166-150)) Written for records that are unique to a particular government agency or department and can only be used by that agency or department

Records retention schedules’ retention periods are based on a combination of the following values that records can hold: 1. Administrative (Usefulness of records in conducting an agency's business) 2. Fiscal/Audit (Usefulness of records in documenting an agency's fiscal transactions and obligations) 3. Legal (Usefulness of records in documenting legally enforceable rights or obligations, both those of the state and those of persons directly affected by an agency's actions) 4. Historical/Research (Records of permanent value that document company policy, operations, organization, development or social contributions; illustrates major economic, political, religious, legal or social trends; portrays significant individual achievements; or sheds light on significant events of our times)

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

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Basic Records Management 



A filing system should be employed for all public records, regardless of the form they are kept in (electronic, paper, etc.) Any filing system should be simple, logical and easy to implement; otherwise, it will not be used effectively. Agencies must identify their essential records regardless of format (OAR 166-020-0045. There are two types of records that the agency should consider essential: 1. Records needed for the continued functioning or reconstruction of an agency during and after an emergency, or 2. Records essential to protect the rights & interests of the agency, or of individuals affected by its actions Technology (Electronic Records Management)

To ensure that your agency’s electronic records are in compliance: 1. Issue written policies & procedures that address use, access, and retention 2. Train employees on these policies & procedures 3. Ensure that agency employees are using the retention schedules, and that the management of agency public records is systematic & routine 4. Continuously & systematically monitor for compliance with policies & procedures

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

Records Storage Requirements for storage areas that hold public records: 1. 2. 3. 4. 5. 6. 7. 8.

Fire resistant structures Temperature & humidity are maintained Well lit Well ventilated, and protected from insects & mold Away from steam, water, & sewer pipes Away from excessive windows & doors Clear aisle space Shelving above initial flood stage (OAR 166-020) How to Label Boxes of Agency Records

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

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Worksheet: Action Plan for Records Management Rate Current Readiness

Component

Actions Needed

Timing

1=does not exist 2=needs update 3=in compliance

Agency-wide Records Management Policies & Procedures

Designated Records Officer with decision making authority

Current & implemented records retention schedule

Filing system

Essential records program

Safe storage for agency records

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers

2014

PAGE DELIBERATELY LEFT BLANK

Secretary of State Archives Division

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Archives Training Module: Training for Records Officers Training Evaluation Your Name ___________________Trainer________ _________Date ____________ 1.

What did you like about this training?

2.

What would you improve in this training?

3.

Your performance in the training module. 1 Unacceptable

4.

4 Good

5 Great

2 Poor

3 OK

4 Good

5 Great

2 Poor

3 OK

4 Good

5 Great

2 Poor

3 OK

4 Good

5 Great

2 Poor

3 OK

4 Good

5 Great

3 OK

4 Good

5 Great

Value of this training module. 1 Unacceptable

10.

3 OK

Trainer’s instruction and training skills demonstrated. 1 Unacceptable

9.

2 Poor

Trainer’s preparation. 1 Unacceptable

8.

5 Great

Trainer’s encouragement and assistance in learning. 1 Unacceptable

7.

4 Good

Trainer’s knowledge and experience on this topic. 1 Unacceptable

6.

3 OK

Your future success in demonstrating these new skills. 1 Unacceptable

5.

2 Poor

2 Poor

Additional Comments:

Secretary of State Archives Division

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