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
NN UU MM BB EE RR
NN UU MM BB EE RR
NN UU MM BB EE RR
61
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
PPrreessiiddeenntt ooff TThhee UUnniivveerrssiittyy aanndd CCoommmmiissssiioonneerr ooff EEdduuccaattiioonn
RICHARD P. MILLS
CChhiieeff OOppeerraattiinngg OOffffiicceerr
RICHARD H. CATE
DDeeppuuttyy CCoommmmiissssiioonneerr ffoorr CCuullttuurraall EEdduuccaattiioonn
CAROLE F. HUXLEY
AAccttiinngg AAssssiissttaanntt CCoommmmiissssiioonneerr aanndd DDiirreeccttoorr ooff OOppeerraattiioonnss
CHRISTINE WARD
CChhiieeff,, GGoovveerrnnmmeenntt RReeccoorrddss SSeerrvviicceess
R
OBERT 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.
RReeqquueessttss ffoorr aaddddiittiioonnaall ccooppiieess ooff tthhiiss ppuubblliiccaattiioonn mmaayy bbee mmaaddee bbyy ccoonnttaaccttiinngg tthhee SSttaattee
AArrcchhiivveess TTrraaiinniinngg aanndd GGrraannttss SSuuppppoorrtt SSeerrvviicceess,, RRoooomm 99AA6688,, CCuullttuurraall EEdduuccaattiioonn CCeenntteerr,, AAllbbaannyy,,
NNYY 1122223300..
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
1
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 management
1
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 . . .
•
.. .. .. ccrreeaatteess tthhee rreeccoorrddss iitt nneeeeddss,, aanndd nnoonnee tthhaatt iitt ddooeessnn’’tt..
Records are efficiently created in the normal course of
business for all functions sufficient to satisfy legal, fiscal,
administrative, and other recordkeeping requirements.
•
.. .. .. rreettaaiinnss tthhee rreeccoorrddss nneeeeddeedd aass eesssseennttiiaall eevviiddeennccee aanndd ggeettss
rriidd ooff oobbssoolleettee rreeccoorrddss..
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.
•
.. .. ..ssttoorreess iittss rreeccoorrddss——eessppeecciiaallllyy aarrcchhiivvaall rreeccoorrddss——ssaaffeellyy aanndd
sseeccuurreellyy..
Records are stored and maintained in a safe, secure,
cost-effective fashion to support retention, access, and archival
preservation where applicable.
•
.. .. .. rreettrriieevveess iinnffoorrmmaattiioonn qquuiicckkllyy tthhrroouugghh eeffffiicciieenntt aacccceessss aanndd
rreettrriieevvaall ssyysstteemmss..
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.
•
.. .. .. uusseess tthhee rriigghhtt iinnffoorrmmaattiioonn tteecchhnnoollooggyy ffoorr tthhee rriigghhtt rreeaassoonnss..
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.
•
.. .. .. pprroommootteess aanndd ssuuppppoorrttss tthhee uussee ooff aarrcchhiivvaall rreeccoorrddss aass aa
ccoommmmuunniittyy rreessoouurrccee..
Appropriate secondary use of records by
public and other entities is supported and promoted.
•
.. .. .. rreeccooggnniizzeess tthhrroouugghh ppoolliiccyy aanndd pprroocceedduurree tthhaatt rreeccoorrddss
mmaannaaggeemmeenntt iiss eevveerryyoonnee’’ss jjoobb..
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
tthhaatt ccrreeaatteess aallll tthhee rreeccoorrddss iitt nneeeeddss,, aanndd nnoonnee tthhaatt iitt
ddooeess nnoott nneeeedd..
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
The Seven Attributes of an Effective Records Management Program
3
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, secure storage
systems that provide quick and rapid retrieval will help ensure the
ready availability of records in case of litigation and audits, as well
as for future reference use. Some indications that a good storage
program is in place include:
• Inactive records are stored off-site in an in-house or contracted
records center.
• Proper shelving is used to store records.
• Vaults are used for the most valuable records.
