Information and Records Management 11/28/2018 Information and Records Management Indiana Archives and Records Administration 402 W. Washington St. - Rm. W472 - Indianapolis IN 46204 http://www.IN.gov/iara Amy Robinson, Records Analyst arobinson@iara.in.gov 317-232-3285

11/28/2018 Topics 1. IARA and You: Working Together to Manage Agency Records 2. What are Public Records? 3. Records Management: What’s the Big Deal? 4. Records Management: How do I DO that? 5. Special Issue: Electronic Records

The Archives and Records Administration and You 11/28/2018 The Archives and Records Administration and You

11/28/2018 IARA Mandate The Indiana Archives and Records Administration shall do the following: Establish a state wide records management program, prescribing the standards and procedures for recordmaking and recordkeeping. IC 5-15-5.1-5 (4)

IARA Divisions Forms Management Records Management 11/28/2018 Forms Management Records Management Micrographic and Imaging Services (MIS) Records Center State Archives

Agency Records Coordinator 11/28/2018 Employee from your agency who is officially designated to be the first point of contact with IARA and sign off on records management documents Listed by agency on the IARA website Other agency staff often work with IARA on specific projects or to transfer records for storage

What Can You Do To Manage Your Records Effectively? 11/28/2018 What Can You Do To Manage Your Records Effectively? 1. Maintain an efficient file structure in your office 2. Become familiar with records retention schedules and how to read them 3. Work with IARAto keep those records retention schedules up to date

What Can You Do To Manage Your Records Effectively? 11/28/2018 What Can You Do To Manage Your Records Effectively? 4. Be aware of any special issues with electronic records, and include your technology staff in decisions about them 5. Become familiar with records transfer, storage, and destruction procedures 6. Teach what you learn about records management to others in your agency!

“Byeeeee!” “Um…”

Public Records: What Are They? 11/28/2018 Public Records: What Are They?

11/28/2018 What is a Public Record? Any writing, paper, report, study, map, photograph, card, tape recording, or other material that is created, received, retained, maintained, used or filed by a public agency and which is generated on paper, paper substitutes, photographic media, chemically based media, electronically stored data, or any other material, regardless of form or characteristics. IC 5-14-3-2 (9)

11/28/2018 Public Access A fundamental philosophy of the American constitutional form of government is that government is the servant of the people and not their master. Accordingly, it is the public policy of the state that all persons are entitled to full and complete information regarding the affairs of government and the official acts of those who represent them as public officials and employees. IC 5-14-3-1

Public Access Counselor 11/28/2018 Public Access Counselor Phone: (317) 233-9435 1-800-228-6013 www.IN.gov/pac

Public Access Counselor 11/28/2018 Public Access Counselor Deals with the public and state and local government agencies on issues of: Access to Public Records Confidentiality Privacy

Records Management: What’s the Big Deal? 11/28/2018 Records Management: What’s the Big Deal?

The Life-Cycle of a Record 11/28/2018 Birth: the creation of appropriate, necessary, and useful records Active status: business function or process Semi-active or inactive status: no immediate need, but potential value Final disposition: destruction or transfer to the Indiana State Archives

Value of Good Records Management 11/28/2018 1. Accountability State and Federal law, judicial system, state government hierarchy, and taxpayers all rely on us to manage public records properly 2. Space Management If you’re storing boxes in your office that you don’t need there, your agency is losing money and workspace. 3. Government History Proper archiving of public records provides long-term accountability for agencies, documentary history of state government, and valuable research information for the public.

It’s Illegal to destroy public records if you don’t have an approved records retention schedule or special written permission from IARA. 11/28/2018 A public official may not mutilate, destroy, sell, loan, or otherwise dispose of any government record, except under a retention schedule or with the written consent of the [Indiana Archives and Records Administration]. IC 5-15-5.1-1-14

Records Management: How Do I Do That? 11/28/2018 Records Management: How Do I Do That?

Records Retention Schedules 11/28/2018 Arranged into “Record Series” which describe a similar group of records that all have the same basic function and retention requirements. A Record Series has: Title Unique “Record Series Number” Description of record types that would fall under it Instructions for where, in what form and how long they should be stored, and what to do with them afterwards.

Retention Schedule page (General)

The General Retention Schedule (“GR”) 11/28/2018 The General Retention Schedule (“GR”) Contains basic Record Series that apply to most state agencies. Your agency’s specific retention schedule should be revised to remove any records covered by the GR.

Retention Schedule page (Agency)

Agency-Specific Retention Schedule 11/28/2018 Contains record series unique to the agency and agency functions. Should not contain items covered by the General Retention Schedule Can only be used to apply to your agency (other agencies may not apply your retention schedule to their records!)

Creating a Retention Schedule 11/28/2018 Records Analyst and Agency Staff Work Together Inventory records and identify agency’s needs for retention/disposition Agency legal staff identifies statutory requirements Records Analyst Creates Draft Adds new items if appropriate Updates language for existing items if needed Suggests deletions of obsolete, non-record, and General Retention items Draft is Circulated For Review By agency By State Archivist and selected OCPR pre-readers Oversight Committee on Public Records Approves or suggests changes at monthly board meeting

IARA’s Update Cycle 11/28/2018 Due to previous practice of updating only by agency request, many agency records retention schedules have not been updated for decades Now, we review agency retention schedules on a regular cycle, and approach the agencies with update suggestions in addition to agencies approaching us when necessary. IARA’s current practice is to review and update all agency records retention schedules that have not been updated within the last 5 years. Where possible, record series will be eliminated or combined to make retention schedules streamlined and easy to follow Where possible, agency retention schedules will be eliminated completely, if all records can be covered by the General Retention Schedule.

