Records, Archives and the BEST We Can Do

B + E+ S+T PresentationApril 30, 2010Dearborn, MI

Our Purpose at BEST: • Unfold the mystery of records management and

archives as our collective responsibility. Shared custodial responsibility Caring about our work and colleagues

• Consider the issues surrounding modern records and record keeping.

Legal requirements, retention and accountabilityElectronic records

• Identify basic “shoulds” that are “do-able.”Best practicesPolicy, strategy, resources

Five Governing Concepts for the Best We Can Do

I. Records Matter

II. Records Must be Managed

III. Some Records Matter More

IV. Managed Records Protect

V. Records Require Protection

I. Records Matter: As Evidence

• CommunityIdentity, governance, polity, members

• Mission and PurposeWorship, transformation, reconciliation, justice

• Corporate Existence Stewardship, accountability, transparency, trust, agency

• Public LifePresence, legitimacy, authority, integrity

I. Records Matter: As Information

Business efficiencyContinuity of operationsProtection of privacy and confidentialityData retrievalOperational and financial audit Public reputationAccountability to members and stakeholdersLegal liability and risk managementAsset protectionRights and responsibilities Recognition and reflection

Rediscovery & Reuse

Creation &Capture

Distribution

Organization and Storage

Retention & Disposition

Archive toPreserve

Records and Institutional Knowledge

I. Records Matter: Continuity

II. Records Must Be Managed

Records Management. The application of standard practices to record keeping and retention in order to create better records, maintain efficient information systems, and meet the operational and legal needs of the organization.

II. Records Must Be Managed:Era of Compliance and Accountability

• Legal environment has changed

• Stakeholders have rights

• Public accountability must be documented

• Electronic data are no longer just data

• Ascending liability in a hierarchical Church

• Business methods in Church affairs

• Standard practice costs less than recovery

II. Records Must Be Managed:Records Retention Policy and Standards

• Policy is highly advisable for all corporations.Definition, custody, scope, administrative responsibility

• General Retention Schedule is a key part of the policy.Modeled and customized, internally published, reviewed and approved

• Implementation requires a Record Officer/Coordinator.Knowledgeable about policy, authorized to act, good record keeper

• Standards and evidence of practice reduce legal risk.Dated actions, signed logs, evidence of updates and approvals

• All recorded communication is discoverable.Electronic records, websites, voice messages, Blackberry, email, Cloud

II. Records Must Be Managed:Records Retention Schedule

• Based on standards• Organization specific• Updated annually• Approved by counsel• Regularly followed• Documented practice

See Chapter IX of the Business Manual, the Archives Website or the Diocese of Olympia Website for examples.

II. Records Must Be Managed:Records Center Storage

• Storage for temporary records• Labeling records for disposition or archives• Keep costs reasonable and within reach• Finding the right person as a key component• Creating a “Virtual Records Center” for e-records

III. Some Records Matter More: Records Kept for Compliance

• Records of Financial Accounts and Payroll

• Employment and Personnel Records

• Contracts and Agreements

• Ancillary Public Services

III. Some Records Matter More:Electronic Records

• Formats are not durable and data require migration.

• Proprietary software systems—not open or preservable.

• Electronic records can be easily altered.

• Stored legacy records can be easily ignored.

• Most business operations are now created in electronic format.

• Most communication is now recorded electronically.

• Future search and retrieval will be automated, not analog.

• Initial decisions – affecting privacy, confidentiality, ownership, custody, and preservation – are not easily reversed.

• Electronic records require content as well as technical management.

IV. Managed Records Protect

• Confidentiality and Privacy

• Litigation Concerns

• Discovery, Search and Retrieval

• Access and Security

IV. Managed Records Protect: Confidentiality and Privacy

• Confidential Case Files

• Centralized personnel files

• Clergy files are personnel records

• Privacy of members, volunteers and employees

• Custody and control for long term retention

IV. Managed Records Protect: Litigation Concerns

• Don’t clean or destroy files off schedule.

• Discovery or the reasonable anticipation of litigation suspends destruction.

• Copy – don’t loan, including counsel.

• Legal holds should be targeted in time.

• Use of a retention schedule is a good defense.