• Electronic data backup procedures are in place and are routinely
followed.
• Disaster preparedness plans are in place.
• Micrographics standards are followed.
• Microfilm masters and computer backups are stored securely
offsite.
• Fire prevention systems are in place in storage areas.
• Adequate environmental controls exist in storage areas.
• Security rules and procedures are in place and followed.
• Recording format standards are complied with.
Corning Community College provides a fine illustration of a local
government that has an effective records storage program. The
college has created a state-of-the-art inactive records center in a
dedicated, secure structure on its hilltop campus overlooking the
Chemung River Valley in Steuben County. Under the supervision of
the college RMO, high-density mobile shelving, climate controls, a
fire suppression system, and automated recordkeeping software
have been installed. The physical facility is organized to support the
protection of archival and permanent records holdings, as well as to
ensure the prompt recovery of vital records in the event of a
disaster. Part-time staff keep this facility running smoothly so that
data entry and reports are kept up to date, and reference requests
are satisfied and refiled in a timely fashion.
Records Access and Retrieval
Organizations create, retain, and preserve records so that they can
be used. If a user cannot locate a document, it might as well not
exist. As such, an effective records management program should
have in place systems—manual or automated—that can locate and
retrieve records in a reliable and timely fashion to meet the needs of
users. Some signs that a program possesses this attribute include:
• Satisfactory filing and locator systems with documented policies
and procedures.
• Finding aids, such as indexes, are prepared and used.
4
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
5
• Subject matter lists to meet Freedom of Information Law (FOIL)
requirements are prepared and used.
• Policies and procedures regarding access restrictions are
developed and in use.
• Filing equipment is used appropriately.
• Local area network (LAN) policies and procedures are developed
and in use.
The Town of Salina in Onondaga County exemplifies this attribute
at several different levels. Inactive town records are tracked using
an automated records management system that allows records to
be easily located by series title, date, retention schedule number, box
and shelf number, year of disposition, and department. Descriptions
of the town’s historical records series appear in a local publication,
which has been distributed to local libraries, colleges, and school
districts. Active office records are organized in a modern file system
according to a town-wide master filing scheme that provides
efficient and effective access to records still held in offices. The
town also employs an automated search engine to locate portions of
its board minutes by topic, eliminating the need to search page by
page. An official town records policy and procedure manual
documents these systems clearly and comprehensively to ensure
consistent record practices.
Appropriate Use of Technology
The opportunities afforded by technology to support records
management are growing rapidly. We now have at our disposal a
remarkable range of technologies for creating, using, and managing
records: traditional paper filing systems, micrographics, databases,
optical imaging, etc. With such a variety of tools available, it
becomes critical that we choose the right ones for the right
occasions and not be swayed in selection decisions either by fear of
new technologies or by the desire to have the newest and brightest
technology “toys.” Ways of telling that a records management
program has struck this balance include the following:
• Business requirements are identified through needs assessments.
• The capacity to support technology is identified through
feasibility studies.
• Business process analysis is part of technology planning and
implementation.
• Recordkeeping requirements are taken into account in
technology implementation.
• Industry and government standards for acquiring and
implementing technology are complied with.
• Adequate technical support is available internally or via contract.
• Formal electronic filing structures and policies for electronic
recordkeeping are in place.
• Cooperation exists between records management and
information technology services departments.
• Adequate training is offered for staff in the use of technology.
Westchester County provides an excellent example of a local
government that has integrated its records management and
information technology programs. The county records and archives
program has effectively used modern technology to provide access
to and protection for many county records by reformatting them via
microfilming or electronic document scanning. Information about
the archives and its collections is available via the Internet.
Departments consult with the records program when considering
new records/information systems. Perhaps most importantly, the
placement of records management within the information services
department has helped ensure effective coordination between
records management and information technology throughout
Westchester County government. An official town records policy
and procedure manual documents these systems clearly and
comprehensively to ensure consistent record practices.
