Records & Information management 101 Earl Rich, CRM Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter March 30, 2017 www.fgcarma.org Records & Information management 101

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 disasters Infrastructure records showing locations of utility lines keep rescue workers safe Construction records help engineers assess 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 losses Probate records and wills prove inheritance Bank records verify financial assets Divorce records include property distribution

We REALLY CARE BECAUSE… 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)

Records are about us….. Records are essential to protecting rights School records document educational attainment Adoption records establish parental rights Military service and employment records provide access to pensions and other benefits Guardianship 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 authority Individuals need proof of identity, medical histories, and documentation of assets Communities 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.

Program vs. Administrative Records Permanent vs. Temporary 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 vouchers Payroll databases Network backup tapes Building 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 matters Temporary 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 (2 5%)

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 requirements File 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 IT STRUCTURE – 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 position Copies of personnel related documents Private or nonpublic in character

Business information that is considered a non-record Convenience copies used only for reference Stocks 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

Hard copy (paper/textual) Electronic versions 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 lifecycle Records have categories (program vs administrative, and temporary vs permanent) Records terminology means something Format & medium matter – but watch out 8 Principles of Records Management

The end Donna Read, CRM, CDIA+ dlread@verizion.net And Earl Rich, CRM Earl.Rich@swfwmd.state.fl.us Florida Gulf Coast ARMA Chapter www.fgcarma.org