10-Steps Records Management Checklist ReportThe Office of the City Clerk (OCC) has identified ten steps to facilitate the establishment of a Departmental Records Management Program. City of Austin, TexasATX_1ae2f08c-db6b-11e7-b16a-abb9a118c257Austin City ClerkPursuant to the City Code, the City Clerk is responsible for developing, implementing and administering a City-wide Records Management Program ...Records AdministratorsPlease complete this report and submit it by October 16, 2017 to your OCC Records Analyst contacts.Essential city records of historical value are preserved and protected._1ae2f1ae-db6b-11e7-b16a-abb9a118c257To establish a records management program._1ae2f334-db6b-11e7-b16a-abb9a118c257Cost-ReductionReduces costs and improves the efficiency of recordkeepingEfficiencyRecordkeepingCriteriaEstablishes eligibility criteria for microfilming and digital storage of recordsComplianceProvides microfilming or electronic storage of records in compliance with state lawProtectionProvides adequate protection of essential City recordsHistoryPreserves City records of historical valueTeamEstablish a Records Management Team (RMT)_1ae2f546-db6b-11e7-b16a-abb9a118c2571Records Management TeamsEach Department director is required by the City Code to appoint a senior-level manager as the department's Records Administrator to oversee the implementation of the Records Management Program. The Records Administrator has the authority to appoint Records Liaisons and Records Coordinators to help implement the records management program. Together, they form the department's Records Management Team. Purpose of this step: Establish a network of experts on the department's records. The Records Administrator is the chair of the team. The membership of the team should represent all locations in which departmental records are located and should not consist entirely of support or clerical staff. Deliverable: Updated Records Management Team member list. 1.1 The department has an established Records Management Team. The department director appoints the Records Administrator, the Records Administrator appoints the Records Liaison(s) and the Records Liaison(s) appoint the Records Coordinator(s). 1.2 The Records Administrator verifies the list of the department’s Records Management Team members provided by the Office of the City Clerk and returns an updated list to the OCC. 1.3 The Records Administrator incorporates records management responsibilities into the Success Strategy Performance Review (SSPR) duties of the Records Liaison(s) and the Records Coordinators(s). 1.4 All Records Management Team members complete the “Basic RIM and Your Responsibilities” training class provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 1.5 The Records Management Team meets at least quarterly. The department’s assigned Records Analyst(s) in the Office of the City Clerk must be invited to these meetings. 1.6 The Records Administrator sends a completed copy of the 10-Steps Checklist Report to department’s assigned Records Analysts in the Office of the City Clerk by October 14 noting the status of each task. _1ae2f654-db6b-11e7-b16a-abb9a118c257InventoryConduct and Complete a Records Inventory_1ae2f730-db6b-11e7-b16a-abb9a118c2572Pursuant to the Municipal Code, the Records Administrator is required to submit a records inventory to the City Clerk. The Records Liaison(s) and the Records Liaison(s) are responsible for verifying the accuracy, content, and completeness of the inventory. Purpose of this step: Identify all City records including information located in empty offices, closets, warehouses, storage sheds, and any other areas where records may be stored. Deliverable: Completed Records Inventory Report Spreadsheet for each of the department’s divisions or work units. 2.1 All Records Management Team members complete the “Conducting Records Inventories” training class provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 2.2 The Records Administrator and the department’s assigned Records Analyst(s) in the Office of the City Clerk conduct a walk-through of each location and document their findings on the Location Walk-Through Survey Form. 2.3 The OCC Records Analyst submits a summary report of the walk-through to the Records Administrator. The Records Administrator prioritizes the order in which inventories are to be done. 2.4 The Records Liaison(s) and the Records Coordinators(s) complete a Records Inventory Worksheet and Spreadsheet for each records series within their divisions or work units. 2.5 The Records Liaison(s) review the Inventory Report Spreadsheet for accuracy and completeness and submits the report to the Records Administrator. 