Archival Records
An important sign of an effective records management program is
the preservation of archival records and the promotion of their
appropriate use by the public. Most records lose all value when the
purpose for which they were created has been realized. However, a
small percentage hold value beyond their original purpose—for
historical or genealogical research, exhibits, publications, teaching
aids, long-term legal documentation, or other activities. These
archival records can be useful to the public, other governments or
agencies, teachers, writers, and other people or groups that require
documentation in their work or avocations. Some indications that
this component of records management is in place include:
• Public outreach programs exist.
• Records reference use areas are available for the public.
• Policies and procedures are in place for use of records by the
public.
6
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
7
• Information sharing with other governments or organizations is
done to develop and distribute finding aids so access to archival
records is improved.
• Records are used for exhibits and education.
• The Internet is made available for public access to and actual use
of records.
• Marketing strategies are in place to encourage public access to
and use of records.
Since 1982, the Town Clerk’s Office of the Town of Hempstead has
provided support for the management of the town’s historical
records. This work has included the preservation and restoration of
historical volumes, documents, and maps. It has also included the
development of finding aids, allowing for easy access to more than
200 cubic feet of archival material held by the town. To further
improve access, the guide to the town’s archival collections has
been posted on the town’s website, and the archives are open to the
public Monday through Friday.
Records Management Program Integration
Records management officers (RMOs) and records managers are
key players in the development and operation of an effective
records management program, but they should not be the only
members of the records team. Everyone who works in government
(or in any other organization that keeps records) has a role in records
management, because everyone has some involvement with
records in some aspect of his or her work. That involvement may be
drafting or reading a memo or letter, completion of a form,
maintenance of a log, processing an application, or any number of
other modern office activities. Well-managed records require
cooperation and effort from everyone involved in the life cycle of
those records. Consequently, perhaps the most important attribute
of an effective records management program is that ongoing records
management goals and priorities are integrated throughout the
organization and its operations as part of the normal course of
business. Some signs of this integration include:
• Records management policies and procedures are in place and
are updated regularly.
• Records management is integrated into all policies where
applicable.
• Records policies and procedures are routinely and consistently
communicated to staff.
• A disaster preparedness plan is in place and is reviewed
regularly.
• A records management advisory council is appointed and active.
• Local records management legislation is in effect.
• Records management activities receive regular and adequate
funding beyond grants.
• A records management plan is in place and is followed.
• Records management staff are hired and retained.
• Staff frequently attend New York State Archives workshops,
professional conferences, and other educational events.
• A records management officer is appointed at the appropriate
level in the organization.
The Town of Manlius in Onondaga County provides a good example
of a government that has integrated its records management
program into all aspects and levels of the organization. Through a
combination of involving staff outside the RMO’s office in
successful grant projects and effective persuasion, the town has
have been able to pass and systematically implement records
management policies and procedures via resolutions. Cooperation
has grown as department heads recognize the benefits of improved
records services and participate in an active records advisory
council. Staff members actively participate in State Archives and
other records training events and have sponsored several
workshops at the town hall. In essence, success has bred success,
and the entire Town of Manlius has benefited from and supports its
developing records program.
The New York State Office of the Attorney General provides
another good example of a government records management
program that possesses this attribute. The agency has developed
comprehensive records management policies and procedures that
cover both paper and electronic records, temporary and archival.
For example, the office has adopted and disseminated to program
managers a policy that identifies records with possible archival
value; these records would then be appraised by the State Archives
for their value. The agency posts many of its records policies and
procedures on its internal network for easy access by staff. Other
policies and procedures are sent yearly via memo to all program
units. The RMO works closely with staff in the various program
areas, each of which has a particular individual assigned to serve as
records management liaison.
8
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
9
Records Management Advisory Services for Local Governments and State Agencies
The State Archives has developed a variety of records management
services to help local governments and state agencies respond to
the challenge of managing records. Knowledgeable, experienced
records management professionals are based in Albany and in nine
regional offices around the state. A Regional Advisory Officer, who
acts as a no-cost consultant, trainer, and technical advisor to local
governments and state agencies, manages each region. Albany-
based staff provide additional expertise on micrographics, electronic
records, and archives management. In addition, the Archives makes
grants available to assist local governments in a variety of projects.