State Records Center 11/28/2018 Stores and provides retrieval services for semi-active or inactive records for state agencies. Records must be pre-approved for Records Center storage on a retention schedule: either the agency’s specific retention schedule or the General Retention Schedule. Ownership of the records remains with the agency. Only the agency, persons given permission by the agency, and IARA staff may view records stored at the Records Center. Records Center staff will dispose of records according to the retention schedule at the end of their retention period, with the agency’s permission.

Box Label

Records Center Transmittal form

Records Request form

Records Destruction 11/28/2018 Records Center staff will destroy both records stored there, and (upon request) records stored at your agency, as long as they are approved for destruction on a records retention schedule. Agency will receive a Destruction Notice from the RC if records are stored there. Agency must submit Destruction Notice to the RC if requesting courtesy destruction, or if agency staff will be destroying records themselves.

Records Destruction Notification 11/28/2018 Records Destruction Notification ALSO used by Records Center to notify agency of records being transferred to State Archives instead of destroyed.

If Records may NOT be destroyed

The Indiana State Archives 11/28/2018 Permanently catalogues and stores records of legal and historical value Records must be pre-approved for State Archives transfer on a retention schedule: either the agency’s specific retention schedule or the General Retention Schedule. Provides access to the public and other government agencies, within confidentiality requirements. Ownership of records in the State Archives transfers to the Archives and Records Administration. For details on transferring approved records to the Archives, call 317-591-5222

Archives Transmittal form

Micrographics Microfilms approved state agency records 11/28/2018 Microfilms approved state agency records Processes and duplicates existing microfilm Arranges for creation of COM (Computer Output Microfiche) from electronic records Microfilms selected State Archives records for preservation See Record Coordinator’s Handbook Section 5.2-- Call 232-3746 for details on current Micrographics procedures!

Special Issue: Electronic Records 11/28/2018 Special Issue: Electronic Records

Electronic Records, IC 5-15-1-1 (a) 11/28/2018 Electronic Records, IC 5-15-1-1 (a) Any officer, office, court, commission, board, institution, department, agent or employee of the state, county, or any political subdivision being charged with the duty or authorized or required by law to record, preserve, keep, maintain, or file any record, document, plat, paper or instrument-in- writing, may… for the purpose of recording or copying same, preserving or protecting same, reducing space required for storage or filing for same, or any similar purpose, have or cause to have any or all such records recorded, copied, or reproduced by any photostatic, photographic, micrographic, electronic, or any other process which correctly and accurately copies or reproduces, recreates or forms a medium of copying or reproducing the original record, document, plat, paper or instrument-in- writing.

Electronic Records Public Access 11/28/2018 Public has the right to inspect no matter what the format (IC 5-14-3-2) Public has the right to receive copies of electronic records (IC 5-14-3-6) Commercial use of Electronic Records (IC 5-14-3-3e)

Managing Electronic Records 11/28/2018 Managing Electronic Records Promises Require much less storage space Faster retrieval Online access Problems Unstable storage medium Expensive, evolving technology Reallocation of staff and resources

Jeff Rothenberg. ”Ensuring the Lifetime of Digital Information.” 11/28/2018 Jeff Rothenberg. ”Ensuring the Lifetime of Digital Information.” “There is considerable controversy over the physical lifetimes of media: for example, some claim that tape will last for 200 years, whereas others report that it often fails in a year or two. However, physical lifetime is rarely the limiting factor, since at any given point in time, a particular format of a given medium can be expected to become obsolete within no more than 5 years.” Medium Practical Physical Lifetime Avg. Time Until Obsolete optical (CD) 5-59 years 5 years digital tape 2-30 years 5 years magnetic disk 5-10 years 5 years

So How Do We Handle This? 11/28/2018 1. Records with retention of 10 years or less may be scanned and hard copies destroyed, if scanning system is approved via IARA Policy 2006-01. 2. Electronic records (scanned or born-electronic) with a retention of longer than 10 years, or any scheduled for transfer to the State Archives, must be backed up to Computer Output Microfilm/fiche. IARA Micrographics and Imaging Services can help with this. 3. All electronic records should be updated/converted any time you switch to a new software or system, OR you must retain a copy of the old system for the retention period of the records.

E-Mail Retention Guidelines 11/28/2018 E-Mail Retention Guidelines E-mail is correspondence. The same record series and retention periods apply as if you were holding a paper memo in your hand. BUT all agencies should develop an internal policy on how employees should handle filing electronic correspondence. See IARA E-mail Retention Policy Guidelines for more information on developing one for your agency.

Call for information: Records Management: 232-3380 11/28/2018 Call for information: Records Management: 232-3380 Records Center: 591-5326 State Archives: 591-5222 Micrographics: 233-3746 Public Access: 233-9435 or 1-800-228-6013