2.6 The Records Administrator completes the final review of the Inventory Report Spreadsheet and submits it to the department’s assigned OCC Records Analyst(s). _1ae2f802-db6b-11e7-b16a-abb9a118c257ScheduleReview and Approve a Records Control Schedule_1ae2f8d4-db6b-11e7-b16a-abb9a118c2573The department's assigned Records Analyst(s) in the Office of the City Clerk RIMS are responsible for converting the completed Inventory Report Spreadsheet into a draft Records Control Schedule to be reviewed and approved by the department. The City’s Records Management Committee is responsible for reviewing and approving each Records Control Schedule after departmental approval. The schedule is then submitted to the Texas State Library for final acceptance. Purpose of this step: Develop a customized Records Control Schedule that meets the City’s legal and financial requirements, and business needs of the department. Deliverable: Approved Records Control Schedule(s) covering all of the department's divisions and work units. 3.1 All Records Management Team members complete the "Reviewing Your Records Control Schedule" training session provided by the Office of the City Clerk. This session must be scheduled for departments during a Records Management Team meeting. 3.2 The Records Management Team reviews the draft schedule at a meeting chaired by the Records Administrator. 3.3 The Records Administrator submits required changes/ corrections to the draft Records Control Schedule to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 3.4 The Records Administrator approves the draft schedule by notifying the departments assigned Records Analyst(s) in the Office of the City Clerk that the department is ready for the schedule to be submitted to the Records Management Committee. 3.5 The Records Administrator receives a copy of the Texas State Library accepted Records Control Schedule from the department’s assigned Records Analyst(s) in the Office of the City Clerk and distributes it to their Records Management Team. _1ae2f9b0-db6b-11e7-b16a-abb9a118c257CriteriaApply Corporate Criteria for Managing Records_1ae2fa8c-db6b-11e7-b16a-abb9a118c2574The City Code requires reducing the cost of records management and improving the efficiency of record-keeping. The City has established criteria for the microfilming or electronic storage of City records. Purpose of this step: Identify the most appropriate and cost effective format to retain records and purge those records eligible for destruction. Deliverable: List of Vital Records. 4.1 All Records Management Team members complete the "Applying Corporate Criteria" and "Vital Records Identification and Preservation" training classes provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 4.2 The Records Management Team reviews the newly approved Records Control Schedule to identify which records are eligible for disposition and completes disposition logs. 4.3 The Records Administrator reviews and approves all requests to dispose of City records. This includes both requests received from the Records Center and requests to dispose of departmental records stored on-site. 4.4 Records Management Team members coordinate the initial disposition of the records stored on-site. 4.5 The Records Management Team develops and submits a complete Vital Records List for each division or office to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 4.6 The Records Management Team documents protection methods currently in place, protection methods that can be implemented with existing resources and additional resources needed to protect the department’s vital records. 4.7 The Records Administrator includes the required resources (for disposition, vital records protection, media requirements, etc.) in the department’s financial forecast for the next fiscal year. _1ae2fb68-db6b-11e7-b16a-abb9a118c257ProceduresDevelop Records Management Procedures_1ae2fc58-db6b-11e7-b16a-abb9a118c2575The Records Administrator is responsible for including records management requirements in departmental policies and procedures. The Records Liaison(s) and Records Coordinator(s) are responsible for reviewing the department’s record keeping practices and identifying those requiring improvement to increase efficiency and achieve compliance. Purpose of this step: Evaluate current practices and develop consistent procedures for staff to follow when managing the department’s records. Standard Operating Procedures should document how the records are organized and maintained, who is responsible for maintaining them, when the records are to be disposed and under whose authority, and how the department manages records that are part of an audit, litigation, or open records request. Deliverable: Written Records Management Standard Operating Procedures. 5.1 All Records Management Team members complete the “Developing Standard Operating Procedures” and “Files Management” training classes provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 5.2 The Records Management Team develops Standard Operating Procedures that at minimum address: * Disposition; * Operation of central files; * Transfer of records to/from other departments; * Sending/retrieving records to and from off-site storage; * Employee separation; * Disposition/Legal holds; * Preserving permanent or long-term records; and * Protecting vital records. 