Records Management at The Baltimore Museum of Art Speakers Linda Tompkins-Baldwin, Library Director Emily Rafferty, Associate Librarian & Archivist Anna Clarkson, Project Archivist Graham Andrews, Graduate Student Presentation Key Points • Timeline • Benefits of Records Management • Developing a Records Schedule • Records Management System • Records Center • Archives • Training & Outreach Timeline • 1914 – Baltimore Museum of Art established – individual departments responsible for maintaining records • 1999 – new library staff added focus to archives – space allocated for archives & manuscripts – rehoused collections • 2000 – basement emptied – committee identified records with archival potential – records moved to climate controlled, restricted area in warehouse Timeline • 2000 – Library staff member designated as BMA Archivist – – established policies & procedures worked to educate staff about the importance of archives • 2010 – Applied for NHPRC start-up grant which included the development of a Records Retention Schedule • 2011 – Awarded NHPRC Grant • 2012 – Records Retention Schedule completed Benefits of Records Management Control the creation and growth of records Reduce operating costs Improve efficiency and productivity Ensure regulatory compliance Minimize litigation risks Safeguard vital information Support better management decision making Preserve corporate memory Foster professionalism Assimilate new records management technologies A good retention schedule tells… Who is responsible for the record Disposition – keep in office, destroy, transfer to Records Center or Archives How long to keep How to properly dispose of records Records Retention Schedule Our retention schedule is based on…. Legal guidelines Established museum practices Society of American Archivists Code of Ethics Society of American Archivists Standards for Access to Research Materials in Archival and Manuscripts Repositories Needs of BMA staff & researchers Records Interviews • Develop a questionnaire form Sample Forms for Archival & Records Management Programs co-published by ARMA & SAA Schedule 2 hour blocks of time with staff Enter information into a database or spreadsheet Records Interviews Interviews held with over 100 staff members to inventory & discuss their records Nearly 600 unique records series identified Preliminary records retention schedule compiled Records retention schedule reviewed with key stakeholders & adjusted as needed Records Retention Schedule Decide on functional vs. departmental schedule Identify common types of records found throughout multiple offices for General Records Schedule Identify duplicate records and assign an “office of record” Set retention periods based on legal, fiscal, administrative, and historical criteria Review with staff and legal counsel if possible Federal Government Statutes are enacted by United States Congress. Federal regulations are issued by the various federal administrative agencies charged with interpreting and implementing these statutes. Both federal statutes and regulations are enforceable Federal United States Code aka “USC” (Statutes) http://uscode.house.gov/search/criteria.shtml Code of Federal Regulations aka “CFR” (Regulations) http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCo de=CFR GRMpedia, Legal Knowledge Base Subscription $$ State of Maryland The General Assembly writes laws (Annotated Code of Maryland) and the State Executive Departments and Administrative Agencies write regulations (COMAR) to implement the authority of the laws. Both statutes and regulations are enforceable. State Regulations (Maryland) Annotated Code of Maryland (Statutes) http://www.lexisnexis.com/hottopics/mdcode/ Code of Maryland Regulations aka “COMAR” (Regulations) http://www.dsd.state.md.us/comar/ Helpful Tips • Ask your staff: – What laws are they aware of that effect their records? – What licenses are they charged with renewing? – What kind of government inspections have been performed in the past? • Keyword Searches for Gov. Law Sites – “record keeping” – “retain for” – “years” • Call government agencies directly • Search all agencies’ statutes and regulations to determine if they effect your institution • Attend workshops and classes held by Government • Amnesty programs Benchmark against others Collect examples of similar institutions’ records retention schedules Look at structure and organization Compare their records against yours Take their retention periods “with a grain of salt” Collect examples of good fact-based schedules University of Florida Records Management Listserv, RECMGMT-L: http://lists.ufl.edu/cgi-bin/wa?INDEX ARMA’s Policy Brief emails Consult with professionals in your field directly Negotiate with Staff Provide legal statutes as back up Provide examples from other institutions as back up Offer to lend assistance Set up inter-departmental meetings for issues that effect many Let staff know that you are on “their” side and have same goals Explain Librarians’ and Archivists’ code of ethics Cater to different types of personalities Play “hardball” as a last resort Some things to consider Freedom of Information Act (FOIA) Requirements of Insurance Companies Requirements of Granting Agencies Statute of Limitations in your state for contract litigation Always check both Federal & State Laws In some instances state laws are more stringent than federal Wordpress in two'ish slides! BY GRAHAM Basic technical question How do we take the schedule, which is essentially a series of alphanumeric entries separated by commas, and make it not only presentable to end-users but decently interactive with library staff? ...and how do we do this for free? ...and make it not a huge technical headache for people? Wordpress CMS Primarily known as a blogging software, but it's:free open-source robustly maintained most importantly: has a large library of plugins and extensions that can transform it into essentially whatever website one envisions. Screenshot from Admin Panel Records Center Records Center: A facility maintained and operated for storage of inactive temporal records which need to be preserved for varying periods of time before their eventual destruction BMA Records Center: Located within Warehouse Locked rooms with limited access Unique shelving locations for each box BMA Records Transferred to the Archives Archives: A work in progress Cooperation with Records Creators Records creators know … What to keep and for how long What to weed before sending materials to the Archives Records are being cared for Records can be easily located & retrieved Archives provides public access when appropriate Confidential records will be kept closed Impact on Archives Confidence that important records are being preserved Better understanding of BMA’s records & how they relate to each other Determine if we have relevant materials & locate them promptly Facilitates processing: Identify and weed materials quickly Cut down on transfer of duplicates Disposition determined by Retention Schedule Archives vs. Records Center Workflow Archives Records Center Create accession record Create accession record in Archives section of Archivists’ Toolkit Put the material in line for processing in Records Center of Archivists’ Toolkit Assign the appropriate destruction date and a location in the RC Physically move the box to the RC Archives Accession Record Records Center Accession Record Sorting by Destruction Date Policies Records Management Policy Records created by staff as a part of their job belong to the BMA. Staff must review and follow their Departmental Retention Schedule and the General Schedule. In case of litigation or investigation, all relevant records will be retained and any scheduled records destruction will be suspended. Access Policy Addresses what kind of records are open and to whom. In general, records are closed 10 years from date of creation. Procedures and Forms Created procedures documents and forms to help staff know how to transfer to Archives and Records Center Separate transfer procedures for permanent paper records, electronic records, and the Records Center Simple instructions with screen shots Used Adobe Acrobat to make professional interactive forms How are we doing compared to other museums? Excellently Approximately 50% of museums do not have a records retention program Of those, approximately 75% of them are outdated BMA fares extremely well when benchmarked against similar institutions BMA currently advising Johns Hopkins University Hammer Art Museum Records Management system receiving extremely favorable feedback and may serve as a model for other institutions Private Internet group created to foster Ongoing dialog with other museum records managers Training & Outreach Training & outreach to be held in accordance with NHPRC requirements 2013 Professional Presentations WALRC MARAC Staff Training Brown bag lunches Video Tutorials Publicity – Prepare Materials for PR & Marketing Articles Blogs Press releases Acknowledgments Graham Andrews Suzy Hill Gabriel Barr Max Matsuda Hirata Anita Carrico Daegan Hosler Joy Davis Judy Katz Theresa DeMario Becca Pad Ginny Forni Caitlan Salin Kenna Forsyth Lindsay Wilson Contact Information bmalibrary.org (password protected) bmalibrary@artbma.org (443) 573-1778 Linda Tompkins-Baldwin, Library Director Emily Rafferty, Associate Librarian & Archivist Anna Clarkson, Project Archivist