ARMA RIO gRANDE May 16, 2012

1. ARMA RIO gRANDEMay 16, 2012 Developing a Records Management Program: Lessons Learned Steven Gregg, IT Records Manager Bernalillo County

2. Not Sitting at the Grown-Ups Table:The Problem with Records Management By Cheryl McKinnon, Oct 27, 2011, http://www.cmswire.com • Records management in the 21st century is all about business and technology. • Skills needed: Project management, communication and leadership skills, technical expertise and methodologies for continuous process improvement. • Cultivate good presentation and public speaking skills. • Embrace social media instead of just warning against its risks. • Learn the lingo of IT and business managers. ?? “Let go of ‘perfect’ and get really comfortable with ‘good enough’” – agrees to Info Management article on risk-based approach to RM. Compare: ARMA Core Competencies/Self-Assessment

3. Organizational Location for Records Management Guidelines: • Depends on the organization • Administrative Services • Finance Department • IT Department • Google search for “Records Management Organization Chart” images GARP – Should report to senior executive (Accountability)

4. IT vs. RIM Information Technology (“IT”) Records and Information Management Technology (noun) Information (adjective) I.e., the technology used to process information – it’s all about the technology! Management (noun/verb) of Records (noun) and Information (noun) I.e., to manage records and information – regardless of physical form or system.

5. IT Security Concerns The Enemy Within For the IT staff, the biggest security risk is…the IT staff • Screen IT staff and make sure there are checks and balances in place once they're on the job. • Use monitoring software that tracks the network activity of the staff. • Employ new technology to look at the language of IT staff's emails to determine whether their behavior or mind-set has changed.

7. Chapter 14, Records, Rules,Legal Notices, Oaths NMSA 1978 1. Preservation, Restoration and Destruction of Records, 14-1-1 through 14-1-8. 2. Inspection of Public Records, 14-2-1 through 14-2-12. 3. Public Records, 14-3-1 through 14-3-25. 8. Recording, 14-8-1 through 14-8-17. 15. Electronic Authentication of Documents, 14-15-1 through 14-15-6. 16. Uniform Electronic Transactions, 14-16-1 through 14-16-19.

9. Retention Schedules

10. Retention Schedules

11. Records Management Mission The IT Records Management Section administers the Records Management Program in support of County objectives by providing clarity and transparency in the management of information, while seeking cost savings, improved operating efficiencies, and better legal and regulatory compliance.

12. Records Management Goals • Standardize records handling practices across all departments. • Provide faster, more reliable access to business information. • Protect records from damage, loss, or unauthorized access. • Establish records retention schedules and a controlled disposal process. • Efficiently utilize records storage space. • Automate processes for organizing, accessing, and managing information.

13. Records Management Objectives • Records management policies and procedures – Develop administrative instructions and County policies or ordinances modeled on State statutes and related regulations. • Microphotography (digital imaging/microfilm) – Maintain and enhance the ApplicationXtender (AX) imaging system and related scanning equipment, assist with scanning projects and RFP’s, convert electronic images to microfilm, and develop an imaging plan for State approval.

14. RM Objectives, Continued • Records storage facility - Actively manage the contract with bigbyte.cc, conduct a physical inventory of records in storage, purge outdated records, and approve new records transfers following prescribed forms and instructions. • Retention schedules – Publish and maintain a database of retention schedules searchable by department, program and document type. Coordinate records destruction and provide 60-day notice to the State Records Administrator. • Records audits – Meet with departments to review and document records handling procedures from creation through disposition, and make recommendations on systems, storage and retention.

15. RM Objectives, Continued • Organization and training - Establish an interdepartmental organizational structure and provide training and assistance to Records Liaisons to be appointed in each department. • Enterprise Content Management (ECM) – Coordinate with other IT sections to develop and implement an integrated ECM system to manage all types of records and media, including email, shared drives, digital images, SharePoint repositories, and paper documents.

16. Guide to Purging and Destroying Documents (Abbreviated) PURPOSE: To guide and instruct Bernalillo County employees in the method used to identify and prepare documents to be destroyed. Steps are meant to aid in reducing time and effort committed to task. • Identify document type by matching name of document to the document type shown in the Retention Database at http://insider.bernco.local/NMAC. • Determine eligibility for destruction by referring to either State schedules or County Records Management database. • Box and organize eligible documents by document type. Avoid mixing document types in same box. • Label boxes according to contents. Label should include: agency name, department name, NMAC number, to and from date range, to and from document range, box count. • Prepare index using information taken from box labels – see sample index. • Contact Records Management when the index has been completed and ready for submission. Records Management will forward index and Request for Disposition to the State Records Administrator for approval as per NMSA 14-8-1. • Department destroying records must ensure they receive a Certificate of Destruction from vendor upon destruction of records. Department shall supply original certificate to Records Management. Department will keep copy of certificate on file for reference and audit purposes.