The State Archives offers advisory services on any issue in records
management, including
Archival Records
Business Process Analysis
Disaster Planning and Recovery
Files Management
Imaging
Inactive Records
Managing Electronic Records
Micrographics
Needs Assessments for New Recordkeeping Systems
Records Inventory
Records Management Software
Security and Access
For More Information
If you work for a New York State agency or local government, and
you are interested in receiving free records management advice,
obtaining free technical publications, attending free records
management workshops, or determining a schedule for state agency
records, contact the State Archives’ central office in Albany or the
regional office that serves your region of the state.
GGoovveerrnnmmeenntt RReeccoorrddss SSeerrvviicceess
New York State Archives
9A47 Cultural Education Center
Albany, NY 12230
Phone: (518) 474-6926
Fax: (518) 486-4923
www.archives.nysed.gov
SSttaattee AArrcchhiivveess RReeggiioonnaall OOffffiicceess**
RReeggiioonn 11
55 Hanson Place, Suite 724
Brooklyn, New York 11217
Phone (718) 923-4300 or 923-4301
Fax (718) 923-4302
RReeggiioonn 33
Records Center
Building 21, Suite 102
1220 Washington Avenue
Albany, NY 12226-2152
Phone (518) 485-6233 or 485-6235
Fax (518) 485-6236
RReeggiioonn 44
Northway Plaza, Suite 1308-A
Route 9, Quaker Road
Queensbury, NY 12804
Phone (518) 798-5717 or 798-5759
Fax (518) 798-6119
RReeggiioonn 55
Utica State Office Building
207 Genesee Street, Room 404
Utica, NY 13501
Phone (315) 793-2780 or 793-2781
Fax (315) 793-2782
RReeggiioonn 66
Binghamton State Office Building
44 Hawley Street, Sixteenth Floor
Binghamton, NY 13901-4406
Phone (607) 721-8428 or 721-8429
Fax (607) 721-8431
RReeggiioonn 77
The Brookside School
220 Idlewood Road, Room 102
Rochester, NY 14618
Phone (585) 241-2827 or 241-2828
Fax (585) 241-2826
10
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
11
RReeggiioonn 88
Mahoney State Office Building
65 Court Street, Room 313
Buffalo, NY 14202
Phone (716) 847-7903 or 847-7904
Fax (716) 847-7905
RReeggiioonn 99
301 Manchester Road
Poughkeepsie, NY 12603
Phone (914) 485-2633 or 485-2634
Fax (914) 485-2635
RReeggiioonn 1100
Suffolk State Office Building
Room 2B-46B
Veterans Memorial Highway
Hauppauge, NY 11788-5501
Phone (631) 952-6864 or 952-6866
Fax (631) 952-6867
*These addresses may change. For up-to-date information on the
Regional Advisory Officer who serves your part of the state, visit
the State Archives website at
wwwwww..aarrcchhiivveess..nnyysseedd..ggoovv
12
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
13
Glossary of Basic Records Management Terms
aacccceessss..
permission and opportunity to use a record
aaccttiivvee rreeccoorrdd..
a record used frequently (for paper records, at least once per month per file drawer
aaddmmiinniissttrraattiivvee vvaalluuee..
the usefulness of a record to an organization in the conduct of its daily
business
aarrcchhiivvaall rreeccoorrdd..
a record that should be kept permanently because of its administrative, legal, fiscal,
or research value; also called “historical record”
aarrcchhiivvaall vvaalluuee..
the long-term usefulness of a record for historical or other research that determines
whether a record should be kept permanently
aarrcchhiivveess..
the facility that preserves records with historical value; archival records in general
aarrrraannggeemmeenntt..
the act or result of placing records in a particular order or sequence
aauuttoommaatteedd aacccceessss..
access provided to records through electronic databases or other electronic
means
bbaacckk uupp..
to copy an electronic record to ensure its information will not be lost
bbaacckkuupp..
a copy of an electronic record maintained to protect the information from loss
BBPPAA..
