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Improve the Library's records management practices



Please improve the Regional and Massachusetts Library of
 Last Recourse Statewide Reference and Referral Center
 Boston Public Library's records management practices so
 that they comply with standards such as the Massachusetts
 Records Management guidelines and manuals
http://www.state.ma.us/sec/arc/arcrmu/rmuidx.htm





Here's a proposed notice that Chief Financial Officer
 Kathleen E. Kirleis could consider having Level IV
 Special Library Assistant Cheryl A. Delaney send around:


A proposed GAN
____________


From: "Cheryl Delaney" <cdelaney@BPL.ORG>
To: <staff@BPL.ORG>
Sent: Tuesday,November 06, 2001 2:24 PM
Subject: GAN 1000

A proposed GENERAL ADMINISTRATIVE NOTICE, 2001 - No. 134
BOSTON PUBLIC LIBRARY

Records Management

To Members of the Staff:

In order to improve the Library's records management practices so that
 they comply with standard records management procedures, instructions
 regarding records management will be distributed to Departmental
 Reference Desks Curators and Branch Librarians this month.

Kathleen Kirleis
 Chief Financial Officer
 November 2001

A proposed GAN
____________





Subject: Archives: Records Management Unit
X-URL: http://www.state.ma.us/sec/arc/arcrmu/rmuidx.htm

Massachusetts Historical Commission, William Francis Galvin, Secretary
                          of the Commonwealth
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                Disposal Schedules for State Government
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                        Records Management Unit

Welcome to the RMU's web page. We are here to assist local, state, and
  county government entities create, manage, secure and preserve the
  records they need to conduct business activities and to protect the
          rights and obligations of citizens and government.

   The RMU is a division of the Massachusetts State Archives, a unit
 within the Office of the Secretary of State, William Francis Galvin.
 The Records Management Unit (RMU) operates under the mandates of the
 Supervisor of Public Records and the Archivist of the Commonwealth to
    assist government records custodians in the management of their
                               records.

                          The Information Age

           It's easy to get overwhelmed--and out of control.

                           Have you ever...
  * Tried to jam just one more file folder into an already overcrowded
    file cabinet?
  * Requested a copy of a record which could not be located?
  * Wondered if there were anything of value in the boxes stacked in
    the closet (like the file that was never found)--boxes which
    eventually disappeared?
  * Searched frantically through diskette after diskette for a letter
    which your counsel tells you could be crucial to pending
    legislation?

If you answer "yes" to any of these questions, you need help . You need
                     a records management program!
 Records management is more than unearthing yourself from a cavern of
paper, diskettes and backup tapes. Records management is about managing
 information and making it accessible. Information is the lifeblood of
  the organization and must be managed--just like any other resource.

Never before has so much information been available to us--information
that helps us to make decisions, develop ideas and policies, serve our
constituencies, and fulfill our duties. Information is the lifeblood of
                           the organization.

                            Our records...
  * Document official policies and decisions
  * Provide the public with information about government regulations
    and services
  * Protect the rights and interests of the people
  * Ensures that the government is accountable and functions according
    to the rules and laws of the people
  * Provide valuable evidence that protects the government and
    individuals in litigation
  * Protects employee rights and benefits
  * Documents the history and legacy of the Commonwealth

 Our public records show us where we have been and where we are going.

Like any asset, carefully managed records pay dividends. Poorly managed
     records have financial, legal and operational consequences. A
   well-managed records management program helps government operate
   efficiently, is cost-effective, and saves time, space and labor.
  Efficient administration depends on efficient access to information
                              resources.

 Although computers promised a "paperless office," the volume of paper
   created by the average office is actually increasing--as are the
  formats in which we are likely to maintain information. Volume can
    become a curse, as well as a blessing-- if we let it get out of
                               control.


                   Controlling the Records Lifecycle

   All information has a lifecycle. Information is created, stored,
     retrieved, and eventually discarded or retained permanently.

Records management takes control of that lifecycle. Records management
 ensures that only necessary information is created, properly stored,
              and destroyed when it is no longer needed.

 Although computers promised a "paperless office," the volume of paper
   created by the average office is actually increasing--as are the
formats in which we are likely to maintain information. Each year, over
  100 billion documents are created in U.S. offices. An average of 19
  copies are made of each business document (1). Due to the number of
 local variables, it is not possible to put a blanket dollar amount on
 the cost of creating information. However, it clearly makes sense to
            control the creation and volume of information.

