Information and Records Management

1. Information and Records Management presented by the Indiana Archives and Records Administration 402 W. Washington St. - Rm. W472 Indianapolis, IN 46204 317-232-3380 iara.IN.gov State Records Management Division: rmd@iara.in.gov

2. 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 andYou

4. 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 5-15-5.1-5 (4)

5. IARA Divisions • Forms Management • Records Management • Imaging and Microfilm Laboratory • Records Center • Indiana Archives

6. Agency Records Coordinator • 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 – www.iara.in.gov(under Services for Government) • Other agency staff often work with IARA on specific projects or to transfer records for storage

7. What CanYouDo To Manage Your Records Effectively? • Maintain an efficient file structure in your office • Become familiar with records retention schedules and how to read them • Work with IARA to keep those records retention schedules up to date

8. What CanYouDo To Manage Your Records Effectively? • Be aware of any special issues with electronic records, and include your technology staff in decisions about them • Become familiar with records transfer, storage, and destruction procedures • Teach what you learn about records management to others in your agency!

9. “Byeeeee!” “Um…”

10. Public Records:What Are They?

11. 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 5-14-3-2 (9)

12. 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 5-14-3-1

13. Public Access Counselor An attorney appointed by the Governor of Indiana to advise citizens and state/local government agencies on issues of: • Access to Public Records • Confidentiality • Privacy

14. Public Access Counselor • (317) 233-9435 • (800) 228-6013 • www.PAC.in.gov • pac@OPAC.in.gov

15. Records Management: What’s the Big Deal?

16. The Life-Cycle of a Record • Birth: when records are created or received • Active status: using them frequently in your office • Semi-active or inactive status: not needed often, but still legally required to possess them • Final disposition: destruction (most records) or transfer to the Indiana Archives (historical records)

17. Value of Good Records Management • AccountabilityState and Federal law, judicial system, state government hierarchy, and taxpayers all rely on us to manage public records properly • Space ManagementIf you’re storing boxes in your office that you don’t need there, your agency is losing money and workspace. • Government HistoryProper 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. 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 {Archives and Records} administration. IC 5-15-5.1-14

19. Records Management: How Do I Do That?

20. Records Retention Schedules • 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 for all State Agencies • Contains basic, broad record types that apply to most state agencies, so the retention rules are the same for everyone. • Your agency’s specific retention schedule should be revised to remove any records covered by the General Retention Schedule.

23. Retention Schedule page (Agency)

24. Agency-Specific Retention Schedule • 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 use your retention schedule for their records!)

25. Creating or Updating a Retention Schedule • 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 • Due to previous practice of updating only by agency request, many agency records retention schedules were not updated for decades at a time. • 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 4 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 • 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 • 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 ALSO used by Records Center to notify agency of records being transferred to Indiana Archives instead of destroyed.

33. If Records may NOT be destroyed

34. The Indiana Archives • Permanently catalogues and stores records of legal and historical value • Records must be pre-approved for Indiana 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 Indiana Archives transfers to the Archives and Records Administration. For details on transferring records to the Archives, call 317-591-5222

35. Indiana ArchivesTransmittal form

36. Microfilm and Imaging Lab • Images (scans) paper records to create electronic records • Creates microfilm from paper records (classic method) or from electronic records (computer output microfilm / "COM") • Microfilms selected Indiana Archives records for preservation See Records Coordinator Handbook Sec. 5.2– Call 232-3746 for details on current services and pricing!

37. Special Issue:Electronic Records

38. Electronic Records, IC 5-15-1-1 (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 • Public has the right to inspect no matter what the format (IC 5-14-3-2) • Public has the right to receive copies of electronic records (IC 5-14-3-6)

40. 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. The MEDIUM – the physical container that stores your electronic data – needs to be one that will last for the entire retention period.The FORMAT – Operating system, software, technical support – changes much more quickly, and must ALSO be readable for the entire retention period. Electronic Records: Medium and Format Storage Medium Projected Physical Life FormatObsolete in… CD/DVD 5-59 years5 years digital tape 2-30 years5 years magnetic disk 5-10 years5 years

42. So How Do We Handle This? 1. Any records with retention of 10 years or less that are not scheduled to eventually go to the Indiana Archives may be scanned and hard copies destroyed, if scanning system is approved via IARA Policy 2006-01. 2. 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 addressed in your retention schedule on a case by case basis. Options that may be approved include • Computer Output Microfilm • Transferring the hard copies to the Archives after scanning • Transferring electronic records to the Archives if the archivists determine that it's feasible for the type and amount of data you have 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 • E-mail 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 sorting and filing electronic correspondence in order to apply those record series to your e-mail. • See the Electronic Records section of IARA's website for examples of agency e-mail policies.

44. Contact information: • Records Management: rmd@ iara.in.gov • Records Center: recordscenter@ iara.in.gov • Indiana Archives: arc@ iara.in.gov • Microfilm Lab: imaging@ iara.in.gov • Public Access Counselor: pac@ opac.in.gov