See “business process analysis”
bbuussiinneessss pprroocceessss aannaallyyssiiss ((BBPPAA))..
an intense, detailed, and logical analysis of each step in a
business process to determine how best to improve the process
cclloosseedd ffiillee..
a file into which no more documents may be added
ccoonnffiiddeennttiiaall rreeccoorrdd..
a record that is not open to the public, usually to protect the privacy rights of
individuals; sometimes called a restricted record
ccoonnsseerrvvaattiioonn..
the repair and stabilization of damaged documents
ccoosstt--bbeenneeffiitt aannaallyyssiiss..
any method for examining the cost advantages that can be realized by
modifying the way records are managed
ddiissaasstteerr rreeccoovveerryy ppllaann..
a written, approved course of action to take when disaster strikes that
ensures an organization’s ability to respond to an interruption in services by restoring critical
business functions and records
ddiissppoossiittiioonn..
the authorized action to dispose of records by destruction or transfer
ddooccuummeenntt..
a single record item; a container of information in any medium, generated in the normal
course of business, that facilitates the management of that information (such as a letter, an e-mail
message, or a completed form)
dduupplliiccaattee..
an extra copy of a record
eelleeccttrroonniicc ddooccuummeenntt iimmaaggiinngg..
the production of digital images of documents, usually in order to
improve access to the records
eelleeccttrroonniicc rreeccoorrdd..
“information evidencing any action, transaction, occurrence, event or other
activity produced by or stored in an information technology system and capable of being
accurately produced in a tangible form” (from the New York State Electronic Signatures and
Records Act)
eelleeccttrroonniicc rreeccoorrddss mmaannaaggeemmeenntt..
the process of applying records management principles to
electronic records
ffiillee..
(noun) a collection of related records that are treated as a unit, sometimes used synonymously
with “records series” and sometimes referring to the contents of one case or file folder
(verb) to arrange documents into a logical sequence
ffiilleess mmaannaaggeemmeenntt..
the process of designing and managing an efficient organization for active office
records so they are easy to find, arrange and use
ffiilliinngg ssyysstteemm..
a pre-defined plan using numbers, letters, or keywords to identify and organize
records in a systematic scheme
ffiinnddiinngg aaiidd..
a tool (such as a series description, catalog, or index) that is designed to help users find
information within archival records
ffiissccaall vvaalluuee..
the usefulness of a record in documenting monetary decisions and activities
FFOOIILL..
the Freedom of Information Law
ffoorrmmss mmaannaaggeemmeenntt..
a system that establishes standards and procedures for the creation, design,
and revision of all forms within an organization
FFrreeeeddoomm ooff IInnffoorrmmaattiioonn LLaaww ((FFOOIILL))..
the New York State law that outlines the rights of the public
to access public records
ggeeooggrraapphhiicc iinnffoorrmmaattiioonn ssyysstteemm ((GGIISS))..
a computerized database system used to gather, manipulate,
display, and analyze spatial data (including maps, three-dimensional models, and tables)
GGIISS..
See “geographic information system”
hhiissttoorriiccaall rreeccoorrdd..
See “archival record”
hhiissttoorriiccaall vvaalluuee..
The value of a document to support historical research; similar to “archival value”
iimmaaggiinngg..
the process of electronically capturing the visual appearance of a paper document;
informally called “scanning”
iinnaaccttiivvee rreeccoorrdd..
a record accessed infrequently (for paper records, less than once per month per file
drawer), but one that is not yet ready for disposition
iinnddeexx..
an information guide that identifies the location of specific pieces of information within a
document or a set of documents (for example, an index to a set of minutes could list topics and
when they were discussed or an index to personnel files could list the names of people included)
14
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
15
iinnddeexxiinngg..
the process of designing a guide to identify and locate specific pieces of information
within the records of an organization
IInntteerrnneett..
the master network of interconnected computer networks that allows the rapid transfer of
information in electronic form between computers over large distances
LLAANN..