 Why maintain records if information cannot be found quickly when it's
needed? It has been estimated that it costs a medium-size organization
(10 high-level information users) a minimum of $75,000 to $125,000 per
 year to locate misplaced, misfiled, or lost records (2). Control the
  retrieval of records and analyze your file systems. Are the systems
               logical, consistent, and well-maintained?

Record centers maximize the use of space. Shelving allows five times as
 much storage per square foot as equivalent office space. High-density
shelving allows ten to twelve times as much storage per square foot as
    equivalent office space. Cost savings average 750-1500% (3). By
  controlling the information lifecycle, a records management program
 decreases operational costs, while increasing operational efficiency.

Recreating records is costly and inefficient. The July 1997 crash of a
U.S. Coast Guard database wiped out two weeks of personnel data used to
  determine promotions, transfers, assignments, and disability claim
  reviews. It took 115 Coast Guard employees more than 1,800 hours to
  recover and recreate the data. The cost was over $40,000 (4). It is
  usually impossible to recreate information. Control the storage of
records and protect information from unauthorized access, fire, flood,
 and other environmental hazards. Use care in selecting and preparing
               file equipment and records storage areas.

  Even a well-planned file system is inefficient if it's clogged with
  inactive records. Obsolete records impede access to needed current
records, waste valuable office space, and can become a serious hazard.
Control the disposition of records and promptly dispose of records when
                        their values diminish.

For more information, please see the Help is Available section and the
 Records Management Manual. For more information on cost comparisons,
 see William Saffady's Cost Analysis Concepts and Methods for Records
   Management Projects (Prairie Village, Kansas: ARMA International,
                                1998).

                                Sources

 1. Cuadra, Carlos A. The Corporate Memory and the Bottom Line. Los
    Angeles: Cuadra Associates, 1999, p.1.
 2. Ibid.
 3. Ira A. Penn, Gail Pennix, Jim Coulson. Records Management Handbook.
    Brookfield, Vermont: Gower Publishing, 1994, p. 229.
 4. Washington Times, June 21, 1998.


                          Public Record Laws

   As a public official, the body of information you manage is quite
  large. "Public records" are defined by MGL ch. 4, s. 7(26) as:  all
books, papers, maps, photographs, recorded tapes, financial statements,
   statistical tabulations, or other documentary materials or data,
regardless of physical form or characteristics, made or received by any
officer or employee of any agency, executive office, department, board,
 commission, bureau, division or authority of the commonwealth, or of
 any political subdivision thereof, or of any authority established by
            the general court to serve a public purpose...

This means that virtually all information you create or receive in the
                course of business is a public record.
  The laws which govern public records offer guidance in managing the
                       lifecycle of information:
  * Creation. MGL ch. 66, ss. 3-4 describes the paper, microform and
    ink required for the creation of public records.

  * Storage. MGL ch. 66, ss. 8-9, 11 outlines the safe-keeping and
    preservation needs of public records.

  * Retrieval. MGL ch. 66, s. 12 requires records to be arranged in an
    accessible manner.

  * Disposition. MGL ch. 66, s. 8 requires the Supervisor of Public
    Records' approval for the disposition of municipal and county
    records. For records created by the executive branch of state
    government, disposition is accomplished through the Records
    Conservation Board, an entity established by MGL ch. 30, s. 42.
    MGL ch. 9, s. 2 describes the position of the Archivist of the
    Commonwealth and specifies that the: chief of the archives division
    who shall be a qualified archivist and shall be known as the
    archivist of the commonwealth. The secretary shall operate and
    supervise the archives museum and he shall utilize those records of
    historic value which are in the custody of the archivist for
    exhibition and education purposes. The archivist of the
    commonwealth shall, under the direction of the secretary, have
    charge of the non-current records of the commonwealth, particularly
    with regard to their custody, preservation, management and, when
    authorized, their destruction, and shall supervise the operation of
    the archives museum.


                      Frequently Asked Questions

         What Do Records Management and Archival Programs Do?

   Records management programs are not one-time cleanups of problem
situations, but are part of an ongoing, coherent program to manage the
information needs of an organization. Records management programs clear
  working spaces of inactive records and allow the orderly and timely
dispostion of obsolete records. This maximizes existing space and makes
   it easier to provide a secure, climate-controlled environment for
permanent records. Most importantly, records management provides ready
access to records with administrative, legal and fiscal uses, the first
                   part of a record's "life-cycle."

Archives preserve and make available non-current records, records that
have permanent or historical value. Archives deal with the second part
of the record's "life cycle," and with the evidential and informational
                    value of the historical record.

