Managing Records With Limited Resources
Managing Recordswith Limited ResourcesBy Stephanie Tuin, MMCIIMC Records ManagementTechnical Bulletin Series 2012
Records Management Technical BulletinsThis publication, one of sixteen bulletins in the 2012 Local Government Records Management Technical Publication Series, is a joint effort of the Municipal Clerks Education Foundation (MCEF), the International Instituteof Municipal Clerks (IIMC), and the National Association of Government Archives and Records Administrators(NAGARA). Funding for this project was made available, in part, by a grant from the National Historical Publications and Records Commission.The Municipal Clerks Education Foundation (MCEF), established in 1984, is a taxexempt, nonprofit foundation under Section 501 (C)(3) created to raise funds for its partner, the International Institute of Municipal Clerks. IIMC uses these funds topromote, train and educate Municipal Clerks, making them proficient in the services theyprovide for the citizens of their community. MCEF is a diverse team of volunteers who arepassionately committed to helping IIMC pursue its educational objectives.The International Institute of Municipal Clerks (IIMC) is devoted to advancing theprofessionalization of the Office of Municipal Clerk and improving the efficiency of municipal government. The IIMC provides its members with educational, conference, reference,research, and informational services designed to keep them informed of changes in theprofessional community.The National Association of Government Archives and Records Administrators(NAGARA) is a professional association dedicated to the improvement of federal, state,and local government records and information management programs and the professionaldevelopment of government records administrators and archivists.The National Historical Publications and Records Commission (NHPRC), a statutory bodyaffiliated with the National Archives and Records Administration (NARA), supports a widerange of activities to preserve, publish, and encourage the use of documentary sources,created in every medium ranging from quill pen to computer, relating to the history of theUnited States.iiIIMC Records Management Technical Bulletin Series
PrefaceLike every organization, local governments create and maintain large quantities of records. Many of these records not only are of great value to the localgovernment, but also are of concern and essential to the citizens of the community. Federal and state-mandated program requirements, changes in growthand development patterns, expanded service needs, the use of computers andother technologies for creating and using information, and the proliferation ofcopies in various formats, have all contributed to this enormous accumulationof records. Each publication is intended to make available to local governmentsthe basic principles, policies, and guidelines that should be followed in establishing a sound records management program and in carrying out sound recordsmanagement practices.The series is intended for local officials, with limited resources, who lackformal records management or archival training but who have custodial responsibility for records. These local governments include townships, villages, cities,counties, school districts, and other local political subdivisions and special-purpose districts. Each of the following publications in the series includes a bibliography that refers to other reading for more detailed information and guidance.Overview:Starting a Records Management Program, The Daily Management of Records andInformation, Making Your Records Management Program Successful, ManagingRecords on Limited Resources, Funding Your Records Management ProjectCreation, Collection and Storage:Identifying and Locating Your Records, Establishing Records Retention, The Selection and Development of Local Government Records Storage Facilities, Developing aRecords Storage SystemPreservation, Promotion, Use and Access:Archives for Local Governments, Protecting Records, Using and Storing MicrofilmCare, Management, and Preservation of Electronic Records:E-Mail Management, Selecting and Using Document Imaging Systems, ManagingElectronic Records, Preparing for E-DiscoveryCopies of these bulletins are available on the IIMC and NAGARA websites.IIMC at www.iimc.com www.nagara.orgIIMC Records Management Technical Bulletin Seriesiii
