NN UU MM BB EE RR 61 The Seven Attributes of an Effective Records Management Program By Thomas D. Norris February 2002 The University of the State of New York The State Education Department New York State Archives Government Records Services Albany, New York 12230 http://www.archives.nysed.gov THE UNIVERSITY OF THE STATE OF NEW YORK Regents of The University CARL T. HAYDEN, Chancellor, A.B., J.D. ............................................................... Elmira ADELAIDE L. SANFORD, Vice Chancellor, B.A., M.A., P.D. ............................. Hollis DIANE O’NEILL MCGIVERN, B.S.N., M.A., Ph.D. .................................................. Staten Island SAUL B. COHEN, B.A., M.A., Ph.D............................................................................ New Rochelle JAMES C. DAWSON, A.A., B.A., M.S., Ph.D. .......................................................... Peru ROBERT M. BENNETT, B.A., M.S. ............................................................................. Tonawanda ROBERT M. JOHNSON, B.S., J.D. ................................................................................. Huntington ANTHONY S. BOTTAR, B.A., J.D. ............................................................................... North Syracuse MERRYL H. TISCH, B.A., M.A. .................................................................................. New York ENA L. FARLEY, B.A., M.A., Ph.D. .......................................................................... Brockport GERALDINE D. CHAPEY, B.A., M.A., Ed.D.............................................................. Belle Harbor ARNOLD B. GARDNER, B.A., LL.B. ........................................................................... Buffalo CHARLOTTE K. FRANK, B.B.A., M.S.Ed., Ph.D. .................................................... New York HARRY PHILLIPS, 3rd, B.A., M.S.F.S. ..................................................................... Hartsdale JOSEPH E. BOWMAN, JR., B.A., M.L.S., M.A., M.Ed., Ed.D................................. Albany LORRAINE A. CORTÉS-VÁZQUEZ, B.A., M.P.A...................................................... Bronx President of The University and Commissioner of Education RICHARD P. MILLS Chief Operating Officer RICHARD H. CATE Deputy Commissioner for Cultural Education CAROLE F. HUXLEY Acting Assistant Commissioner and Director of Operations CHRISTINE WARD Chief, Government Records Services ROBERT W. ARNOLD The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, marital status, veteran status, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its educational programs, services and activities. Portions of this publication can be made available in a variety of formats, including braille, large print or audio tape, upon request. Inquiries concerning this policy of nondiscrimination should be directed to the Department’s Office for Diversity, Ethics, and Access, Room 530, Education Building, Albany, NY 12234. Requests for additional copies of this publication may be made by contacting the State Archives Training and Grants Support Services, Room 9A68, Cultural Education Center, Albany, NY 12230. The Seven Attributes of an Effective Records Management Program Introduction Records are a basic tool of government administration. Records provide information for planning and decision making, form the foundation for government accountability, and are often subject to specific legal requirements. Records are essential for effective and efficient administration, but if poorly managed they can become a liability, hampering operations and draining resources. An effective records management1 program helps an organization get the most out of its records. It also helps limit costs and the risks that can come with poorly managed records. An effective records management program has certain characteristics or attributes; The New York State Archives has identified seven such attributes of an effective records management program. Records managers can assess the effectiveness of their programs by the presence or absence of these attributes. A government office has an effective records management program when the office . • . creates the records it needs, and none that it doesn’t. Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal, fiscal, administrative, and other recordkeeping requirements. • . retains the records needed as essential evidence and gets rid of obsolete records. Records are retained and usable for as long as required for legal or business purposes, and then efficiently disposed of or preserved as archives to support secondary uses. • . .stores its records—especially archival records—safely and securely. Records are stored and maintained in a safe, secure, cost-effective fashion to support retention, access, and archival preservation where applicable. • . retrieves information quickly through efficient access and retrieval systems. Records systems provide effective and efficient retrieval and access to records, to support use by the creating organization and by the public as appropriate under law. • . uses the right information technology for the right reasons. Appropriate uses are made of information technology to store, retrieve, make available, and use records. _________ 1 For a definition of this and other records management and archival terms, see the glossary at the back of this publication. The Seven Attributes of an Effective Records Management Program 1 • . promotes and supports the use of archival records as a community resource. Appropriate secondary use of records by public and other entities is supported and promoted. • . recognizes through policy and procedure that records management is everyone’s job. Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business. The following is an elaboration of each of these attributes, along with some indicators that can help records managers determine whether and to what degree each of these attributes exists in a program. Records Creation Many records management programs manage existing records well. Unfortunately, records management often is not effective during the time that records are being created. This can lead to redundant records, lack of clearly identified official copies, and insufficient records for audits or litigation. An effective records management program is one that creates all the records it needs, and none that it does not need. Here are some indications of effective records creation: • Records are sufficient for audits. • Unneeded records and copies are kept to a minimum. • Official copies of records are identified. • Records are available for litigation. • New York State Archives guidelines and other professional standards are used in records creation. Warren County is a good example of a government with effective records creation as an integral part of its records management program. Adherence to county policies and state regulations ensure that county departments have the records needed for audits. The county also keeps an inventory of all records on computer—this helps track retention periods and locations of official copies of records. The records management department has completed needs assessments of recordkeeping in various departments, and has used one assessment to institute major improvements in the creation of social services case files. Lastly, guidance from the records management department helps the county control production of unnecessary records and copies. 2 The Seven Attributes of an Effective Records Management Program Records Retention and Disposition Proper records retention and disposition is key to an effective records management program. It ensures that records are present when needed for litigation, audits, day-to-day business purposes, or historical research, but that unneeded records do not take up costly storage space. Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests. Some indications that a good retention program is in place include: • Archival records are identified early in their life cycle. • Retention schedules are adopted and used in the normal course of business. • Office retention schedules are developed and used. • Records are systematically disposed of. • Electronic records are retained and disposed of according to retention schedules. • Plans are in place to ensure that electronic records continue to be accessible following technology changes. • Disposition is routinely documented. The Town of Ledyard in Cayuga County is a good example of a local government with effective records retention practices. As RMO, the town clerk oversees the legal disposition of obsolete records as an annual, routine business practice. This is particularly important because the town’s inactive records vault has limited space available—there is no room for unneeded records, but there is room for records that might be needed for litigation, audits, or documentation of the rights and obligations of town residents. Records Storage and Maintenance One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently. Cost-effective,