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Archives Training Module: Training for Records Officers
2014
Records Management Training
Training Description: Provide an overview of Records Management to Records
Officers and public employees for the purpose of managing public records
Training Objectives: At the end of this training, you will be able to:
•
Define public records
•
Issue and comply with Records Management Policies and Procedures, as part of
your agency’s Records Management Program (template on p. 4)
•
File and retain records in accordance with records retention schedule
•
Understand the challenges presented by electronic records management
Agenda:
1. Opening
a. Introduction
b. Overview, course agenda, objectives, logistics, ground rules
2. Introduction to topic (p. 3)
a. Public Records – What you need to know
b. Test the knowledge
3. Life Cycle of a Record (p. 4)
4. Records Management Program (pp. 4-7)
a. Preparing your organization to comply with records management laws &
regulations
b. Checklist of records management program
c. Example of a records management policy (p. 5)
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
5. Records Retention Schedule (p. 8)
a. Why we use a schedule
b. Types of records
c. Records values
6. Basic Records Management (pp. 9-10)
a. Filing systems
b. Essential records (disaster preparedness)
c. Technology (Electronic Records Management)
d. Storage
7. Worksheet: Action plan for Records Management at your agency (p. 11)
8. Training Evaluation (p. 12)
Instructor:
Matt Brown
Secretary of State, Archives Division
Phone: (503) 378-5255
Web page: http://sos.oregon.gov/archives/Pages/recordsmgmt.aspx
Logistics of the Class:
This classroom training lasts approximately 45 minutes during which attendees
will learn their basic responsibilities for public records.
Training Prerequisites:
To ensure success, learners should either be the agency’s Records Officer, or
have duties for managing agency records.
Ground Rules:
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Treat others with respect
Come prepared to learn
Listen with an open mind
Focus on what is good for the customer, the team and the organization
Ask questions and share concerns openly with your instructor
Provide feedback to help others learn
Work hard to improve
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
What do you need to know about public records?
Element
Definition
Public Record (Retention) any information that:
(A) Is prepared, owned, used or retained by a
state agency or political subdivision; and
(B) Relates to an activity, transaction or
function of a state agency or political
subdivision; and
(C) Is necessary to satisfy the fiscal, legal,
administrative or historical policies,
requirements or needs of the state agency or
political subdivision.
Public Record (Access)
“Any writing that contains information relating
to the conduct of the public’s business,
including but not limited to court records,
mortgages, and deed records, prepared,
owned, used or retained by a public body
regardless of physical form or characteristics.”
Public Meetings Law
“The Oregon form of government requires an
informed public aware of the deliberations and
decisions of governing bodies and the
information upon which such decisions were
made.”
Official copy of a record
That version of a public record that has been
designated by the agency as the record of a
transaction or event, The official copy is the
one copy subject to records retention
schedules.
Records Retention
A document approved by the State Archivist
Schedule
listing the length of time a record needs to be
kept for administrative, legal, fiscal or historic
purposes.
Retention Period
The length of time a public record must be
retained as authorized by an applicable
records retention schedule produced and
approved by the State Archivist
Full glossary of terms is available at
http://sos.oregon.gov/archives/Pages/records
_glossary.aspx
Records Management regulations and
General Retention Schedules:
http://arcweb.sos.state.or.us/pages/rules/oars
_100/oar_166/166_tofc.html
Secretary of State Archives Division
Citation
ORS
192.005(5)
ORS
192.410
ORS
192.620
ORS
192.005(5)
(D)
OAR 166
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Archives Training Module: Training for Records Officers
Life Cycle of a Record
Creation
Distribution and Use
Maintenance
Correspondence,
Reports, Directives,
Maps
Inter agency Decision Making
Intra agency Documentation
External
Response
File
Retrieve
Disposition
Archive
Destroy
Records Management Program
Each Oregon public agency is required to designate a records officer to coordinate its
records management program and to serve as liaison with the State Archivist (ORS
192.105(2)(a)). Required elements of a records management program are:
 Agency-wide current Policies & Procedures (see next page for example)
 Designated records officer with decision making authority
 Current & implemented records retention schedule (OAR 166-150)
 File structure/Files management
 Essential records
 Safe storage
Secretary of State Archives Division
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2014
Archives Training Module: Training for Records Officers
SAMPLE Records Management Policy
NUMBER
SUPERSEDES:
EFFECTIVE DATE
REFERENCE: ORS 192. OAR 166030 & 166-300, SOS Approved
Record Retention Schedule
SUBJECT:
Records Retention and Destruction
APPROVED SIGNATURE
Signature on File
Purpose: The purpose of this policy is to manage records from creation to destruction
or final disposition, including all information that is relevant to the business of the
