29-255-1 Me. Code R. § 9

Current through 2024-51, December 18, 2024

Section 255-1-9 - AGENCY PROGRAM RESPONSIBILITIES

The head of each agency shall comply with the program requirements set forth in this section.

A.Agency Records Management Policy/Procedure

Effective recordkeeping requirements include clear guidance for all employees on how to determine what constitutes records, non-record materials, and personal files. Agencies should ensure adequate and proper documentation of their programs; establish recordkeeping requirements for their programs; issue policies and procedures for the following: organizing, maintaining, and storing records; retention of drafts; public access requests; confidential records, protection of vital records and historical records and disaster recovery measures.

B.Records Maintenance and Use

Specific management of agency records including correspondence, reports, drafts, forms, directives, files and electronic records.

1. The objectives of correspondence management are to limit correspondence to essential requirements, to improve the quality of necessary correspondence, and to provide for its creation in an economical and efficient manner.

Correspondence is a generic term including letters, form letters, memorandums, endorsements, summary sheets, post cards, and other communications in any media format.

2. The primary objective of reports management is to provide agency officials with needed information, effectively, efficiently, economically and in the most useable format.

A report is data or information, generally summarized, transmitted for use in determining policy; planning, controlling, and evaluating operations and performance; and preparing other reports. The data or information may be in narrative, statistical, graphic, or other form. Most reports are generally the product of an information system serving a specific administrative or operational area, such as personnel, budget or purchasing.

3. The primary objective of drafts management is to ensure documents such as drafts and working files for reports, special studies, memorandums, and correspondence that support major program policy development are incorporated into office files as applicable and routine program operations or items containing only corrections or editorial or stylistic changes are disposed of as nonrecord materials.

Draft documents and working papers are records but may only need to be retained for a brief period of time if they do not have significant administrative, legal, fiscal or historical value.

Agencies should evaluate the documentation practices of senior administrators and staff, especially those who manage unique agency programs and develop policy, to ensure adequate documentation is preserved. Special attention should be given to drafts, working files or other background materials that may contain information needed to supplement finalized records. Drafts and working papers proposing options or alternatives and their implications in the development of high-level policies and decisions or that document findings or support recommendations should be evaluated for retention and potentially retained with finalized record. Drafts that may be immediately discarded following the creation of a new draft are those containing only minor non-substantive changes such as correction of grammar and/or spelling or minor "word-smithing."

4. The objectives of forms management are to increase the usefulness of forms through proper design and procedures; to reduce costs; and to achieve savings in designing, storing, and distribution.

A form is any document, including letters, or other memorandums, in any media format with space for filling in information, descriptive material, or addresses. Certain items without fill-in space, such as contract provisions, and instruction sheets may be considered as forms when it is advantageous to identify and control them as forms for purposes of reference, stocking, distribution, and use with other forms.

The following actions will assist in implementing a forms management program:

a. Establish and maintain an inventory of all agency forms;

b. Assign a form number and edition date to each approved form;

c. Require that each form be supported by a directive setting forth instructions for preparing, submitting, and using;

d. Eliminate or update obsolete forms.

5. The objectives of directives management are to facilitate agency administration and operations by providing the right employee with the right instructions; by producing instructions that are complete, easily understood, readily accessible, and revisable; and by developing and distributing instructions promptly and economically. Both internal and external directives are included in a directives management program.

A directive is a written communication which initiates or governs action, conduct, or procedure. Directives include circulars, notices, regulations, orders, and handbooks, and include material for insertion in policy, administrative, and operations manuals. (Certain materials are usually exempted such as professional publications, news releases and announcements of programs, catalogs, and price lists.)

6. The objectives of files management are to organize agency files so that needed records can be found rapidly, complete records are ensured, the selection and retention of records of permanent value are facilitated, and the disposition of noncurrent records is accomplished promptly. All services shall be performed with maximum economy in personnel, equipment, and supplies.

A file is a series of recorded information regardless of physical form or characteristics, accumulated or maintained in filing equipment such as boxes or shelving or within digital holdings such as documents, spreadsheets or databases. Stocks of publications and blank forms are excluded.

The head of each agency shall establish an appropriate program for the management of agency files. The program shall:

a. Establish and implement standards and procedures for classifying, indexing, and filing records; providing reference services to filed records; and locating active files to facilitate agency use of records;

b. Design standards, guides, and instructions for the files management program for the purpose of easy reference and revision and to make readily available to all employees.

c. Periodically audit a representative sample of the files for duplication or misfiles.

7. The objectives of electronic records management are to insure that a program is established for the management of records created, received, retained, used, transmitted, or disposed on electronic media; that procedures are established for addressing records management requirements, including retention requirements and disposition; that electronic records management objectives, responsibilities, and authorities are incorporated in pertinent agency directives.

The head of each agency shall establish an appropriate program for the management of electronic records. The program shall:

a. Have the capability for preserving any electronic record for its full retention period; or, there must not be any system impediments that prevent migrating the record to another electronic records system, in as complete a form as possible;

b. Sufficiently identify records created in electronic format to enable agency staff to retrieve, protect, and carry out the disposition;

c. Ensure that any electronic records can be identified that are part of a records series maintained in multiple records media such as paper, microform, etc.;

d. Establish policies and procedures to ensure that an electronic state record and any software, hardware, and/or documentation, including maintenance documentation, required to retrieve and read the electronic records are retained as long as the approved retention periods;

e. Establish policies and procedures to ensure electronic mail is kept appropriately to maintain the integrity of the record.

f. Establish policies and procedures to ensure social media and website information are kept appropriately to maintain the integrity of the record.

29-255 C.M.R. ch. 1, § 9