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Records Management


... Public Records Act. Gov Code Sect. 6250-6261 As a general rule all public ... Public records-writing containing information related to the conduct of the ... – PowerPoint PPT presentation

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Title: Records Management

Records Management
Presented by
  • Joe Barajas Chuck Booz

Greater Sacramento Capitol ARMA Chapter
  • Strategic Records Planning
  • Enterprise Records Knowledge
  • Records Standards
  • Records Appraisal
  • Record Lifecycle/Continuum

Important Concerns?
  • The importance of Records Management
  • Records Retention
  • Operations/use of a Records Center
  • Role of Standards

What is Records Management?
  • Records Management is designed to ...apply
    efficient and economical management methods to
    the creation, utilization, maintenance,
    retention, preservation, and disposition of

Do you know?
  • How many records you have and where they are
  • Who uses the records and how often are they used?
  • When the last review was done to see if retention
    periods could be shortened?

Reasons for Records Management
  • Control the creation and growth of records
  • Minimize litigation risks
  • Safeguard Vital information
  • Preservation of historical documents

Save Space
Save Time
Save Money
Establishing a Program
  • If Records Management is to be successful,
    top management must be aware of the statutory
    requirement, understand the importance of it,
    and fully support the program

Records Management Analyst
  • In order to ensure that responsibility be
    assigned at a level within the agency that has
    easy access to management and all divisions,
    agencies must employ an analyst

What are Records?
  • Paper, map exhibits
  • Magnetic or paper tapes
  • Microfilm, photographic films prints
  • Other documents produced, received, owned or used
    regardless of physical form or characteristics.

What are Non-records?
  • Transmittal letters and acknowledgements
  • Informal notes, worksheets, rough drafts of
    letters, memos, reports that do not represent
    basic steps in preparing documents
  • Shorthand notes, stenographic notebooks,
    stenotype tapes, and dictating media which have
    been transcribed
  • Miscellaneous notices regarding community
    affairs, employee meetings, or holidays

  • Stocks of publication or unused forms that are
    kept for supply purposes only
  • Requests for printed material after the requests
    have been filled
  • Tickler, follow-up or suspense copies of
  • Library and reference material

Steps in a Records Retention Program
  • Take an inventory
  • Appraise all records
  • Establish retention periods
  • Develop retention schedules
  • Approve retention schedules
  • Apply retention schedules

Preparing for the Records Inventory
  • Find out what records there are and where they
    are stored?
  • Figure from the table of measurements the
    quantity in cubic feet
  • When should it start and be completed
  • What information will be obtained concerning each
    group of records.

Appraising the Record
  • Values to be considered
  • Administrative
  • Legal
  • Fiscal
  • Research, Historical or Archival

Administrative Value-created to help accomplish
the functions for which an agency is responsible
  • Examples include
  • General Correspondence, chron/reading files,
    policies, procedures, org charts, directives
  • Property /Facilities
  • Records Management

Legal Value- contains evidence of legally
enforceable right or obligations.
  • Examples include
  • Legal decisions opinions
  • Fiscal documents representing agreements, such as
    leases, titles, contracts
  • Records of action in particular cases, such as
    claim papers and legal documents

Fiscal Value- those records which pertain to the
financial transactions.
  • Budgets
  • Ledgers
  • Allotments
  • Payrolls and vouchers

Research, Historical or Archival Value-documents
the departments accomplishments.
  • Minutes of Board Meetings
  • Letters signed by nationally known figures such
    as politicians or scientists
  • Typically apply only to about 5 of your records

Setting Retention Periods
  • Negotiate the retention periods internally
  • Review CAM for the General retention periods for
    personnel, fiscal, and payroll records
  • Consult with managers and users
  • Federal and State Statutes
  • Perpetual type record

Perpetual Type Records
  • Current- indicates that the record is in force or
    has some effect even though there is no activity
    or ongoing process directly related to it.
  • Active-indicates some ongoing process or activity
    not yet complete for which no definite time frame
    is known.

Examples of Codes for Determining Retention
  • Agricultural Code- Sec. 20701
  • Health and Safety Code- Sec. 3226

Record Retention Schedules
  • A document (electronic or paper) that lists or
    describes the types of data and record series
    that exist within an agency
  • Specifies for each type the length of time they
    must remain active, inactive and if and when they
    may be destroyed.

California Public Records Act
  • Gov Code Sect. 6250-6261 As a general rule all
    public records are open to the public.
  • Public records-writing containing information
    related to the conduct of the publics business
    prepared, owned, used or retained by any state or
    local agency.

Information Practices Act
  • Civil Code Sec. 1798 was enacted to protect an
    individuals right to personal privacy concerning
    state agency records and information practices
    by establishing strict standards for the
    collection, use and dissemination of information
    about individuals who are the subject of state
    agency records