Oregon Secretary of State Corporate Division

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					 “Pay Me Now or Pay Me Later”
The Records Management Dilemma

            November, 2009
       Mary Beth Herkert, CRM, CA
                         Points to Ponder
“Electronic storage is cheap, why bother to manage information, just keep it all.”
9% of agency/corporate annual budgets are dedicated to e-discovery
  The Secretary of State spent 2.5% of its biennial budget in setting up ERMS. Ongoing
  licensing and maintenance will equal less than 1% of the agency’s biennial budget.
Dupont reviewed 75 million pages and found half were past retention. Cost for
review of records past retention - $12 million
Estimates - employees spend 25-40% of their day searching for the right
information to complete a given task.
Estimates – organizations can only retrieve about 22% of records relevant to an
e-discovery case.
Agencies without an active policy and strategy for managing information will
spend one-third more time (time = money) on e-discovery than agencies that do.
It is becoming cheaper to settle out of court than to defend your agency.
   Solution: Become Proactive and Manage your Information
     Being Proactive and Getting There
Proactive means being ready – knowing where your information is,
how to get it and who can access it quickly and efficiently
How do we do this? We manage our information from the time that
we create it until it has reached it’s final disposition. We ultimately
want to make this process systematic and routine
But this is hard and it takes too much time – It’s not hard, it’s change.
How much time is currently being spent on e-discovery and Public
Records Requests and rooting through everything we have kept?
It costs too much – Obviously there are costs involved, especially
when using an ERMS. But……..
                     Getting There – Step 1
                   Records Retention Schedules
Organizational Placement                                         Schedule Number: 2007-0027
Agency: Secretary of State
Division: Human Resources
Program: Recruiting
Program Description
Human Resources, Recruiting is responsible for actively recruiting for agency vacancies and for helping agency
divisions through the recruitment and selection process. Recruiting is also responsible for conducting new
employee orientation.
Program Records
173 New Employee Orientation Records
    (a) Transfer records related to individual employees to Employee Personnel Records once Orientation completed
    (b) Retain all other records until superseded or obsolete
State Agency General Records Retention Schedule Records
Administrative Records (OAR 166-300-0015)
Mailing Lists
Personnel Records (OAR 166-300-0040)
Criminal Background Checks
Employment Eligibility Verification Forms (I-9)
Employee Personnel Records

Financial Records
(1) Account Reconciliation Records
Records document the reconciliation of agency funds and accounts such as cash accounts with the State Treasury or other subsystems,
capital asset to capital expenditures, or federal revenue to federal expenditures. Records may include printouts, worksheets, reports,
schedules, and other supporting documentation. Records include those produced by the Statewide Financial Management Application
(SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency.
Retention: Retain 6 years, destroy
(2) Account Transfer Records
Records document the authorized movement and transfer of funds between various accounting structures, such as the Statewide
Financial Management Application (SFMA) Program Cost Account (PCA), Index, Program, Organizational Structures, and Treasury
accounts. Records may include journal vouchers and transfer requests. Records include those produced by SFMA, the Department of
Administrative Services Data Mart, and any other subsystems used by the agency.
Retention: (a) Retain records documenting transfers between statutory funds: 75 years, destroy
(b) Retain all other account transfer records: 6 years, destroy
(3) Accounting Structure Organizational Hierarchy Records
Records document the program and/or organization of an agency's accounting structure. The accounting structure includes items such as
comptroller objects, agency objects, fund structure, and general ledger account and other codes and profiles. Records include those
produced by the Statewide Financial Management Application (SFMA) the Department of Administrative Services Data Mart, and any
other subsystems used by the agency. Records may include SFMA profile listings showing accounting structure and fund split tables.
Retention: Retain 6 years, destroy
(4) Accounting System Input Documents and Listings, and Agency Control Reports
Records document transactions or changes entered into the accounting system and other subsystems. They are used to control accuracy
of data entry and to verify data input and batch control. Records include those produced by the Statewide Financial Management
Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Records
include input documents, batch control reports, hand-posted spreadsheets, control reports, and memoranda.
Retention: Retain 4 years, destroy
(5) Accounts Payable Reports
Records document current outstanding liabilities and provide a record of payments of bills by the agency. They may also serve as a
subsidiary ledger. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of
Administrative Services Data Mart, and any other subsystems used by the agency.
Retention: (a) Retain SFMA requestable reports: 6 years, destroy
(b) Retain all other accounts payable records: 6 years, destroy
                                                         Accounting - Disbursements
Accounting is responsible for developing and implementing agency or statewide accounting policies, procedures and systems; ensures the
integrity, accuracy, and control of financial data; and controls the expenditure of funds.
Disbursements is responsible for processing, paying, and recording agency transactions for agency purchases. NOTE: Also see Payroll.

