Record Retention

Records Retention Workshop
Waukesha County
June 2016
Presenters
Katie Scanlan, CRM, IGP
Centralized Records Supervisor
Waukesha County Records Management
Ben O’Donnell
Records Analyst
Waukesha County Records Management
Agenda
- Records Past and Present
- Waukesha County Initiatives
- Tips and Strategies
Records Past and Present
The Evolution of the Record
OMG did U C?
LOL! L8R
Historical Highlights - U.S. and Wisconsin
U.S.
1776
1934
1943
1950
1967
Declaration of Independence
National Archives of the U.S.
Records Disposal Act
Federal Records Act
Freedom of Information Act
Wisconsin
1848 Statehood
1849 Wisconsin Revised Statutes
1853 Wisconsin Historical Society
1947 Committee on Public Records
1982 Public Records Law
Present Day Challenges
 Regulatory Compliance
 Integrity and Authenticity
 Access and Retrieval
 Preservation
 Efficiency
 Destruction
 Information Security
 Information Overload
 Privacy
 Cost and Risk Reduction
Waukesha County Initiatives
Waukesha County
 Formed in 1846
 576 square miles
 38 municipalities
 390,000 inhabitants
 County government has about 1,400 employees
Records Management Division . . .
 Mail Services
 County Records Center
 Imaging and Reproduction
. . . Records Management Division
 Records Retention Schedules
 Policies, Procedures and Training
 Enterprise Content Management
ECM
Enterprise
▪ Waukesha County as an enterprise –
government corporation
Content
▪ All content: information, in any media or
format, used in the course of County
business
Management
▪ Manage the content through systems,
policies and procedures
Our Information
Universe
Physical
Network
Drive
E-Mail
Web
Applications
ECM Initiatives
 ECM Policy
 SharePoint Policy
 E-Mail Management Policy
 Records Management Policy
 Records Retention Schedules
ECM Policy
Waukesha County
ECM Governance Committee
 Currently under review
EXECUTIVE TEAM
for approval
 Objectives, roles and
responsibilities, core
principles
Director of
Administration
Corporation
Counsel
** Items of Countywide importance and issues not resolved at the core
level through consensus will be brought to the County Executive’s
Cabinet for resolution.
CORE GROUP
ECM Governance Core Group
TACTICAL TEAMS
 ECM Governance
Committee
ECM Governance Executive Team **
Program CoLead
Program CoLead
Corp Counsel
County Clerk
DPW
Emergency
Prep
HHS
MEO
PLU
Sheriff
ECM Governance Tactical Teams
Corp Counsel
E-Mail
Help Desk
IT
Infrastructure
IT Operations
Records
Management
Risk
SharePoint
Training
Workflow
SharePoint Policy
 Currently under review for approval
 Roles and responsibilities
 Project request process
 Training and support resources
Department submits a
Project Request
IT and RM evaluate
and discuss with
Department
IT and RM
recommend
decision to Tactical
Team
Tactical Team
approves the project
IT, RM and Department
design and implement the
project
Tactical Team does
not approve the
project
Tactical Team reports all
projects to Core Group
Core Group reports to
Executive Team
E-Mail Management Policy
 Published in April 2016
 Roles and responsibilities
 Retention and disposition
 Filing practices
Records Management Policy
 Last published in 2000
 Updates in progress
 Key terms and definitions
 Roles and responsibilities
 Records retention schedules
Records Retention Schedules
 Terms and definitions
 Processes to develop
and update
 Search and browse
options
Tips and Strategies
Records
Progress
Rules
Projects
Resources
People
Records
Records 101
Creation or Receipt
The Records
Life Cycle
Active Life:
Use and Maintenance
Semi-Active Life:
Nearby Storage
Destruction
Inactive Storage
Destruction
Permanent
Preservation
Records Inventory
Inventory Information
Record
Series Title
Record Series Media, Formats,
Description
Locations
Current Retention /
Disposition Practices
Current Volume,
Regulatory
Annual Accumulation Citations
Records Retention Schedules
 List of records and retention periods
 Apply to records in any media or format
 General schedule for all departments
 Departmental schedules for individual business units
Determining Retention Periods
 Administrative Value
 Legal Value
 Financial Value
 Historical Value
Records Retention Schedule Design
Record Series Record Series Record Series
ID
Title
Description
Recordkeeping
Requirements
Retention
Period
State
Code
Authority
Rules
Know the Rules,
Make the Rules
Providing Access to Public Records
 Wis. Stat. §§ 19.31-19.39
 Declaration of Policy
 Definitions
 Legal Custodians
 Access Times, Locations, Fees
 Withholding Access
Destroying Obsolete Public Records
 Wis. Stat. § 19.21
 Public ≠ Permanent
 Authorized and systematic destruction
decreases the cost of storage, backup and
maintenance
• reduces the risks of security breach
• makes it easier to find information when you need it
•
Internal Policies
 Sending and receiving records
 Storage media and locations
 Destruction procedures
 Security protocols
 Retention schedule reviews
 Compliance expectations
Resources
Adopt and Adapt Available
Resources
Resources
 WI Public Records Board
http://publicrecordsboard.wi.gov/
Resources
 Wisconsin Historical Society
http://www.wisconsinhistory.org/
Resources

