Section 4. Records and Archives Management Policies and Procedures: Spaces Page 38

Transcription

1 Section 4. Records and Archives Management Policies and Procedures: Spaces Page 38 Town officials, staff, and volunteers need to develop and use a common vocabulary when speaking about the records created and maintained by municipal government. We attach a Glossary (Appendix H) that may assist. Define the names, functions, and access restrictions of the physical spaces used to maintain records that are not in offices. We list below our names and descriptions. The Clerk and others should discuss and agree upon the names, functions and access; and then publicize internally. Vault or Archives for the Town Clerk s Vault. Goal: Only inactive records of permanent value or a modest volume of temporary but vital records i.e. those considered essential to resume operations after a disaster. Controlled access: Limited to Clerk and Clerk s staff and individuals working on the identification, preservation, and arrangement of the records. Ultimately, this area should operate more like a formal Archives. The permanent records are appraised, preserved, arranged, and described according to archival principles and techniques. A Record Group system may be created as part of the effort. See Appendix D for examples of Municipal Archives website finding aids, including Record Groups as employed by Boston, Huntington, NY, Manchester, NH, and Vancouver, BC. The materials in the Vault do not circulate. Active Records Center for the storage area adjacent to the Vault. Goal: Only active records of specific departments; permanent records that are being appraised for archival value, preserved, arranged, and described prior to their transfer to the Vault / Archives; previous fiscal year s records being retained for use by the Auditor before transfer off-site; holding area for boxed inactive temporary / scheduled records that will be transferred off-site as soon as box entered into database (creator, contents, date range, destruction date) and quick check of box made. Controlled access: Limited to those departments with active records in the area; Clerk and Clerk s staff and individuals working on the identification, preservation, and arrangement of the potential archival records and on the checking and database entry for boxed records going offsite; and applicable departments making financial records available to Auditor.

2 Section 4. Records and Archives Management Policies and Procedures: Spaces Page 39 File Room for the basement room. Goal: Only active records of specific departments; temporary / scheduled records that are confidential. Controlled access: Limited to those departments with records in the area. Offsite Records Center at present, the Water Department space but we hope as soon as possible a larger and more suitable space in a more suitable building so that inactive records can be brought under centralized control. Goals: Only inactive boxed records that are being retained until they reach their destruction date. Controlled access: Limited to Facilities person and representative of Clerk s Office or person responsible for the storage, retrieval, tracking, and destruction of the boxed records. See Section 5 for more details about space requirements, standards and guidelines and our comments about the storage areas we saw.

3 Section 4. Records and Archives Management Policies and Procedures: Sample Forms Page 40 Once the draft schedules are revised and approved, they need to be implemented. The Town can begin to enforce the schedules by controlling what records are accepted for offsite storage, and the Clerk s Vault and Records Center. There will need to be some straightforward rules. If the Town Clerk s Office and Records and Archives Management Committee are to implement procedures for those departments located in Town Hall, the cooperation and support of the Town Manager s Office, Public Works (Facilities) and the Water Department is necessary. We provided Packing and Labeling Boxes instructions and Transfer Form in January that we have now revised somewhat. We provide additional draft forms on the following pages of this section. We recommend that: 1) No records are picked up from a department and moved directly to an offsite storage area unless / until: All records are boxed according to the guidelines provided, a transfer form completed, the Town Clerk s Office notified, and box and form delivered to the Town Clerk s Record Center. (Alternatively, the department arranges a time when someone in the Clerk s Office or a member of the RAMC can visit, review the boxes, and perhaps even assist in the identification and boxing of the materials to make sure that only records with same destruction date are boxed together). 2) If the records have been properly boxed, and the Transfer Form completed accurately, the Clerk s Office will enter the information into a database, affix a label, and have Facilities move the box(es) to the offsite area. 3) Either the Facilities person or a representative of the Clerk s Office who accompanies the Facilities person will note the location number for each box; and that information will be added to the database. For those departments wishing to store records in either the Clerk s Records Center or Vault, similar procedures will be in place with the exception that only permanent records will be placed in the Vault. In this case, we would urge that a member of the RAMC actually visit the requesting department and provide hands-on assistance to the Records Coordinator to eliminate (or reduce) the boxing of duplicative or non-record

4 Section 4. Records and Archives Management Policies and Procedures: Sample Forms Page 41 materials at the source. The added time enacting such procedures will pay off as the Town gains control over its inactive records, less time must be spent searching for records and less time must be spent in identifying records that can be destroyed. Until there is a centralized records storage facility, we do not see how the other departments can be brought into the Records and Archives Management program other than making the procedures, forms, and database available to them for their own use.

