2015 Records Management Webinar

Transcription

1 Bureau of Archives and Records Management 2015 Records Management Webinar Today s Instructors Tim Few Kristen Gurciullo 1

2 Hurricane Andrew: Category 5 August 1992 Labor Day Hurricane: Category 5 September 1935 Great Jacksonville Fire: May

3 Legal Mandates Chapter 119, Florida Statutes Public Records Chapter 257, Florida Statutes Public Libraries and State Archives Rule 1B-24, Florida Administrative Code Public Records Scheduling and Disposition Rule 1B , Florida Administrative Code Electronic Recordkeeping Rule 1B , Florida Administrative Code Microfilm Standards Bureau of Archives and Records Management Tallahassee 3

4 Bureau of Archives and Records Management Roles and Responsibilities Offer technical assistance to ensure compliance with records management requirements Conduct records management training and consultation Evaluate public agency recordkeeping operations Establish records retention schedules Operate the State Records Center in Tallahassee Bureau of Archives and Records Management Roles and Responsibilities Operate the State Archives of Florida Agency Responsibilities Comply with applicable legal mandates Provide public access (inspection and copying) Appoint an agency records management liaison i officer (RMLO) Submit annual compliance statement Adhere to retention schedules Document dispositions Develop policies 4

5 Types of Agencies We Serve State government, including the governor and cabinet Counties and municipalities Elected and appointed boards or commissions County and municipal boards Interlocal agreement boards Special district boards Private entities providing services in place of public agencies What Is Records Management? Records management is the planning, organizing, directing, controlling and other activities needed to effectively create, maintain, access and use an agency s records. Effective records management allows an agency to maintain and locate records from the time of creation/receipt to final disposition. The Life Cycle of Records DISTRIBUTION AND USE CREATION DISPOSITION DESTRUCTION PERMANENT ARCHIVES 5

6 The Value of Records LEGAL HISTORICAL FISCAL ADMINISTRATIVE Records Management Considerations Storage Conditions Security Location Environmental Controls Temperature Environmental Controls Degrees Fahrenheit Humidity % Humidity 6

7 What Is a Public Record? According to Subsection (12), F.S., Public records means all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of the physical form, characteristics, or means of transmission, made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency. In 1980, the Florida Supreme Court interpreted this definition to encompass all materials made or received by an agency in connection with official business that are used to perpetuate, communicate or formalize knowledge. Shevin v. Byron, Harless, Schaffer, Reid and Associates, Inc. Examples of Public Records Minutes Personnel records Student records Patient medical records Payroll records Criminal investigative records Voter registration records (in some circumstances). 7

8 Records Retention and Disposition Requirements Know what you have. Know how long you need to retain it. Dispose of it once it has met its appropriate retention. Record Series A record series is a group of related public records arranged under a single filing arrangement or kept together as a unit (physically or intellectually) because they consist of the same form, relate to the same subject or function, result from the same activity, document a specific type of transaction, or have some other relationship arising from their creation, receipt or use. A record series might contain records in a variety of forms and formats that document a particular program, function or activity of the agency. Examples: Personnel files Minutes Correspondence Student records Grant files Rule 1B (k), F.A.C. Conducting a Records Inventory Records series title Description Inclusive dates Type(s) of format(s) Whether records are vital Physical location Volume (cubic feet vs. bytes) Retention requirements Record copy or duplicate 8

9 Vital Records/Disaster Preparedness 9

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11 Know Your Agency s Records Records Management Tools Records Inventories Records Retention Schedules Why Records Matter Public agencies must be prepared to protect their vital records so that, in the event of an emergency or disaster, their offices can recover quickly and return to service for the constituents that they serve. 11

12 Florida Department of State s The Basics of Records Management: Vital Records - Records essential to the operations of an agency, and/or to protecting the rights of individuals; and records needed in order to resume the critical business of the agency after a disaster or emergency. Vital records should be identified as part of a disaster preparedness program. What Are Vital Records? Records are considered vital when they: Are necessary for emergency response. Are necessary to resume or continue operations. Protect the health, safety, property, and rights of residents. Would require massive resources to reconstruct. Document the history of communities. What Are Vital Records? Vital records require special protection strategies to ensure they are protected and accessible. Vi l d b f d i f d i Vital records can be found in any format and in any medium. 12

13 Differentiate Vital Records from Other Records: Only a small percentage of records are vital, typically less than 5%. A record is considered vital if it has critical value during, and/or after, an emergency. Characteristics of Vital Records Dynamic Vital Records: Contain changing information. Require information to be kept up-to-date. Static Vital Records: Contain information that does not change. Do not require updates. Which of Your Agency s Records Are Vital? Vital records differ by agency. Each agency must determine which of its records are vital. What you need to know to identify vital records: Your agency s essential functions The stakeholders Your agency s records Relevant statutes, regulations, and standards 13

14 Know Your Stakeholders Who depends on you? Who do you depend on? Individuals Other agencies Outside organizations Who provides mission-critical support? Information Technology Human Resources Legal and Accounting Emergency Management, Continuity of Operations Planning (COOP) Interview Stakeholders Interview key stakeholders and staff to get information about essential functions. Ask specific and pointed questions: What if you did not have access to that record for 24 hours? How long could you operate without that series of records? You may also want to use a questionnaire to gather information. Types of Vital Records: Emergency Operating Records, such as: o Disaster plans. o Delegations of authority. o Building plans. o Computer system documentation. o Records relating to the protection of people, public health and safety. 14