5.3 The Records Management Team reviews the proposed Standard Operating Procedures. 5.4 The Records Administrator approves the Standard Operating Procedures and sends a copy of the SOPs to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 5.5 The Records Management Team identifies additional resources needed to implement the required procedures. 5.6 The Records Management Team identifies staff members responsible for managing departmental records who will require records management training. 5.7 The Records Administrator includes the required resources (staff time) in the Department's forecast for the next fiscal year._1ae2fd52-db6b-11e7-b16a-abb9a118c257ImpementationImplement the Records Management Program and Procedures_1ae2fe38-db6b-11e7-b16a-abb9a118c2576The Records Administrator is responsible for ensuring the maintenance of the department’s records, including the preservation, microfilming, electronic storage, destruction, and disposition. The Records Administrator and the Records Liaison(s) are responsible for implementing the Records Control Schedule. Purpose of this step: Ensure the standard procedures are implemented, Deliverable: Completed Records Management Manual. 6.1 The Records Management Team distributes a copy of the Records Control Schedule to staff identified in Step 5.6. 6.2 The Records Management Team members and records staff identified in Step 5.6 complete "Using Your Records Control Schedule" training class provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 6.3 The Records Management Team distributes a copy of the procedures to records staff members. The Records Administrator posts the Records Control Schedule, procedures, forms, and the department’s Records Management Manual on the department’s intranet site. The Records Administrator provides a copy of (or link to) the Records Management Manual to the department's assigned Records Analyst(s) in the Office of the City Clerk. 6.4 The Records Management Team develops and conducts a training session for department staff on records procedures. 6.5 The Records Management Team develops and distributes a Records Management Manual to all department staff. It may include: • Contact list of the Records Management Team and the department’s assigned Records Analyst(s) in the Office of the City Clerk * Records Control Schedule(s) * Standard operating procedures * Disaster preparedness plan * Records management forms The manual may be in electronic and/or paper format._1ae2ff32-db6b-11e7-b16a-abb9a118c257Disaster PlanCreate a Disaster Plan_1ae30040-db6b-11e7-b16a-abb9a118c2577The department’s Records Management Program must protect the department’s vital records. The Records Administrator is responsible for establishing a Disaster Plan. Purpose of this step: Document existing practices that protect vital records and identify additional protection measures needed. Staff will be trained on their roles and responsibilities before, during, and following a disaster. Deliverable: Records Disaster Plan. 7.1 Records Management Team members complete the "Disaster Planning for Records" training class provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 7.2 The Records Management Team reviews and updates the Vital Records List and forwards a copy to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 7.3 The Records Management Team develops a Disaster Plan according to the template provided by the Office of the City Clerk. 7.4 The Records Administrator approves the final Disaster Plan and provides a copy to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 7.5 The Records Management Team identifies which portions of the Disaster Plan can be implemented with existing resources and identifies additional resources needed to implement the entire plan. 7.6 The Records Administrator includes the required resources (such as disaster kit supplies) in the department’s forecast for the next fiscal year. 7.7 Records Management Team distributes the Disaster Plan to all disaster team members identified in the Plan. 7.8 Records Management Team develops and conducts training on implementing the Disaster Plan for the disaster team members._1ae3013a-db6b-11e7-b16a-abb9a118c257TrainingRecords Management Training_1ae3023e-db6b-11e7-b16a-abb9a118c2578The Records Administrator is responsible for ensuring the Records Management Team has adequate time and resources to fulfill their records management responsibilities. This includes ensuring staff are adequately trained. Purpose of this step: Ensure that existing staff and new employees receive adequate training and guidance on managing and protecting the department’s records. Deliverable: Ongoing records management training for new and standing members of the department's Records Management Team. 8.1 The Records Administrator ensures that standing members of the Records Management Team complete all refresher training classes provided by the Office of the City Clerk. (Upon request OCC will provide updated training rosters to the Records Administrator.) 