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Records basics

Records basics. Utah Municipal Clerks Association Annual Conference – September 2013. Records Basics. When you tell people what you do for a living how do they react? Stereotyping such as: “So, you re-shelve files all day?” and

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Records basics

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  1. Records basics Utah Municipal Clerks Association Annual Conference – September 2013

  2. Records Basics • When you tell people what you do for a living how do they react? • Stereotyping such as: • “So, you re-shelve files all day?” and • “You’ll be out of a job soon, since everyone is going paperless.” • Records Management is a dynamic field with emerging responsibilities in a world that is increasingly dependent upon technology.

  3. Records Basics

  4. Records Basics • Records and Information Management (RIM) programs are primarily concerned with 5 areas: • Organizing active records for retrieval when needed • Ensuring compliance with recordkeeping laws and regulations • Determining how long to keep recorded information (retention & disposition) • Protecting vital records and incorporating that protection into disaster recover and risk management plans • Managing inactive records

  5. Definitions • Record • Recorded information, regardless of medium or characteristics, made by an organization in pursuance of legal obligations or in the transaction of business • Active Record • Records needed to perform current operations that are subject to frequent use • Inactive Record • A record no longer needed to conduct current business but preserved until it meets the end of its retention period • Record Copy • Original or official copy of a record that is retained for legal, operational, or historical purposes • Records Retention Schedule • A comprehensive list of records series, indicating for each the length of time it is to be maintained and its disposition

  6. Active Records • The management of Active Records requires a records storage system and a well thought out filing system. • To establish the best possible filing system it is important to consider the objective of a filing system: • Retrieval of information • Identify and preserve information • Establishing a uniform classification system

  7. Where do I start? • Records survey should be conducted to identify what records are stored and how they are used in the organization. • A records survey should include information such as: • location of records • type of records • amount of records; and • how often the records are accessed

  8. Where do I start?

  9. Ogden’s Active Records • Ogden took a “big bucket” approach and has categories such as: Official Documents Contracts & Agreements Property Documents Ordinances Resolutions Oaths of Office Inter-local Agreements Construction Contract Leases Liens Subdivisions Street Name Changes

  10. Ogden’s Active Records Staircase to Active Records Storage Mezzanine 6,336 inches of filing space = 420 boxes

  11. Inactive Records

  12. Inactive Records • Preservation and management of inactive records involves records centers and archives management: • 5 Major Causes of Damage to Records • Fire and Smoke • Water and Sewer • Environmental Contamination • Lighting • Data Loss and Power Surges • Location of Record Centers - Basement or attic spaces should be avoided: • Prime locations for water-related damage • Subject to extreme temperatures • Attics can have floor-weight issues

  13. What we do with Records 10th Floor Records Center 400 Boxes Basement Records Center 3,200 Boxes

  14. Ogden’s Inactive Records • Management of approximately 4,020 boxes of Records • Yearly Activity • 275 Boxes Checked In • 380 Boxes Checked Out or Destroyed • 120,000 Pages Imaged & Indexed • Monthly Activity • 23 Boxes Checked In • 32 Boxes Checked out or Destroyed • 10,000 Pages Imaged and Indexed

  15. Ogden’s Inactive Records 10th Floor Records Center – Attic Level

  16. Ogden’s Inactive Records • Sort records by type • Refer to the Recorder’s Bible – the Retention Schedule • Create a Records Transfer Sheet – include: • Dates • Description of records • Retention Schedule

  17. Non-Permanent Transfer Sheet

  18. Permanent Transfer Sheet

  19. Ogden’s Inactive Records • Label the outside of your box

  20. Things to consider • Paper Most general copy paper is acid free now. Basic copy paper from Staples (STP135848) is acid free and what Ogden uses for most documents. • File Folders Loose unbound records should be stored in folders for support and protection; when historical, vital, or valuable records are filed, acid-free folders should be used. Acid-free folders are not easily available from office supply stores.

  21. Things to consider • Bound Books Minimally bindings that are broken or weak should be tied with white, flat, cotton twill tape to keep covers and spine pieces from being separated. Should be tied securely but not too tightly, with knot or bow positioned across from the binding, so “bump” won’t interfere with shelving. Boxing is an alternative for damaged volumes and provides greater protection than tying.

  22. Questions/Discussion Records Management is a huge undertaking. We all have different organizations, different spaces, different needs. Customize your system to fit your organization.

  23. Questions/Discussion Tracy Hansen, MMC Ogden City Recorder 2549 Washington Blvd., #210 - Ogden, UT 84401 801-629-8156 tracyhansen@ogdencity.com

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