         What is a Public Record? What about Computer Records?

  Public records include all information made or received by a public
  entity, regardless of the media on which it exists. Records can be
written or printed books, papers, photographs, microphotographs, maps,
   plans, computer cards, tapes, electronic files on a hard drive or
  diskettes. Records may be made by handwriting, typewriting, print,
  photographic process or micrographic process. Computer records are
 public records, just as much as are paper records. It is information
  that constitutes a record, not the form in which it is maintained.

                          Why Manage Records?

Records are valuable information assets. Records document policies and
 decisions; hold information needed to conduct day to day and official
business; and document the rights and obligations of citizens. Records
document history: they show where we have been and where we are going.
 They hold irreplaceable administrative, fiscal, legal, informational
                         and historical value.

        How Do I Know if a Record is Exempt from Public Access?

   The Public Records Division determines whether or not a record is
   exempt from public access. For more information, please contact:

                        William Francis Galvin
                     Secretary of the Commonwealth
                        Public Records Division
                    One Ashburton Place, Room 1719
                      Boston, Massachusetts 02108
                       (617) 727-2832 Telephone
                          (617) 727-5914 Fax
                  www.state.ma.us/sec/pre/preidx.htm

      When Was the Supervisor of Public Records Position Created?

 The 1884 General Court of Massachusetts called for a report on public
  records. In 1892 the position of Commissioner of Public Records was
  created, creating the basis of Massachusetts General Law c. 66, the
                          Public Records Law.

                            Can We Scan It?

  The Supervisor of Public Records has determined that records with a
retention period of over 10 years may not be recorded solely on optical
media. There are still many unresolved issues with using optical media:
  questionable legal admissability; lack of standards; compatibility;
 longetivity of the media; and hidden costs of converting legacy data.
  For more information, see Secretary of State, Supervisor of Public
         Records, SPR Bulletin No. 1-93 Use of Optical Media.


                           Help is Available

  The Supervisor of Public Records established the Records Management
  Unit within the Massachusetts Archives to ensure that Massachusetts
 government records are properly stored and preserved, as required by
   MGL ch. 66, s. 1. A team of record analysts provide training and
assistance with: inventory and appraisal of records; files management;
    selection of storage equipment; development of records disposal
schedules (disposal plans); and inspection of vault and storage areas.
      Please see the contact section below for more information.

 A public records analyst can answer your questions over the phone or
  via email, teach you how to survey your office, train office staff,
speak to your professional association or provide technical assistance.
 The Records Management Unit has also developed a variety of schedules
  and publications on the creation, use, storage, and disposition of
                          government records.


                               Services

                         Technical Assistance

   Record analysts can assist with:Development of records management
                               programs
  * Records inventory
  * Analysis of record-keeping systems
  * Appraisal and scheduling of records
  * Implementation of schedules

                  Training Sessions and Presentations

   The Records Management Unit can conduct training sessions at the
Massachusetts Archives or at your office. Analysts will plan an agenda
  tailored to the records management needs of the agency/department.
  Analysts frequently speak at meetings of professional associations.

                        Sample topics include:
  * Records Retention and Disposition
  * Safety and Security of Records
  * Records Lifecycle
  * Care and Handling of Records
  * Public Records Issues
  * Disaster Planning

                               Workshops

     Let the Records Management Unit teach a workshop at your next
   professional association meeting. Watch this page for an upcoming
                schedule of workshop dates and topics.


                  Publications and Technical Reports

  This site has links to the majority of our publications. Watch this
 page for electronic copies of our other publications and for revised
                               editions.

                 Supervisor of Public Record Bulletins

The Supervisor of Public Records has established a directives series to
     provide guidance and inform government records custodians of
    requirements surrounding the creation, storage, management, and
                        disposition of records.

   Bulletins contain explanatory background, a legal analysis of the
  issue, guidance and requirements. They are usually in effect until
superseded. A selection of bulletins and their effective dates follow.
   For more information, please contact the Records Management Unit.