8.2 Records Administrator ensures that all new members of the Records Management Team complete the required training identified in the 10-Step Checklists. (Upon request OCC will provide updated training rosters to the Records Administrator.) 8.3 The Records Management Team ensures that all new employees responsible for managing records are trained on the appropriate standard operating procedures and the Disaster Plan. 8.4 Records Management Team identifies ongoing training needs and coordinates with the department’s assigned Records Analyst(s) in the Office of the City Clerk to schedule additional customized training as required._1ae30360-db6b-11e7-b16a-abb9a118c257Program MaintenanceMaintain the Records Management Program_1ae30464-db6b-11e7-b16a-abb9a118c2579The Records Administrator is responsible for overseeing the Records Management Program, including an annual review of the program to ensure, as requirements and technology change, that it meets the department’s needs. Purpose of this step: Ensure evolving departmental changes are reflected and addressed. This requires an annual review of the department’s Records Management Program and standard operating procedures. Deliverable: Review of the department’s Records Management Program. 9.1 The Records Management Team continues meeting at least quarterly. The department's assigned Records Analyst(s) in the Office of the City Clerk must be invited to these meetings. 9.2 The Records Administrator annually reviews and updates the following: * Records Management Team List * Records Control Schedule changes * Vital Records List * Standard Operating Procedures * Disaster Plan * Records Management Manual 9.3 Records Administrator sends requested Records Control Schedule changes to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 9.4 Records Management Team makes required changes to all other documents in 9.2. 9.5 Records Management Team conducts final review and approval of all documents in 9.2. 9.6 Records Management Team distributes and trains all applicable staff members on revisions made to documents in 9.2. 9.7 Records Administrator forwards a copy of the revised documents to the department's assigned Records Analyst(s) in the Office of the City Clerk. 9.8 Records Management Team annually reviews the Records Management budget to ensure necessary resources (for disposition, vital records protection, media requirements etc.) are available. 9.9 The Records Administrator sends a completed copy of the 10-Steps Checklist Report to department’s assigned Records Analysts in the Office of the City Clerk by October 14 of each year noting the status of each task._1ae30572-db6b-11e7-b16a-abb9a118c257ComplianceRecords Management Program Compliance Review_1ae30694-db6b-11e7-b16a-abb9a118c25710The Records Administrator is responsible for assisting the City Clerk in producing an annual report to the City Manager on the implementation of the department’s Records Management program. The Records Liaison(s) and the Records Coordinators(s) are responsible for reviewing the department’s record keeping practices for compliance with the Records Management program, identifying practices which require improvement to increase efficiency, implementing corrective actions for program compliance, and reporting noncompliance to the Records Administrator. Purpose of this step: Ensure consistent practices, as outlined in Step 5, are being followed and identify future needs for budgeting purposes. Deliverable: Completion of a biannual Compliance Status Review. 10.1 The department’s assigned Records Analyst(s) in the Office of the City Clerk conduct a compliance review of records management practices. The review must be coordinated and scheduled with the Records Administrator. 10.2 Records Management Team reviews the Compliance Status Report provided by the City Clerk’s Office and identifies additional resources and action items needed to address the findings. 10.3 Records Administrator sends the Records Management Team’s responses and recommendations identified in 10.2 to the department’s assigned Records Analyst(s) in the Office of the City Clerk. 10.4 The Records Administrator incorporates the action items from the Compliance Review Report into the department’s Records Management Program. 10.5 The Records Administrator includes the required resources in the department's forecast for the next fiscal year._1ae307b6-db6b-11e7-b16a-abb9a118c2572017-10-162017-12-07http://stratml.us/carmel/iso/10SRM.xmlOwenAmburOwen.Ambur@verizon.net