See “local area network”
lleeggaall vvaalluuee..
The usefulness of a record to support an organization’s business agreements and
ownership rights, and to document the rights of citizens.
lliiffee ccyyccllee ooff aa rreeccoorrdd..
the concept that the value of a record changes from its creation through its
active and inactive stages to its final disposition
llooccaall aarreeaa nneettwwoorrkk ((LLAANN))..
a network within a limited geographic area (usually under one mile) that
allows personal computers to communicate directly with each other and share data
llooccaattoorr ssyysstteemm..
an access guide for finding inactive records (examples include databases, shelf
addresses, box numbers, and card files)
mmiiccrrooffiillmm..
a photographic reproduction of documents in miniature on fine-grain, high-resolution film
mmiiccrrooggrraapphhiiccss..
the science and use of microfilm in all its forms
mmiiggrraattiioonn..
the periodic transfer of data from one electronic system to another to retain the integrity
of the data and to allow users to continue to use the data in the face of changing technology;
sometimes called “data migration”
nneeeeddss aasssseessssmmeenntt..
a report that systematically examines a records management problem,
evaluates solutions, and recommends a solution
nnoonnrreeccoorrdd..
an information format (such as an outside publication, blank form, or instruction
manual) that is not an official record and that therefore does not require retention
oobbssoolleettee rreeccoorrdd..
a record that has met its retention period, is no longer useful to the organization,
and may be destroyed
ooffffiiccee rreetteennttiioonn sscchheedduullee..
an abbreviated records retention schedule that includes only those
records in a particular office and, in addition, indicates when those records should be transferred to
inactive storage
ooffffiicciiaall ccooppyy..
an original record or a copy of an original record that is used to meet the minimum
retention period for that record
ooffffssiittee ssttoorraaggee..
a secure location, remote from the work location, where inactive or vital records are
stored
oonnssiittee ssttoorraaggee..
storage for inactive or vital records on the premises of the organization
oorriiggiinnaall..
the final version of a document, as opposed to copies or duplicates made of it
ppeerrmmaanneenntt rreeccoorrdd..
a record that must be retained permanently because of legal requirements or its
continuing research value; also called “archival record” or “historical record”
ppoolliiccyy..
a broad document that specifies a general rule for records and information management in
an organization
pprreesseerrvvaattiioonn..
the combination of procedures and environmental standards designed to maintain
records in a usable form
pprroocceedduurree..
a detailed document that specifies step-by-step rules for records and information
management in an organization
RRAAOO..
See “records advisory officer (RAO)”
rreeccoorrdd..
11.. iinnffoorrmmaall ddeeffiinniittiioonn::
recorded information, in any format, that is created by an organization or
received in the formal operation of its responsibilities
22.. lleeggaall ddeeffiinniittiioonn ffoorr llooccaall ggoovveerrnnmmeennttss iinn NNeeww YYoorrkk SSttaattee::
any book, paper, map, photograph,
microphotograph or any other information storage device regardless of physical form or
characteristic which is the property of the state or any state agency, department, division, board,
bureau, commission, county, city, town, village, district or any subdivision thereof by whatever
name designated in or on which any entry has been made or is required to be made by law, or
which any officer or employee of any said bodies has received or is required to receive for filing
33.. lleeggaall ddeeffiinniittiioonn ffoorr ssttaattee aaggeenncciieess iinn NNeeww YYoorrkk SSttaattee ((pplluurraall))::
all books, papers, maps,
photographs, or other documentary materials, regardless of physical form or characteristics, made
or received by any agency of the state or by the legislature or the judiciary in pursuance of law or in
connection with the transaction of public business and preserved or appropriate for preservation by
that agency or its legitimate successor as evidence of the organization, functions, policies,
decisions, procedures, operations, or other activities, or because of the information contained
therein
rreeccoorrdd ccooppyy..
the official copy of a record
rreeccoorrddss aacccceessss ooffffiicceerr..