NAGARA
http://nagara.org/

ARMA International
http://www.arma.org/
• Madison Chapter http://armamadison.org/
• Milwaukee Chapter http://www.armamilwaukee.org/

League of Wisconsin Municipalities
http://www.lwm-info.org/
People
Records Management
=
People Management
Designers
 Develop records management policies,
procedures, and records retention schedules
 Research, adopt, and adapt existing resources
 Secure management approval and support
 Monitor and measure progress
Approvers
 Support records management initiatives
Trainers

Instruct staff on policies and procedures
Doers

Comply with policies and procedures
Defined Goals
=
Measurable Success
Projects
Project Ideas
 Investigate and make decisions on “stashes”
 Brainstorm on paper reduction initiatives – born
digital, retain digital, destroy digital
 Cleanup initiatives: network drives, paper,
e-mail, structured data systems, etc.
 Track statistics
Clean Out the Clutter
 Not work-related
 Passed retention periods and not subject to Litigation Hold
 Duplicate or transitory records that are no longer useful
 Destruction approved by Public Records Board / Wisconsin
Historical Society
 Can be electronic, paper, multi-media
Destruction Decision Tree
NO
NO
Is it an official record?
Have I used it in the
last year? Can I
reasonably expect to
use it in the next year?
NO
Destroy
NOT Retain no longer than
SURE the official record
Is it on Litigation Hold?
Suspend all destruction
until the Hold is
released
YES
YES
Consult records
retention schedule
Retain / destroy / offer
to WHS per records
retention schedule
Clean Up the Rest
 Consistent filing practices
 Naming and dating conventions
 Destruction review dates
Parallel File Structures – Recruitment Records
E-Mail
Paper
Server / Database
2016 Recruitment
Position A Correspondence
Position B Correspondence
Position C Correspondence
2016 Recruitment
Position A
Applications Received
Interview Notes
Position B
Applications Received
Interview Notes
Position C
Applications Received
Interview Notes
2016 Recruitment
Position A
Job Description
Job Posting
Applications Received
Letters Sent
Position B
Job Description
Job Posting
Applications Received
Letters Sent
Position C
Job Description
Job Posting
Applications Received
Letters Sent
Progress
Celebrate Success
Benefits of Records Management

Increase Efficiency and Productivity

Reduced Costs and Risks

Legal Compliance

Complete, Accurate, and Reliable Information

Protection from Misuse and Unauthorized Access

Defensible Disposition

Historical Preservation
Questions?
Thank you!