  Application of Public Records Law to Electronic Records Access
  (03-96)
  June 6, 1996

  Backing Up and Archiving Electronic Records (01-96)
  January 2, 1996

  Designation of Records Custodian (02-96)
  June 6, 1996

  Electronic Mail (01-99)
  February 17, 1999

  Facsimile Transmissions (01-92)
  January 21, 1992

  Fees for Access and Copying of Electronic Records (04-96)
  June 7, 1996

  Maintenance of Records Storage Areas (03-92)
  January 21, 1992

  Recording Material for Permanent Public Record (05-94)
  October 17, 1994

  Requirement to Maintain Minutes of Meetings in Written Format
  (02-92)
  January 21, 1992

  Requirements to Manage Records Created Under Government Contract
  (03-93)
  December 23, 1993

  Requirement to Use Permanent Paper (02-93)
  December 23, 1993

  Security and Custody of Records Created Outside the Town Hall
  (04-94)
  February 14, 1994

  Use of Optical Media (01-93)
  January 4, 1993

                                  FYI

  The Secretary issues FYI to inform state government officials about
   records management news and information. This newsletter will be
     reinstated in the near future. Please watch this location for
                          electronic copies.

  Project Reports
  The Unit occasionally publishes reports deriving from projects it
  undertakes with state and local government officials and others.

  Electronic Records Working Group
  The Electronic Records Working Group (ERWG) was formed by the Office
  of the Secretary of the Commonwealth, the Massachusetts City Clerks
  Association, and the Massachusetts Town Clerks Association. The
  purpose of the group was to identify electronic records concerns and
  point to potential solutions.

  Working Group Report (June, 1995)

  Report of Progress (June, 1996)

                          Technical Bulletins

Technical bulletins provide record custodians with the background they
    need to understand and develop records management programs and
                    policies. Currently available:

  Tech. Bulletin 1: Performance Standards for Safes and Vaults

  Tech. Bulletin 2: Establishing a Micrographics Program

  Tech. Bulletin 3: Records Security

                      Coming soon--Managing Email

                      Records Management Manuals

   The Records Management Unit offers records management manuals for
   local, county and state government officials. The manuals include
   policies and procedures for access to records, files management,
security and preservation, use of microfilm and computer records. These
manuals are currently being revised and should be available on the Web
   site in the near future. To obtain a a current copy of a records
management manual for your office, contact the Records Management Unit.


                           Tools and Models

               Local Government Records Program brochure

  The Local Government Records Program brochure was developed by the
  Maine State Archives, Massachusetts Archives, and the Massachusetts
Historical Records Advisory Board, with the invaluable help of the New
  England Association for City and Town Clerks and individual clerks
                   throughout the northeast region.

                            Coming soon...

  The Records Management Unit is currently developing tools for local
government and state records managers. A model inventory and cataloging
   database will be available on this site in the very near future.

  Please continue to check this page for tools and models that can be
                adapted and used at your local setting.


              Disposal Schedules for Municipal Government

  Disposal schedules are management plans for information. Schedules
describe records created as a result of a particular activity; identify
the content of the record; describe how the record is used; and specify
                   the lifecycle of the information.

The Records Management Unit has published 28 different records disposal
 schedules for 1600 record series. These schedules are currently being
 revised and will be electronically available in the near future. The
    RMU will make the schedules available on the Web, as well as in
  database and comma-delimited format. This will enable users to link
  information to inventory and collections management databases (see
    Tools and Models section). In the meantime, contact the Records
          Management Unit for paper copies of the schedules.

Schedules are available for the following departments and boards. Note:
the first number following DS is the schedule number; the second number
is the year the schedule was issued. If applicable, the revision month
                       and year are also listed.

 If your department is not listed below, please see the Administration
 and Personnel schedule (23/89) for records held in common by various
departments. If you have records not listed on these schedules, please
  contact contact the Records Management Unit for suggested retention
                               periods.

  Records may not be destroyed without the written permission of the
 Supervisor of Public Records. For instructions and sample letter, see
the instructions section of each department. Please contact the Records
   Management Unit if you have any questions or need any assistance.

  Accountant/Auditor (DS 6/82 rev. 11/92)
  Instructions

  Administration and Personnel (DS 23/89 rev. 5/93)
  Instructions
  Note: this schedule may be used for all departments and is for
  records-in-common.