_____________.
Definitions:
ORS 192.005(5) also defines what is not a public record for the purposes of retention.
Those applicable are:
a. Extra copies of a document, preserved only for convenience of reference;
b. A stock of publications;
c. Messages on voice mail or on other telephone message storage and retrieval
systems; and
d. Spoken communication that is not recorded
“Retain” means to keep for a period of time.
“Records Officer” means the employee of ___________ who is responsible for
coordinating record retention.
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
Policy: All employees of ___________ will retain, transfer for permanent retention, and
destroy public records in accordance with Records Retention Schedules approved by
the Secretary of State’s Archives Division.
Records Retention Schedules: In order to properly retain and destroy public records,
the department must use the following schedules:


_________ General Records Retention Schedule - covers general administrative
records, facility and property records, as well as financial, payroll, personnel and
risk management records (OAR 166-___).
_____________ Records Retention Schedule - specific to the agency.
Record Maintenance: ___________’s records are stored in the following ways:
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Computer servers kept on the premises. The door to the server room is secured
by a punch lock system. Access to the servers is given only to certain members
of the IS team.
Traditional computing with networks.
Cloud computing
Social Media- ___________ utilizes Facebook, Twitter, YouTube, and blog for
marketing and informational purposes.
Email- ___________ contracts with a third party to deliver, maintain and store
email.
Back up for the departments’ records is done through DAS.
Traditional paper records.
These records are retained and destroyed using the above records retention schedules.
If an electronic record has been printed and stored in a paper file, the electronic record
may be deleted.
Social Media Record Maintenance: Public records that are produced via Facebook,
Twitter, YouTube, blog, or other platform, are printed and stored in a paper file to be
retained according to records retention schedules. The Records Officer determines if
the information falls under the definition of a public record and prints and stores them
accordingly.
Responsibilities of Employees: All employees of ___________ are responsible to
ensure that the records in active use are properly retained. Employees must ensure
that no records are destroyed before the retention period has been reached.
Responsibilities of Managers: All managers of ___________ are responsible for all
records created within their section or division. Managers must approve all records
going to the records center or State Archives. Approval from managers is necessary to
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
destroy records that are held at the State Records Center. Managers must ensure that
all records within their section or division are retained and destroyed properly.
Record Inventory: All employees of ___________ shall regularly review the records
they create and work with. This includes email and electronic media. On a regular basis,
employees shall determine if records should be destroyed or retained, in accordance
with the definition of a public record and the records retention schedules.
Records Center: Records which are no longer in active use must be retained in
accordance with the agency/general retention schedules. These records are sent to the
State Records Center for storage until their specific destruction date. Documentation of
this storage is kept by the Records Officer.
Record Destruction: Records shall be destroyed in accordance with agency/general
records retention schedules. All records sent to the State Records Center have a
specific destruction date. The State Records Center provides the Records Officer with
a list of records that are scheduled for destruction. The Records Officer provides the
list to the applicable manager, who confirms that the records can be destroyed. The
only exemptions from routine records destruction are when requested for litigation,
audit, or mitigating administrative need. The Records Officer responds to the State
Records Center which records may be destroyed. A letter confirming that the records
were destroyed is sent to the Records Officer. All documentation regarding the
destruction of public records is kept by the Records Officer.