15 Types of Vital Records: Legal/Financial Records, such as: o Accounts payable/receivable records. o Social Security, payroll, retirement and insurance records. o Land titles, deeds, leases and contracts. o Compliance records and unique legal records. o Records documenting obligations. Florida Department of State s The Basics of Records Management: Disaster Preparedness - Policies and procedures for preventing, responding to, and assessing and recovering from, the damage resulting from a natural or manmade disaster or emergency situation, including the systematic identification of those records vital to an agency s purpose and operations, and a plan to protect such records. Risk Assessment Categories of Risks: Risks from loss of agency memory Risks related to emergencies Risks related to records management 15

16 Risk Assessment Identify Risks Risks From Loss of Agency Memory Physical loss Intellectual loss Risk Assessment Identify Risks Risks Related to Emergencies Natural emergencies Technological emergencies Civil emergencies Risk Assessment Identify Risks Risks Related to Records Management Legal Security Business Accountability Technology Long-term preservation of records 16

17 Risk Assessment Identify Risks Scope of an Emergency or Disaster Onsite Immediate vicinity Community or region-wide Risk Assessment Factors Existing Risks to Records Physical Location of the Vital Records Security and Controls Already in Place Vulnerable Areas Timing Risk Assessment Techniques Physical Site Survey Expert Interviews Brainstorming 17

18 Risk Analysis Evaluate Risks Establish a Rating System Probability rating Impact rating Rate Your Risks Evaluate Your Findings Establish a Rating System Probability Rating High: The event is expected to occur. Medium: Similar events have occurred in the past. Low: The event has little chance of occurring. Establish a Rating System Impact Rating High: Catastrophic impact; devastating loss Medium: Serious/critical impact; significant loss ` Low: Minor/marginal impact; some loss 18

19 Rate Your Risks Rate each risk identified in your risk analysis. For example, for vital records in a 1st floor office, identified risks might include: Debris blocking access to cabinets. Debris and water from storm. Mold and mildew. Temperature and humidity (unstable environment). Loss of data. Fire damage. Inability to access data. Inability to communicate. Managing the Risk: Prioritizing Actions To prioritize your actions, rank the risks that require action. When prioritizing, consider: Cost to reconstruct the data. Cost of defending against legal actions associated with loss. Document the Risks Potential Risk Source of Risk Location of Impact How Probable is an Incident? How Probable is an Incident? Potential Effects on Vital Records Severity of Impact Existing Control Measures 19

20 Strategies for Handling Risk Avoidance Acceptance Mitigation Preparedness and Mitigation Measures Dispersal On-site Protection Evacuation Tape Backup Data Replication Mirroring Duplication of Original Records Duplication Formats: Microform Digital formats Backup tapes Paper 20

21 Storage of Vital Records On-site Storage Options Vaults Secure central file rooms Fire-resistant containers Off-site Storage Options Another office State Archives or records center Commercial storage facility Hot and cold sites Evaluate Protective Measures Consider Formats Consider Costs Make Vital Records Available During an emergency, could your agency access its vital records? 21

22 Make Vital Records Available Agencies must be prepared to access their vital records. Retrieval procedures should require only routine effort. All equipment needed to read vital records must be available. Prioritize Access to Vital Records Based On the Type of Vital Record Priority 1: First 12 Hours Necessary for emergency response Necessary to resume or continue operations Priority 2: First Hours Protects the health, safety, property, and rights of residents Requires massive resources to reconstruct Priority 3: After 72 Hours Documents the history of communities Priority Levels and Time Frames for Accessing Vital Records Priority 1: First 12 Hours Needed immediately to respond to the incident. Priority 2: First Hours Needed to manage the incident and resume operations. Priority 3: After 72 Hours Needed to continue essential functions and for longterm recovery. 22

23 Access Records in Storage Priority 1 Store in close proximity and have 24-hour availability. Priorities 2 and 3 Store in facilities farther away, with less need for quick access. Grab and Go Kits Certain agency officials will be on call immediately following the emergency. They should have Grab and Go kits that contain specific vital records. Develop procedures to keep Grab and Go kits up-to-date. Cycling Cycling entails periodically replacing or updating obsolete copies of vital records with current copies. Cycling may be done: Daily Weekly Quarterly Annually Develop a duplication schedule. 23

24 Develop Procedures to Ensure Access to Vital Records To ensure access, agencies should develop and document: Policies. Delegations of authority. Responsibilities of agency officials. Procedures governing the vital records program. Vital Records and COOP Plans Vital Records should be part of the COOP Plan. Agency Continuity Planning Anticipate incidents which will affect mission critical functions of the agency and ensure the response is in a safe, planned and rehearsed manner. 24

25 Florida Business Disaster Survival Kit Tampa Bay Regional Planning Council Business Disaster Planning Guidebook. Florida Business Continuity Planning Wizard. Employee Disaster Preparedness Guide. Bureau of Archives and Records Management Florida s Records Management Program Contact us with questions about: Training g( (seminars, webinars and onsite training) Technical assistance Records retention and disposition requirements Public records access provisions Records management policies and requirements Records management compliance statements Tim Few Government Operations Consultant II tim.few@dos.myflorida.com rmtraining@dos.myflorida.com Ki t G i ll Kristen Gurciullo Government Operations Consultant I kristen.gurciullo@dos.myflorida.com rmtraining@dos.myflorida.com

26 Rick Scott, Governor Ken Detzner, Secretary of State Florida Department of State Division of Library and Information Services This publication has been funded under the provisions of the Library Services and Technology Act, from the Institute of Museum and Library Services, administered by the Florida Department of State s Division of Library and Information Services. 26