AcknowledgementsivMeet the Author: Stephanie Tuin, MMCStephanie has been a Municipal Clerk for 26 years earning her Master MunicipalClerk certification in 2003. She is a certified instructor for the Colorado Municipal Clerks Association (CMCA), developing curriculums and teaching RecordsManagement across the State of Colorado. Stephanie served on the committeethat developed the first guidelines for developing record retention schedules inthe State of Colorado and consequently was recognized with a Special Recognition from CMCA for her contribution to the profession in 1992. Under her leadership, the City of Grand Junction has developed a comprehensive records management program with minimal resources.Editor: Dr. Julian L. Mims III, CRM, CAJulian Mims is a career archivist, records manager and educator. He directed thelocal records program at the South Carolina Archives from its inception. He wasin charge of the Long Island office of the New York State Archives and RecordsAdministration (NYSARA). As a Vice President and Award of Merit winner ofARMA International, he helped to found a record ten ARMA chapters. Dr. Mimsis the author of the International City/County Managers Association (ICMA)best-seller, Records Management: A Practical Guide for Counties and Cities, andwas editor of ICMA’s Electronic Records Management. Earning a doctorate fromthe University of South Carolina in 2001, he has taught at six colleges anduniversities.Special thanks to the support team:Dale Barstow Project Co-Director and MCEF President, Municipal Code Corp.,Tallahassee, FLPaul R. Bergeron, MMC, CA Project Co-Director and NAGARA Liaison,Office of the City Clerk, Nashua, NHMarian Karr, MMC MCEF Treasurer, Office of the City Clerk, Iowa City, IAChris Shalby IIMC Executive Director and IIMC Liaison, Rancho Cucamonga, CAIIMC Records Management Technical Bulletin Series
Table of ContentsPreface . .1Introduction. 1Key Records Management Concepts. 1Starting a Records Management Program with Limited Resources . 21. Get Educated. 2State Archivist or State Secretary.2Colleagues in Other Local Governments.3State Professional Organizations.3Advocacy Organizations for Muncipalities.3National/International Organizarions.3The Web.3State Law.4Records Management Committee.4Resource Directory and Reference.42. Organize! Organize! Organize!.4Separate Records from Non-records.4Reduce Duplicates.5Address Electronic Records.53. Inventory the Records.64. Apply Record Retention Schedules.7Destruction versus Archiving.75. Tracking Systems - Develop a Data Map.86. Create the Records Center.8Environmental Considerations.9Storage for Electronic Records.97. Apply Technology.9Maintaianing the Record Management System. 11Finding the Time. 11Staying Current. 11Finding Outside Resources. 11Conclusion. 11Resource Directory. 12Appendix A - Sample Records Inventory. 13Appendix B - Cubic Foot Equivalency Chart. 14Appendix C - Data Plan or File Map Example. 15Glossary of Records Management Terms. 16Works Cited and References. 18Reproduction is permissible with credit to the authors and the publication partners (MCEF,IIMC and NAGARA). Citation example: Author Last Name, Author First Name. “Title of Bulletin.” Local Government Records Management Technical Publication Series. Ed. Julian L. MimsIII. Rancho Cucamonga, CA: MCEF, IIMC and NAGARA, 2012. Print (or Web. Date of Access).IIMC Records Management Technical Bulletin Seriesv
Managing Records with Limited Resourcestains the information that they seek. On the otherhand, the inability to retrieve the desired record maycompromise the manager’s credibility and cast doubtabout the organization in the public eye. Is thereincompetence or dishonesty? Ineffective retrievalmay equal liability. The following information willhelp organize both paper and electronic records. Thiscan be done for minimal cost, but will require commitment and an investment of time. The results willmore than justify the investment.Key Records Management ConceptsSo what is a record? A record is a strategic assetfor an organization. It is one of the key ingredientsthat make up an organization, along with people,capital, and property.PrefaceManaging Records with Limited Resourcesfocuses on ways to succeed in developing and maintaining a records management program using free orlow cost tools that are available in a typical modernoffice. This bulletin reveals the free tools availableto any Records Manager, and how to apply thesetools to the development of a basic records management program. There are also ways to find low costsolutions for the control and storage of records.IntroductionEvery local government should have a recordsmanagement officer. This person must have an appreciation of records and their value.Records can be ignored. There are other pressing issues, right? Paper records are often boxedand stored in a basement or closet, and forgotten - until there is an information retrieval crisis! Digitalrecords present another challenge. Electronic filespace seems unlimited, so it seems easier to keep everything. However, all records need to be managed.Records Management goes beyond space