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
Records Retention Schedules
Why we use them:
Legal requirement for disposing of public records
Essential element of a records management program
Identify official copy of agency information
Identify essential records
Helps identify records ready for destruction
Makes remaining records more accessible
What are the different types of records retention schedules that my agency may use?
General Schedule
Agency Special
Schedule
Written so that many individuals may use them, regardless of
the agency or department that they work for. (Fairs use the
County and Special District General Records Retention
Schedule (OAR 166-150))
Written for records that are unique to a particular government
agency or department and can only be used by that agency
or department
Records retention schedules’ retention periods are based on a combination of the
following values that records can hold:
1. Administrative (Usefulness of records in conducting an agency's business)
2. Fiscal/Audit (Usefulness of records in documenting an agency's fiscal
transactions and obligations)
3. Legal (Usefulness of records in documenting legally enforceable rights or
obligations, both those of the state and those of persons directly affected by an
agency's actions)
4. Historical/Research (Records of permanent value that document company policy,
operations, organization, development or social contributions; illustrates major
economic, political, religious, legal or social trends; portrays significant individual
achievements; or sheds light on significant events of our times)
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
Basic Records Management
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A filing system should be employed for all public records, regardless of the
form they are kept in (electronic, paper, etc.) Any filing system should be
simple, logical and easy to implement; otherwise, it will not be used
effectively.
Agencies must identify their essential records regardless of format (OAR
166-020-0045. There are two types of records that the agency should
consider essential:
1. Records needed for the continued functioning or reconstruction of an
agency during and after an emergency, or
2. Records essential to protect the rights & interests of the agency, or of
individuals affected by its actions
Technology (Electronic Records Management)
To ensure that your agency’s electronic records are in compliance:
1. Issue written policies & procedures that address use, access, and retention
2. Train employees on these policies & procedures
3. Ensure that agency employees are using the retention schedules, and that
the management of agency public records is systematic & routine
4. Continuously & systematically monitor for compliance with policies &
procedures
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
Records Storage
Requirements for storage areas that hold public records:
1.
2.
3.
4.
5.
6.
7.
8.
Fire resistant structures
Temperature & humidity are maintained
Well lit
Well ventilated, and protected from insects & mold
Away from steam, water, & sewer pipes
Away from excessive windows & doors
Clear aisle space
Shelving above initial flood stage (OAR 166-020)
How to Label Boxes of Agency Records
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
Worksheet: Action Plan for Records
Management
Rate Current
Readiness
Component
Actions Needed
Timing
1=does not exist
2=needs update
3=in compliance
Agency-wide Records
Management Policies &
Procedures
Designated Records
Officer with decision
making authority
Current & implemented
records retention
schedule
Filing system
Essential records
program
Safe storage for agency
records
Secretary of State Archives Division
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Archives Training Module: Training for Records Officers
2014
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Secretary of State Archives Division
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2014
Archives Training Module: Training for Records Officers
Training Evaluation
Your Name ___________________Trainer________ _________Date ____________
1.
What did you like about this training?
2.
What would you improve in this training?
3.
Your performance in the training module.
1
Unacceptable
4.
4
Good
5
Great
2
Poor
3
OK
4
Good
5
Great
2
Poor
3
OK
4
Good
5
Great
2
Poor
3
OK
4
Good
5
Great
2
Poor
3
OK
4
Good
5
Great
3
OK
4
Good
5
Great
Value of this training module.
1
Unacceptable
10.
3
OK
Trainer’s instruction and training skills demonstrated.
1
Unacceptable
9.
2
Poor
Trainer’s preparation.
1
Unacceptable
8.
5
Great
Trainer’s encouragement and assistance in learning.
1
Unacceptable
7.
4
Good
Trainer’s knowledge and experience on this topic.
1
Unacceptable
6.
3
OK
Your future success in demonstrating these new skills.
1
Unacceptable
5.
2
Poor
2
Poor
Additional Comments:
Secretary of State Archives Division
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