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“Pay Me Now or Pay Me Later” The Records Management Dilemma November, 2009

“Pay Me Now or Pay Me Later” The Records Management Dilemma November, 2009 Mary Beth Herkert , CRM, CA. Points to Ponder. “Electronic storage is cheap, why bother to manage information, just keep it all.” 9 % of agency/corporate annual budgets are dedicated to e-discovery.

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“Pay Me Now or Pay Me Later” The Records Management Dilemma November, 2009

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  1. “Pay Me Now or Pay Me Later” The Records Management Dilemma November, 2009 Mary Beth Herkert, CRM, CA

  2. Points to Ponder “Electronic storage is cheap, why bother to manage information, just keep it all.” 9% of agency/corporate annual budgets are dedicated to e-discovery The Secretary of State spent 2.5% of its biennial budget in setting up ERMS. Ongoing licensing and maintenance will equal less than 1% of the agency’s biennial budget. Dupont reviewed 75 million pages and found half were past retention. Cost for review of records past retention - $12 million Estimates - employees spend 25-40% of their day searching for the right information to complete a given task. Estimates – organizations can only retrieve about 22% of records relevant to an e-discovery case. Agencies without an active policy and strategy for managing information will spend one-third more time (time = money) on e-discovery than agencies that do. It is becoming cheaper to settle out of court than to defend your agency. Solution: Become Proactive and Manage your Information

  3. Being Proactive and Getting There Proactive means being ready – knowing where your information is, how to get it and who can access it quickly and efficiently How do we do this? We manage our information from the time that we create it until it has reached it’s final disposition. We ultimately want to make this process systematic and routine But this is hard and it takes too much time – It’s not hard, it’s change. How much time is currently being spent on e-discovery and Public Records Requests and rooting through everything we have kept? It costs too much – Obviously there are costs involved, especially when using an ERMS. But……..

  4. Getting There – Step 1 Records Retention Schedules Organizational Placement Schedule Number: 2007-0027 Agency: Secretary of State Division: Human Resources Program: Recruiting Program Description Human Resources, Recruiting is responsible for actively recruiting for agency vacancies and for helping agency divisions through the recruitment and selection process. Recruiting is also responsible for conducting new employee orientation. Program Records 173 New Employee Orientation Records (a) Transfer records related to individual employees to Employee Personnel Records once Orientation completed (b) Retain all other records until superseded or obsolete State Agency General Records Retention Schedule Records Administrative Records (OAR 166-300-0015) Correspondence Mailing Lists Personnel Records (OAR 166-300-0040) Criminal Background Checks Employment Eligibility Verification Forms (I-9) Employee Personnel Records Databases None

  5. 166-300-0025 Financial Records (1) Account Reconciliation Records Records document the reconciliation of agency funds and accounts such as cash accounts with the State Treasury or other subsystems, capital asset to capital expenditures, or federal revenue to federal expenditures. Records may include printouts, worksheets, reports, schedules, and other supporting documentation. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Retention: Retain 6 years, destroy (2) Account Transfer Records Records document the authorized movement and transfer of funds between various accounting structures, such as the Statewide Financial Management Application (SFMA) Program Cost Account (PCA), Index, Program, Organizational Structures, and Treasury accounts. Records may include journal vouchers and transfer requests. Records include those produced by SFMA, the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Retention: (a) Retain records documenting transfers between statutory funds: 75 years, destroy (b) Retain all other account transfer records: 6 years, destroy (3) Accounting Structure Organizational Hierarchy Records Records document the program and/or organization of an agency's accounting structure. The accounting structure includes items such as comptroller objects, agency objects, fund structure, and general ledger account and other codes and profiles. Records include those produced by the Statewide Financial Management Application (SFMA) the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Records may include SFMA profile listings showing accounting structure and fund split tables. Retention: Retain 6 years, destroy (4) Accounting System Input Documents and Listings, and Agency Control Reports Records document transactions or changes entered into the accounting system and other subsystems. They are used to control accuracy of data entry and to verify data input and batch control. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Records include input documents, batch control reports, hand-posted spreadsheets, control reports, and memoranda. Retention: Retain 4 years, destroy (5) Accounts Payable Reports Records document current outstanding liabilities and provide a record of payments of bills by the agency. They may also serve as a subsidiary ledger. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Retention: (a) Retain SFMA requestable reports: 6 years, destroy (b) Retain all other accounts payable records: 6 years, destroy

  6. Accounting - Disbursements Accounting is responsible for developing and implementing agency or statewide accounting policies, procedures and systems; ensures the integrity, accuracy, and control of financial data; and controls the expenditure of funds. Disbursements is responsible for processing, paying, and recording agency transactions for agency purchases. NOTE: Also see Payroll. Sched/Series Records, Including All Related Correspondence Retention & Disposition Number 2007-0027/300 Encumbrance Registers 3 years, destroy 2007-0027/301 General 6 years, destroy Account Reconciliation Records Accounting Structure Organizational Hierarchy Records Checks Credit Card Records Debit/Credit Advices Journal Entry Registers Non-Statutory Funds Account Transfer Records Purchasing Records Travel Expense Records Vouchers Voucher Registers Warrant/Check Cancellation Request Records Warrant/Check Register 2007-0027/302 Statutory Funds Account Transfer Records 75 years, destroy 2007-0027/303 Grant Records (a) Grant final report, including SFMA requestable reports: 5 years after final or annual expenditure report accepted, destroy (b) All other records: 1 year after submission of final report, destroy 2007-0027/304 Postal Records 4 years, destroy