the individual in a government office in New York State responsible for
verifying and authorizing public use of government records
rreeccoorrddss cceenntteerr..
a centralized area for the maintenance of inactive records
rreeccoorrddss cceenntteerr ccaarrttoonn..
a box, usually made of corrugated cardboard, that is designed to hold
approximately one cubic foot of either legal- or letter-size records, and that measures 10” x 12” x 15”
rreeccoorrddss iinnvveennttoorryy..
a process to locate, identify, and describe the records maintained by an
organization
rreeccoorrddss mmaannaaggeemmeenntt..
the systematic control of all records in an organization throughout their life
cycle
rreeccoorrddss mmaannaaggeemmeenntt ooffffiicceerr ((RRMMOO))..
the person responsible for overseeing a records management
program for a state agency or local government in New York State
rreeccoorrddss rreetteennttiioonn sscchheedduullee..
a list of records series titles that indicates the length of time to maintain
each series; more formally called a “records retention and disposition schedule”
16
The Seven Attributes of an Effective Records Management Program
The Seven Attributes of an Effective Records Management Program
17
rreeccoorrddss sseerriieess..
a group of related records (i.e., minutes of a board, payrolls, and purchase orders)
that are normally used and filed as a unit and that normally have the same retention requirements
rreeggiioonnaall aaddvviissoorryy ooffffiicceerr ((RRAAOO))..
a representative of the New York State Archives who provides
records management advice to local governments and state agencies in one of nine regions in the
state
rreesseeaarrcchh vvaalluuee..
the usefulness of a record to support historical and other research
rreessttrriicctteedd rreeccoorrdd..
See “confidential record”
rreetteennttiioonn..
the process of keeping records for the amount of time required given their administrative,
fiscal, legal, or historical value and use; also called “records retention”
rreetteennttiioonn ppeerriioodd..
the amount of time a record must be kept to meet administrative, fiscal, legal, or
historical requirements
rreettrriieevvaall..
the process of locating a record and taking it to the place where it will be used
rriisskk aasssseessssmmeenntt
. an evaluation of the probability of an adverse event occurring, and an estimation
of the possible extent of the damage, in order to help minimize the organization’s exposure
RRMMOO..
See “records management officer (RMO)”
ssccaannnniinngg..
See “imaging”
sseeccoonnddaarryy uussee..
any use of a record other than the use for which it was originally created, including
any use for historical research
sseeccuurriittyy..
protecting records by controlling which users can access which documents and for what
purpose
sseerriieess..
See “records series”
SSttaattee AArrcchhiivveess..
the New York State Archives, the state agency that provides records
management and archives services to local governments and state agencies
tteelleeccoommmmuunniiccaattiioonnss..
generally, the communication of information through electronically
transmitted signals; specifically, the communication of information over the Internet or other
electronic networks
tteemmppoorraarryy rreeccoorrdd..
a record with short-term or limited value and approved for destruction either
immediately or after a short retention period
ttiicckklleerr ffiillee..
a collection of pending items arranged by the date of action and kept to remind someone
to resolve the contents of the items on time
vveerrssiioonn ccoonnttrrooll..
a method for monitoring the changes a document has undergone; the systematic
management of different drafts or revisions of a document to ensure that the record copy of a
document can always be distinguished from an earlier draft
vviittaall rreeccoorrdd..
rreeccoorrddss mmaannaaggeemmeenntt ddeeffiinniittiioonn::
a record essential to protect the financial well-being of an
organization, its legal rights, and the rights of its citizens and employees; a record without which an
organization could not carry out its business
bbiirrtthh,, ddeeaatthh aanndd mmaarrrriiaaggee ddeeffiinniittiioonn::
a birth, death, or marriage record maintained by the official
registrar of a New York State local government or by the New York State Department of Health
wwoorrkkffllooww..
the path that a record takes and the processes that occur as a record travels through an
organization
wwoorrkkiinngg ccooppyy..
a preliminary version of a document, not the final record or master copy
18
The Seven Attributes of an Effective Records Management Program
91-79910
91-239 PM