limitations, for both paper and digital records. One of themost important reasons for records management is:the right information can be located at the right time.In other words, less stress, more success.You know the feeling: satisfaction in quickly finding a document for a citizen or a manager that con-IIMC Records Management Technical Bulletin SeriesRecords Contain information needed to conduct business.Provide the institutional memory for an organization and for a community.Hold documentation that details or protects therights of citizens.Provide the backup documentation for billing orcollecting taxes.Enable an organization to operate.Archival records . Have continuing value to the organization.Document policies, decisions, and the ways a local government conducts its business.Provide continuity with the past and illustrateinteractions between government and citizens.Protect individual rights, and document government accountability and the evolution of its functions.Provide critical information to local governmentofficials to assist in decision-making and continue ongoing operations. (Bartowski, 2)Physical format of information may be paper,tape, diskette, email, a digital file (including wordprocessing documents, databases, audio/videorecordings, and electronic images), microfilm or microfiche. The common, critical variable in all formatsis content. It is content that determines the value ofthe record.1
Managing Records with Liited ResourcesValue is whether the information is routine,important, critical, or vital. Appraising the value of arecord is a key step in records management. Determining if the content is a source of information orevidence of the organization’s activities and officialbusiness transactions (Managing Municipal Records,2-3) is the first step in appraising the document’svalue. A record is documentary information createdor received by the organization that illuminates thebusiness of the organization.Records management is handling the recordthroughout its life cycle. A record’s life cycle encompasses creation, distribution/use, storage/ retrieval,and long term storage (retention) or disposition.natioCreDistribun&tioUseR e t e nti on&DispositionS t o ra geet&Rri elvaRecords Life CycleInformation kept in a location where it cannotbe found is lost data. Records management systematically tracks information; it is more than a filingsystem. Even a small to mid-sized operation maycreate a large volume of records daily. Efficient management/retrieval of these records can be vital to thehealth and operational integrity of the organization.A records management system includes a goodfaith effort to protect these important assets usingsound principles, reasonable care, and best practices.Objectives for a sound records managementsystem are consistency, transparency, compliancewith applicable laws, and accountability. Applyingthese values/objectives will mean records which areprotected, accessible, retained as necessary/appropriate and disposed of when no longer are needed bythe organization.2The end result: information can be found whenneeded. It may be required for research, strategicplanning, to meet a citizen inquiry, for a court whenthey demand it, or by records custodians when it istime to destroy it.Starting a Records ManagementProgram with Limited ResourcesOrganizations may only dedicate modest resources to records management. Given the real value ofrecords, this may not be logical, but it is reality. So,with limited resources, how can a Records Managerbuild a great, workable system?1. Get EducatedFacing a records situation that needs lots of workis a daunting task. Yet a systematic and informedapproach can result in a successful program. Records management knowledge is the best free “tool”.Learning the needs within the organization is thefirst step in gaining valuable control of the records.If records management is well developed, thenthis bulletin provides ideas for improvement. If juststarting out, a Records Manager can begin with smallsteps; using what he or she can, keeping it manageable, and, like building a house, start future successin records management, one brick at a time. Gradually, progress will happen!State Archivist or State SecretaryEvery state government has a division that oversees records, usually the State Archives or the Department of State. That office will be one of the bestresources for information. Search the web to findthe state government website. Search for the StateArchivist and Records Management. Most statesprovide a great deal of assistance to help determinewhat is required and expected of a records custodian. The State Archivist may have standard recordretention schedules, perhaps a records managementmanual, plus contact information. Take advantage ofall of these.If the information is not available there, look onanother state’s website. Keep in mind that laws differ from state to state so any records management information will have to be adjusted to meet one’s ownstate laws. However, records management principlesIIMC Records Management Technical Bulletin Series