  7. Step 2 - Filing Systems, Structure and Classifications For Your Improv.doc Special Merits MPL Audit Donated Leave 360 Feedback HB2157.doc NEO packets-Erin Strategic Plan Emergency 2007-2009 Budget HR Standards.doc HRDBrochure04gray.pdf Office Forms Student Worker Employee Action 2007 year end HRDBrochure04.pdf Ofc. of Admin. Hearings Technology Plan Employees AA INS EMPLOY VER.doc ORS 240 Work Group Training Erin’s Stuff J’s BIA questionaire.doc Adams law suit Leadership qualities.doc PERF EVAL TS Removal FLSA ADA MOU, Jones.doc Performance Mgmt. Turnover FMLA_OFLA MOU, Smith.doc ADR ORG Charts.ppt Permanent Financing Window III Forms All Staff Meeting PA Form.doc PAS2.pdf Personnel Manual Window III & IV Archived EE Files Hiring Freeze Reporting PAS3.pdf Prsnl Pol Review-Erin Young II Audits Class Study 05 HRD Policy Audits Pers.Folder Request log.xls 2004 Intern Audit Salaries Policy Changes2007.doc Position Descriptions HRD Photos Background Checks Audits.xls Policy Changes.doc RECLASS HRSD Audits Blue Sky Business Continuity Plan RACFID.Temps.doc Brochure 2007.pdf Recognized Svc. Dates RACFIDPerm.doc Injured Worker IGA Central Services Survey EEO Self Report Form.pdf Skills Matrix.doc EE’s w-differ(NEW).xls RECRUITING Layoff Class Study Succession Planning sow.doc EE’s w-differ.doc.xls Recruit. Work Grp. SummerIntern3.07.doc Mailing list recruitment Employee Files.doc Contested Case Forms SummerIntern3.15.doc ExecOfc.doc School-to-work Misc. Ltrs Desk Manual

  8. File Structure HR Administration Americans with Disabilities Act Records ADA Blue Sky Advisory Committee Records Blue Sky Advisory Committee Records (P) Blue Sky & Best Practices Blue Sky Committee Meeting talking points for Jean.doc ORS 240 Work Group Performance Management Criminal Background Check Records Background Checks criminal background checks Employee Personnel Records Emergency Notification Forms (P) Employees and Individual Employee Personnel Records – Current and Past (P&E) PERF EVAL Recognized Service Dates Special Merits TS Removal Discipline/Grievance Files (P) RACF_ID.Temps RACF_ID-perm-emp.doc Personnel folder request log.xls Employee Action AUDITS.xls Employee Eligibility Verification Forms (I9) INS EMPLOY VERIF.DOC Federal and State Records and Reports Affirmative Action Records Equal Employment Opportunity Records Archived EE Files FMLA/OFLA FMLA_OFLA FMLA_OFLA Files (P) Internal Audit Reports HRSD Audits HRD Policy Audits MPL Audit HRD Audits Policy Audits Legal Actions Jones law suit Smith, R. Young Position Description and Reclassification Records Audits Class Study 05 Classification Files (P) Class Study PAS 2.pdf PAS 3.pdf POSITION DESCRIPtions RECLASS Turnover Window III Window III & IV 2004 Internal Auditor Salaries.doc Position Inventory Control System (PICS) Reports DAS Reports (P)

  9. Classifications SOS-Human Resources-Administration SOS-Human Resources-Administration-Blue Sky SOS-Human Resources-Administration-Employee Personnel Record SOS-Human Resources-Administration-Employee Personnel Record-ADA SOS-Human Resources-Administration-Employee Personnel Record-Background Checks SOS-Human Resources-Administration-Employee Personnel Record-FMLA/OFLA SOS-Human Resources-Administration-Employee Personnel Record-I9 SOS-Human Resources-Administration-Employee Personnel Record-Position Description SOS-Human Resources-Administration-Employee Personnel Record-Training SOS-Human Resources-Administration-Position Reclassification

  10. Step 3 – Implementation and Buy-in

  11. Lessons Learned • Management starts with a manual process • Looking at Records Retention differently • Paper and Electronic information is managed together • Information is easy to locate and find, thus reducing discovery and storage costs • Asset classification is easy to implement ensuring that information is secure & accessible to only authorized users • Retention and disposition is routine and systematic • System is auditable

  12. For More Information Mary Beth Herkert Oregon State Archives Phone: (503) 378-5196 E-mail: mary.e.herkert@state.or.us Webpage: http://arcweb.sos.state.or.us

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