  Board of Assessors (DS 1/93 rev. 11/96)
  Instructions

  Board of Appeals (DS 21/85)
  Instructions

  Board of Health (DS 7/82 rev. 9/91)
  Instructions

  Building Inspector (DS 19/82 rev. 2/94)
  Instructions

  City Clerk (DS 3/86 rev. 9/95)
  Instructions

  Collector (DS 4/86)
  Instructions

  Conservation Commission (DS 18/82 rev. 1/92)
  Instructions

  Council on Aging (DS 27/93)
  Instructions

  Dept. of Public Works (DS 16/81 rev. 12/91)
  Instructions

  Fire Dept. (DS 10/80)
  Instructions

  Fire District (DS 11/80 rev. 2/91)
  Instructions

  Historic District Commission (DS 25/89 rev. 3/92)
  Instructions

  Historical Commission (DS 24/89)
  Instructions

  Licensing Board (DS 15/81)
  Instructions

  Planning Board (DS 22/85 rev. 1/91)
  Instructions

  Police Dept. (DS 14/81 rev. 2/96)
  Instructions

  Public Library (DS 28/96)
  Instructions

  Purchasing (DS 8/90)
  Instructions

  Retirement Board (DS 17/90 rev. 2/91)
  Instructions

  School Dept. (DS 20/84 rev. 9/91)
  Instructions

  Sealer of Weights and Measures (DS 13/79)
  Instructions

  Selectmen (DS 9/80)
  Instructions

  Shellfish Constable (DS 26/90)
  Instructions

  Town Clerk (DS 2/85 rev. 3/97)
  Instructions

  Treasurer (DS 5/82)
  Instructions

  Veterans' Service Agent (DS 12/81)
  Instructions

  Sample disposal letter

  Sample disposal letter for microfilmed records


                Disposal Schedules for State Government

  Disposal schedules are management plans for information. Schedules
describe records created as a result of a particular activity; identify
the content of the record; describe how the record is used; and specify
                   the lifecycle of the information

The Records Conservation Board approves two types of schedules for use
  by state agencies: general schedules and agency-specific schedules.
General schedules are for records relating to common agency functions.
 Agencies may also propose schedules for records that relate to unique
                           agency functions.

 General schedules can be used by any office that creates the records
 listed on the schedule. Such schedules are designed for records that
result from common agency functions. Examples of such schedules are DS
58/87 for MMARS records and DS 92/92 for common administrative records
                             (see below).

   Records may not be destroyed without the approval of the Records
  Conservation Board. Records appearing on DS 58/87 and DS 92/92 also
        require the approval of the Records Conservation Board.

      To use a general schedule entry, the agency must complete:

      Application for Destruction Permission (RCB-2) (PDF, 237k)
                                  or
        Application for Transfer Permission (RCB-2T) (PDF, 27k)

and submit it to the Records Conservation Board. Note that requests and
 new schedules must be submitted at least two weeks before the monthly
  Records Conservation Board meeting. The Records Conservation Board
               meets the first Wednesday of every month.

 For more information, please see Instructions for State Agencies and
Forms for State Agencies. Please contact the Records Conservation Board
  Administrator, Emma Simonetti (email esimonetti@sec.state.ma.us or
            617-727-2816 x 253) if you have any questions.

  Records-in-Common (DS 92/92)
  * Instructions and Introduction. This document offers information
    about how to interpret and implement the schedule. It is important
    to read this information before using the schedule.
  * Alphabetical Series Listing (PDF, 110k)
    Series titles, descriptions, and retention periods for records
    relating to common administrative functions.


                          State Agency Forms

  If you do not have a pdf reader, please download and install Adobe
Acrobat Reader. Acrobat will allow you to view and print the following
 Records Conservation Board forms. For more information on how to use
the forms, see the Instructions for State Agencies page or State Agency
                      Records Management Manual.

  RCB-1 (PDF, 47k)
  Application for Disposal Schedule
  Use this form to request approval for a records management plan for
  records.

  RCB-2 (PDF, 237k)
  Application for Destruction Permission.
  Use this form to request permission to implement the destruction
  provisions of an existing Disposal Schedule.

  RCB-2M (PDF, 237k)
  Application for Destruction Permission
  (Records Required to Be Microfilmed)
  Use this form to request permission to implement the destruction
  provisions of an existing Disposal Schedule.

  RCB-2T (PDF, 27k)
  Application for Transfer Permission
  Use this form to request permission to implement the transfer
  provisions of an existing Disposal Schedule. This form can be used
  for both transfer to the State Records Center and the Massachusetts
  Archives.

  RCB-4 (PDF, 158k)
  Records Liaison Officer Designation
  Use this form to appoint an authorized agent for Records
  Conservation Board business.


           Contact Information

         Records Management Unit
           617-727-2816 Phone
            617-288-8429 Fax
         recman@sec.state.ma.us

      Record Management Unit Staff

              Terry French
           617-727-2816 x 259
             Records Analyst
      terry.french@sec.state.ma.us

              Skip Kendall
           617-727-2816 x 396
      skip.kendall@sec.state.ma.us

             Emma Simonetti
           617-727-2816 x 253
Records Conservation Board Administrator
       esimonetti@sec.state.ma.us

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