1. 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
Amy Robinson, Records Analyst

2. 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

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

4. 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 (4)

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

6. 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

7. 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

8. 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!

9. “Byeeeee!”
“Um…”

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

11. 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 (9)

12. 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

13. Public Access Counselor
11/28/2018
Public Access Counselor
Phone: (317)

14. 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

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

16. 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

17. 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.

18. 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

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

20. 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.

21. Retention Schedule page (General)

22. 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.

23. Retention Schedule page (Agency)

24. 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!)

25. 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

26. 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.

27. 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.

28. Box Label

29. Records Center Transmittal form

30. Records Request form

31. 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.

32. 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.

33. If Records may NOT be destroyed

34. 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

35. Archives Transmittal form

36. 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 Call for details on current Micrographics procedures!

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

38. Electronic Records, IC 5-15-1-1 (a)
11/28/2018
Electronic Records, IC (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.

39. Electronic Records Public Access
11/28/2018
Public has the right to inspect no matter what the format (IC )
Public has the right to receive copies of electronic records (IC )
Commercial use of Electronic Records
(IC e)

40. 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

41. 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) years years digital tape years years magnetic disk years years

42. 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 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.

43. E-Mail Retention Guidelines
11/28/2018
Retention Guidelines
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 Retention Policy Guidelines for more information on developing one for your agency.

44. Call for information: Records Management: 232-3380
11/28/2018
Call for information:
Records Management:
Records Center:
State Archives:
Micrographics:
Public Access: or