CRM Prep Workshop Part 4 Records Appraisal, Retention, Protection and Disposition

Part 4 – Records Appraisal, Retention, Protection, and Disposition Basic Concepts Records Inventory Records Appraisal Retention Schedules Vital Records Program Business Continuity Archives

Part 4 Basic Concepts –Definitions Definition of a record Concept of a record series –Records Media and Records Content Advantages and Disadvantages using various media –Record Life-Cycle Management Stages of the life cycle Migration of information throughout the life cycle

Records Inventory Definitions and Objectives –Concepts, processes and procedures –Volume, scope, location and complexity of an organization’s records –Relationship between the records inventory, the retention schedule and vital records Planning the Inventory –Activities involved –Level of commitment from top management –Establishing work schedules, project staffing –Advantages/disadvantages of various methods

Records Inventory Methods for Data Collection –Comparison of various methods used to collect inventory data Types of Data Collected –Review items collected during the inventory –Understand the usage of data from the inventory Analysis of Data Collected –How the data collected is used to prepare retention schedules, develop policies and other aspects of a RIM program

Records Appraisal Definitions and objectives –General or functional schedules –Departmental schedules Appraisal Values –Operational –Administrative –Fiscal –Legal –Research –Archival

Retention Schedules Definitions and objectives Schedule considerations Life-cycle Milestones –Stages of lifecycle and how the schedule addresses these stages Approvals Publication and distribution

Schedule Implementation and Administration Promotion, support and training Applying schedules (the 30/30/40 rule) Destruction methods and controls Schedule maintenance and revisions Audits

Vital Records Program Definitions and objectives Identification of vital records –Benefits of protection –How to identify vital records Risk Analysis –Estimates on disaster potential –Consequences of information loss –Cost/benefit analysis

Vital Records Program Protection Methods –Understand the various methods –Built-in vs. improvised dispersal –Onsite and remote storage –Storage equipment Operating Procedures –Operations and procedures –Testing the program Audits

Business Continuity Definitions and objectives Planning –Classification of the types of potential disasters –Responsibilities for preparedness –Developing and plan for reconstruction of vital records –How to assign responsibilities Implementation procedures –Scope of authority –Salvage procedures –Necessary equipment

Classification of Disasters Class 1 –Most severe conceivable Class 2 – Severe natural disaster Class 3 – Destruction of a major building during working hours. Class 4 – Destruction of a major building during non-working hours. Class 5 – One or two functions of an organization are affected. Class 6 – Subfunction affected. Class 7 – Lost document.

Archives Definitions and Objectives Appraisal for Value –Terminology: archival, historical, research, intrinsic, evidential and information values Arrangement, Description and Use –Purpose of an archive –Archival storage technologies –Locating systems and finding aids –Provenance and original order –Restrictions for use

Archives Conservation and Preservation of Archival Materials –Compare various techniques for conservation and preservation Media Hardware/Software Considerations –Migration information –Media stability –Hardware and software availability

Archives Environmental Controls –Controls necessary for preservation –Describe specifications for building construction, safety, temperature controls, and humidity controls Types of Archives –Manuscript collection –Public Archives –Private Archives