18. Disposition Tracking Log

19. Contracted Records Storage Positives • Facility management and cost • Offsite location • Staffing/services Challenges • Contract management • Inventory reports • Monthly billings • Storage conditions • Access • Forms and procedures

20. Warehouse Inventory Report

23. Records Storage RFP 2007 – What’s missing? A. TECHNICAL SPECIFICATIONS 1. A description of the Offeror's storage facility must be provided. Offerors shall describe their storage facility to include any Vaults. This description should include site security systems. 2. The Offeror must describe what controls are in place for eliminating pests including mice, termites, and other vermin and insects. 3. The Offeror must describe controls in place for mold and mildew. 4. The Offeror's storage facility must be a climate controlled environment with a temperature range of 60 to 75 degrees Fahrenheit and a humidity range of 30% to 40%. 5. Halon or equivalent fire protection is required. (Hint: “Describe”, awareness of costs)

24. Records Storage RFP 2011 – “As Improved” MINIMUM TECHNICAL SPECIFICATIONS  1. Storage Capacity a. Warehouse – Offeror(s) must be able to provide secure warehouse storage for a minimum of 6,000 cubic feet of paper records, including 1,000 boxes and 3,500 bound books. Most boxes are 2.8 cubic-foot file drawer boxes. Climate controls are preferred, but not required for warehouse storage. Capability for expansion is desired to allow for consolidation of additional records. b. Vault – Offeror(s) must be able to provide secure vault storage for a minimum of 700 boxes of microfilm (approximately 400 cubic feet) and 600 system backup tapes. Most boxes are .61 cubic-foot microfiche boxes containing about 40 rolls of microfilm each. Climate controls are required for vault storage.

25. Records Storage RFP 2011 – “As Improved” 2. Facility Conditions and Location a. Construction – Facilities must be solidly constructed to meet local standards and codes, preferably of steel and concrete, and have adequate access roads and alternate routing. Floors shall support at least 300 pounds per square foot and shall be at or above ground level to assure dry storage. Facilities must have adequate floor drainage and some type of monitoring system to detect infiltration of water. Lowest shelves must be at least four inches off the floor. Adequate lighting is required to be able to access, process, and review record materials. Exterior Building markings/signage must not fully or obviously disclose the purpose or contents of the facility. b. Processing – Contractor shall provide work areas for intake, processing, inspection, indexing, and disposition of records, including secure loading docks, garage doors, lighting, and related shelving and equipment.

26. Records Storage RFP 2011 – “As Improved” 2. Facility Conditions and Location, continued c. Security  d. Disaster Protection e. Environmental Hazards f. Climate Controls   g. Location

27. Records Storage RFP 2011 – “As Improved” Additional Technical Specifications 3. Method of Indexing 4. Forms and Procedures 5. On-demand Delivery and Retrieval • Media Storage and Backup Tape Rotation • Permanent Removal of Items from Inventory 8. New Account Services and Transition Process

28. Records Storage RFP 2011 – “As Improved” B. BUSINESS REQUIREMENTS 1. Company Qualifications 2. Personnel Qualifications 3. Transportation of Records 4. Confidentiality and Ownership of Records 5. Reporting 6. References – “Murphy’s Law never repealed” 7. Accounting

29. Facility Standards for Federal Records Storage Facilities • 36 CFR §1228 Subpart K, “Facility Standards for Records Storage Facilities” • NARA 1310 Checklist http://search.archives.gov/query.html?qt=facility+standards&submit=GO&col=1arch&col=social&qc=1arch&qc=social

30. Future Challenges Goal Consolidate operational gains realized to date by establishing a more formal Records Management Program that is fully defined and authorized in official policy and that is more visible and accessible. Objectives • Establish an Executive Council. • Appoint Records Liaisons. • Develop administrative instructions and policies or ordinances. • Prepare a Retention Plan and Imaging Plan for state approval. • Publish a Records Manual; conduct ongoing training. • Create and fill two new positions to staff the Records Management Program, and upgrade the existing two staff positions to provide a career path. • Conduct records audits and inventories of all departments.