Managing Records with Limited Resourcesare universal so the information from another statecan still be valuable.Besides the local state website, North Carolinahas an excellent website: www.records.ncdcr.gov/.Colleagues in Other Local GovernmentsOthers may have good information. Check outthe website of the biggest city in the state. Contact Records Managers in nearby cities and towns.Networking with a peer in a nearby community canhelp in the quest for more information. They may bewilling to share experiences in developing a recordsmanagement system, or provide direction to otherresources in the community or state. Is there a localor statewide expert? Ask to borrow their records policies or manual. Why reinvent the wheel? Use toolsthat others have developed for a successful program.Another good source for local government records management is New York City’s website: tate Professional OrganizationsMost states have state professional organizationsthat are interested in records management. First,the state municipal clerks’ organization is comprisedof records custodians designated by their government. Some provide training in records management,others have written materials (see Colorado’s Municipal Clerks Association’s RIM Toolkit, detailed inthe references list at the end of this bulletin). Mostimportantly, such organizations are contacts for otherclerks who may lend expertise/assistance.Generally, state professional organizations sponsor/host annual conferences or institutes. These mayprovide wonderful learning opportunities in specificareas like records management, and allow for networking with others that have the same interests.Many state organizations provide scholarships tounderwrite the expense of attendance.Advocacy Organizations for MunicipalitiesMany municipal leagues provide support andresources. The Colorado Municipal League has aparticularly good library of publications; their website is www.cml.org.IIMC Records Management Technical Bulletin SeriesNational/International OrganizationsNAGARA (National Association of GovernmentArchives and Records Administrators) is dedic
Managing Records with Limited Resources IIMC ReCoRds ManageMent teChnICal BulletIn seRIes 1 Preface Managing Records with Limited Resources focuses on ways to succeed in developing and main-taining a records management program using free or low cost tools that are available in a typical mode
Records Management System (ERMS). Johnston and Bowen (2005, p.132) define the term ERMS in the following way: "An electronic records management system (ERMS), as the term stands, could be an electronic system for managing records on any media. An electronic system for managing paper records in a records centre or
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22.07: Ski Fly Boat Speeds 22.08: Ski Fly World Records 22.09: Ski Fly Course Rule 23 – Records 23.01: What Records are Recognized 23.02: Competitions where Records may be set 23.03: Jump Records 23.04: Slalom Records 23.05: Tricks Records 23.06: Open Division Overall Records 23.07: Under 21 Record 23.08: U
4.11 Records Security and Business Continuity 28 Useful Guidance 29 5.1 Adopted Persons Health Records 29 5.2 Ambulance Service Records 29 5.3 NHS 24 Records 29 5.4 Asylum Seeker Records 30 5.5 Child School Health Records 30 5.6 Complaints Records 30 5.7 Controlled Drugs Regime 31 5.8 Data Processors, Subcontractors and Changes in Contracts 31
applications. As a result, local government records programs are faced with big challenges to manage and access these records. Developing Support for Managing Electronic Records One of the most important aspects of managing electronic records is developing awareness of the need, and
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Records Retention Policy 3 as permanent records they should be destroyed according to the time period shown on the Records Retention Schedule. Inactive records should be securely stored until the end of the retention period. However, at the end of the retention period the custodian of the records is responsible for destroying the records.
CBSE Sample Paper Class 11 Maths Set 2 Solution. 1 cos2 1 cos4 1 2 2 x x cos2x cos4x 0 2 cos3x cos x 0 Cos3x 0 6 3 0 2 6 3 x n Cosx x k n n is integer π π π π π π 8. Solution: 30 40 60 4 7 2 4 10 4 15 4 ( ) . ( ) ( ) 1 1 1 1 1 i i i i i i i i 9. Solution: Substituting the points (0, 0) and (5, 5) on the given line x y – 8 0 0 .