IV. Managed Records Protect: Organization for Search and Retrieval

Paper Files• Simple hanging file systems, named and dated for retirement, are best.• File groups should follow office function and organizational structure.• Files should be evident in their self-indexing or there is something wrong.• Centralization is good, but avoid “Subject Files”– flexible groupings.• Big Buckets consistently practiced vs. small buckets always in arrears.• Avoid binders for records other than manuals, systems docs, and reference.• Place file titles and dates on folder labels for easy retirement and weeding.• Identify, whenever possible, the master or “file of record.”• Records should be located in as few areas as possible.• Consider fire-proof cabinets and locks where appropriate for vital records.• Off-site storage should be well documented and familiar to others.• Keep file plans and document inventories in a well identified location.

IV. Managed Records Protect: Organization for Search and Retrieval

Electronic Files• Create simple hierarchies of directories and sub-directories, rather than one flat

list of directories with long lists of files inside them.

• Keep file names short. Avoid repeating words in the directory name.

• Draft documents should be given version numbers and/or last revision dates.

• Identify in the file name the “final” or “master” copy.

• Separate documents into annual sub-directories for future reference.

• Use the “insert path and file name” software feature to track key documents.

• Use common abbreviations, but avoid dots in file titles as they get filtered.

• Articles and connectors such as: the, and, of, and for -- are not necessary.

• Instead of spaces, use hyphens or underscoring. Upper and lower case can be used to eliminate spaces.

• Consistent naming conventions: use dates, numbers, first words and punctuation with later sorting and retrieval in mind.

V. Records Require Protection

• Getting the right kind of help for the task

• Archiving permanent historical records

• Retaining title and custody

• Preparing for the next challenge of electronic records applications and communication

V. Records Require Protection:E-records Challenges

• System documentation and content oversight

• Migration to new systems

• Legacy files – the new “basement”

• Digitization – “can’t we just scan it”?

• Laptops and home computers

• Email retention – record creator’s job

• Virtual repository

• Intranets/ collaborative workspaces

• The Cloud in our future

V. Records Require Protection:Archiving Historical Records

• Bishop has a key responsibility for the safeguarding of the Archives; the Bishops’ delegated staff has responsibility for oversight and security.

• Archives contain permanent records that establish legitimacy, legal claims, governance, operational continuity, and protection of privileged communication. Archives should not be used as a dumping ground.

• Archives are reserved physical spaces – identifiable, dedicated and secure repositories that are under management oversight. They should be neat, orderly and supervised.

• Competencies matter. Obtain a simple job description for the archivist or records officer. Don’t give this responsibility to the unemployable.

• Models for archiving are widely available – but this is not a casual task. • Secure space and stable environments are possible in almost all dioceses. • Archives need to be carefully protected but not in a proprietary way• Appropriate access for legitimate and non-intrusive research.

V. Records Require Protection:Retaining Title and Custody

• Employment policy and acknowledgement of records ownership and retention

• Understanding agency vs. “personal records”

• Custody is both physical and copyright (125 yrs)

• Placing Church records with secular institutionsAdvantages and compromisesPrecautions and protections

V. Records Require Protection:The Right Kind of Help

• Take responsibility: name a records officer or archivist.

• The records officer or archivist is a trusted or commissioned agent who can handle confidential records.

• Find an approach to manage records and archives that fits the local situation.

• Archiving is not difficult, not costly, and not a luxury!

• Help abounds. Consult resources in parishes, state, TEC, EAN, industry literature, and standards.

• A little money goes a long way.

End

Call in a Lone Arranger!

Example Email StructuresExample Email Structures

The New Records Retention The New Records Retention Policy and Email as an ExamplePolicy and Email as an Example

Example Email StructuresExample Email Structures

The New Records Retention The New Records Retention Policy and Email as an ExamplePolicy and Email as an Example

Example Email StructuresExample Email Structures

The New Records Retention The New Records Retention Policy and Email as an ExamplePolicy and Email as an Example

Example Email StructuresExample Email Structures

The New Records Retention The New Records Retention Policy and Email as an ExamplePolicy and Email as an Example

Example Email StructuresExample Email Structures

The New Records Retention The New Records Retention Policy and Email as an ExamplePolicy and Email as an Example

Example Email StructuresExample Email Structures

The New Records Retention The New Records Retention Policy and Email as an ExamplePolicy and Email as an Example