5 Page 42 Records & Archives Management Services Transfer Instructions (call Town Clerk s Office for advice or assistance) Packing boxes * Limit contents of a box to one record series or to records with the same destruction date. * Do not put hanging file folders in the boxes remove and put in manila folders, pockets, or accordion pockets. * Do not put three ring binders in the boxes remove contents and put in accordion pockets. * Make sure that all folders or other enclosures are clearly labeled. * Place letter size records in the box facing the front. Place legal size records in the box sideways starting from left to right. * Stack computer printouts, but do not stack them past the hand-holds. * Do not overfill boxes--there should be room to remove files without difficulty. * Make sure that all box hand-hold cutouts are pushed in. Transfer Form Complete the Records Transfer Form and, if list of folder headings is required for accessing records, complete the Continuation Sheet. Make copy for Department s records; put original inside the box on top of the records. Contact the Town Clerk s Office to inform them of transfer; then deliver the box(es) to the Town Clerk s Office Records Center. Labeling boxes (This assumes the Clerk s Office will label boxes more completely see the draft Records Management Policies and Procedures.) Print neatly with magic marker the following information under the handle on the center of the box: * Department name * Box number (if more than one box. Example - Box 1 of 2) OR Clerk s Office provides a pre-numbered label which department places on one end of box on lower left side.

6 Page 43 Records Transfer Form - complete and put in box on top of records Date: Box # (if more than one): OR the number provided Department: Sub-function / Creator (if necessary): Record Name: (should match department s retention schedule name) Beginning Date: Ending Date: Description (if necessary): State Series # (if exists): Retention period: Any confidential records? No Yes What are they? Form completed by: For Records and Archives Management Services use only. Date received: Date entered: Box #:) Disposition: Location: If contents are permanent or of potential archival value, indicate below or in separate log work performed to appraise, preserve, arrange, describe the materials; and date completed.

7 Page 44 Continuation Sheet use for those boxes where folder list is necessary. Complete and put in box on top of records. Date: Department: Box #:(if more than one) Or number provided Sub-function / Creator (if necessary): Record Name: Folder Heading Beg Date End Date

8 Page 45 Possible Database Fields. Box # = sequential number (six digits) should work Location = perhaps alpha (to distinguish among storage locations e.g. THV for Vault, TCR for TC Records Center, OFS for Offsite) then shelf number. Department = department name Sub-function = if large department, indicate sub-function Record Name = name on schedule Additional Info = may be portion of alphabetic files in the carton, which months, etc. e.g. Ab - Du Beginning Date = year month day Ending Date = year month day Disposition = Date record may be destroyed year month or PERMANENT For tracking boxes Department Person Date retrieved Date returned Date removed permanently

9 Page 46 Sample Box Label Use mailing labels; create word processing template or directly from database. Affix label on one end of box underneath handhold. When placed in storage, add location to database and to box (with permanent marker). Box # Department: xxxxx Record Name: dddddfsofohfs fjsfdswds Add l Info: eieieieieieiei Date range: YY/MM/DD - YY/MM/DD Disposition: YY/MM or PERMANENT Note: Information about the contents does not have to placed on a label. As long as one trusts the database, only the box number and location number are needed. Thus, confidential or sensitive records can be hidden in plain view. At present, however, descriptive labels definitely are necessary. Box label Box # Location #

10 Page 47 As the Town is relying upon volunteers to assist with Records and Archives Management Services, we think it worthwhile that the hours they spend on these activities be tracked. Such numbers may help in preparing grant applications or budgets and even in justifying the need for a full or part-time Records Manager and / or Archivist. Records and Archives Management Services - Volunteer Time Date Name Project Time (hrs)

11 Section 4. Records and Archives Management Policies and Procedures: Applications for Physical Records Page 48 While many Records Management operations use a database developed in-house, there are products available that the Town may wish to consider, if only to see what features might be useful to put in place sooner or later. Contact the various vendors, watch demos and obtain a list of municipalities using the product. FileTrail RM (web-based), FileTrail Cloud solution is $350 / month, excluding setup. On-site File Trail Express product, single license, is $7500. Gain RM, Triadd Software, Inc. Was unable to obtain pricing but evidently intended for larger operations, starting with five licenses, and priced accordingly. May deserve a look if School and other departments interested and included. Versatile Express, Zasio $895 single license (includes any upgrades), $395 support p.a. Additional licenses, $595, $295 support Demo and webinar available. Note: Has product line that includes electronic records management applications. Web SIMPLE Records Manager, RMS [Records Management Software, Inc] $1625 single user license, $315 p.a. support & upgrades Note: There are many other commercial RM applications, most of which include Electronic Records Management functionality and carry a higher price tag. See for DoD compliant Records Management Applications [RMA].