Sched/Series                 Records, Including All Related Correspondence                            Retention & Disposition

2007-0027/300                Encumbrance Registers                                                    3 years, destroy

2007-0027/301                General                                                                  6 years, destroy
                             Account Reconciliation Records
                             Accounting Structure Organizational Hierarchy Records
                             Credit Card Records
                             Debit/Credit Advices
                             Journal Entry Registers
                             Non-Statutory Funds Account Transfer Records
                             Purchasing Records
                             Travel Expense Records
                             Voucher Registers
                             Warrant/Check Cancellation Request Records
                             Warrant/Check Register

2007-0027/302                Statutory Funds Account Transfer Records                                 75 years, destroy

2007-0027/303                Grant Records                                                            (a) Grant final report, including
                                                                                                      SFMA requestable reports: 5 years
                                                                                                      after final or annual expenditure
                                                                                                       report accepted, destroy
                                                                                                      (b) All other records: 1 year after
                                                                                                      submission of final report, destroy

2007-0027/304                Postal Records                                                           4 years, destroy
              Step 2 - Filing Systems, Structure
                      and Classifications
                           Donated Leave              MPL Audit                     Special Merits           For Your Improv.doc
360 Feedback
2007-2009 Budget           Emergency                  NEO packets-Erin              Strategic Plan
                                                                                                             HR Standards.doc

                           Employee Action            Office Forms                  Student Worker           HRDBrochure04gray.pdf
2007 year end
                           Employees                  Ofc. of Admin. Hearings       Technology Plan
                                                                                                             INS EMPLOY VER.doc
                           Erin’s Stuff               ORS 240 Work Group            Training                 J’s BIA questionaire.doc
Adams law suit
                                                                                                             Leadership qualities.doc
                           FLSA                       PERF EVAL                     TS Removal
ADA                                                                                                          MOU, Jones.doc
                           FMLA_OFLA                  Performance Mgmt.             Turnover                 MOU, Smith.doc
                                                                                                             ORG Charts.ppt
                           Forms                      Permanent Financing           Window III
 All Staff Meeting
                                                                                                             PA Form.doc

Archived EE Files          Hiring Freeze Reporting    Personnel Manual               Window III & IV         PAS2.pdf

Audits Class Study 05      HRD Policy Audits          Prsnl Pol Review-Erin          Young II
                                                                                                             Pers.Folder Request log.xls

Background Checks          HRD Photos                 Position Descriptions     2004 Intern Audit Salaries   Policy Changes2007.doc
                                                                                                             Policy Changes.doc
                           HRSD Audits                RECLASS                   Blue Sky
Business Continuity Plan                                                                                     RACFID.Temps.doc
                                                                                Brochure 2007.pdf
                           Injured Worker IGA         Recognized Svc. Dates                                  RACFIDPerm.doc
Central Services Survey
                                                                                EEO Self Report Form.pdf
                                                                                                             Skills Matrix.doc
                                                      RECRUITING                EE’s w-differ(NEW).xls
Class Study                Layoff
                                                                                EE’s w-differ.doc.xls        Succession Planning sow.doc

                           Mailing list recruitment   Recruit. Work Grp.        Employee Files.doc           SummerIntern3.07.doc
Contested Case Forms
                                                                                ExecOfc.doc                  SummerIntern3.15.doc
                           Misc. Ltrs                 School-to-work
Desk Manual
                                           File Structure
HR Administration                                          Federal and State Records and Reports
                                                             Affirmative Action Records
 Americans with Disabilities Act Records                     Equal Employment Opportunity Records
  ADA                                                        Archived EE Files
 Blue Sky Advisory Committee Records                       FMLA/OFLA
  Blue Sky Advisory Committee Records (P)                    FMLA_OFLA
  Blue Sky & Best Practices                                  FMLA_OFLA Files (P)
  Blue Sky Committee Meeting talking points for Jean.doc   Internal Audit Reports
  ORS 240 Work Group                                         HRSD Audits
  Performance Management                                     HRD Policy Audits
 Criminal Background Check Records                           MPL Audit
  Background Checks                                          HRD Audits
  criminal background checks                                 Policy Audits
 Employee Personnel Records                                Legal Actions
  Emergency Notification Forms (P)                           Jones law suit
  Employees and Individual Employee Personnel Records –      Smith, R.
    Current and Past (P&E)                                   Young
  PERF EVAL                                                Position Description and Reclassification Records
  Recognized Service Dates                                   Audits Class Study 05
  Special Merits                                             Classification Files (P)
  TS Removal                                                 Class Study
  Discipline/Grievance Files (P)                             PAS 2.pdf
  RACF_ID.Temps                                              PAS 3.pdf
  RACF_ID-perm-emp.doc                                       POSITION DESCRIPtions
  Personnel folder request log.xls                           RECLASS
  Employee Action                                            Turnover
  AUDITS.xls                                                 Window III
 Employee Eligibility Verification Forms (I9)                Window III & IV
  INS EMPLOY VERIF.DOC                                       2004 Internal Auditor Salaries.doc
                                                           Position Inventory Control System (PICS) Reports
                                                             DAS Reports (P)
SOS-Human Resources-Administration
 SOS-Human Resources-Administration-Blue Sky
 SOS-Human Resources-Administration-Employee Personnel Record
  SOS-Human Resources-Administration-Employee Personnel Record-ADA
  SOS-Human Resources-Administration-Employee Personnel Record-Background Checks
  SOS-Human Resources-Administration-Employee Personnel Record-FMLA/OFLA
  SOS-Human Resources-Administration-Employee Personnel Record-I9
  SOS-Human Resources-Administration-Employee Personnel Record-Position Description
  SOS-Human Resources-Administration-Employee Personnel Record-Training
 SOS-Human Resources-Administration-Position Reclassification
Step 3 – Implementation and Buy-in
               Lessons Learned
• Management starts with a manual process
• Looking at Records Retention differently
• Paper and Electronic information is managed
• Information is easy to locate and find, thus reducing
  discovery and storage costs
• Asset classification is easy to implement ensuring
  that information is secure & accessible to only
  authorized users
• Retention and disposition is routine and systematic
• System is auditable
       For More Information

Mary Beth Herkert
Oregon State Archives
Phone: (503) 378-5196
E-mail: mary.e.herkert@state.or.us
Webpage: http://arcweb.sos.state.or.us

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