Code of Maine Rules › 29 - DEPARTMENT OF THE SECRETARY OF STATE › 255 - MAINE STATE ARCHIVES › Chapter 1 - STATE AGENCY RECORDS PROGRAMS › Section 255-1-9 - AGENCY PROGRAM RESPONSIBILITIES

Current through 2024-29, July 17, 2024
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.