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The Basics of Public Records Management in N.C. State Government

The Basics of Public Records Management in N.C. State Government. Introductions. This Workshop. IRM: the Absolute Essentials Electronic and Paper Records Foundations The Law Records Management University General Schedule and the Program Records Schedule

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The Basics of Public Records Management in N.C. State Government

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  1. The Basics of Public Records Management in N.C. State Government NC Division of Historical Resources

  2. Introductions NC Division of Historical Resources Government Records Branch

  3. This Workshop • IRM: the Absolute Essentials • Electronic and Paper Records • Foundations • The Law • Records Management • University General Schedule and the Program Records Schedule • The Necessity of Managing Your Records NC Division of Historical Resources Government Records Branch

  4. This Workshop (Continued) • Policies • E-Records and Archives • Security • Backups and Storage • Admissibility and Authenticity NC Division of Historical Resources Government Records Branch

  5. IRM: the Reasons Why • Controlling records growth • Faster retrieval of information • Fewer lost or misplaced records • Cost reduction - especially in space • Better productivity • Assimilation of technology NC Division of Historical Resources Government Records Branch

  6. IRM: the Reasons Why (Continued) • Legal and regulatory compliance • Reduction of legal risks • Protection of vital information • Informed decision making • Preserving institutional (or societal or corporate) memory • Morale and professionalism NC Division of Historical Resources Government Records Branch

  7. Components of an IRM Program • Records inventorying and scheduling • Inactive records storage • Protection of vital records • Filing systems for active maintenance • Utilization of document imaging---microfilm and electronic (often shared with Systems) NC Division of Historical Resources Government Records Branch

  8. Components of an IRM Program (Continued) • Forms management • Reports management (Both for control of records growth) • Sometimes included: Information systems Print shop Mail/message services Photocopiers NC Division of Historical Resources Government Records Branch

  9. IRM: the Absolute Essentials • Systematic control of organization’s records • Establishment of Clear Accountability for Organization’s Records • Systematic Implementation • Written Procedures • Inclusion of All Records in All Media NC Division of Historical Resources Government Records Branch

  10. IRM: the Absolute Essentials (Continued) • Institutional or Corporate Mandate • Destruction of Records Systematically • Auditing and Documenting of Operations • Provision of Training NC Division of Historical Resources Government Records Branch

  11. Archives: the Institutional Memory • Peter Graham: the Basic Mission: Acquire, Preserve, Organize, Make Available • Problems in common with IRM • Professional distance in practice NC Division of Historical Resources Government Records Branch

  12. Things to Remember about the World of Computers • Computers assume that the world is basically ordered and unchanging ---the real world (of government) contains a lot of disorder and change • The dominant medium of a society tends to emphasize distribution of information over space or over time---it does not usually do both well NC Division of Historical Resources Government Records Branch

  13. Things to Remember about the World of Computers (Continued) • The development of the computer (and telecommunications) has immeasurably increased the volume of information and the speed of communication. “[P]ower is invested in the society that can send messages fastest and farthest.” The word “farthest” here does not necessarily include its transportability to the future. • Governments are legally obligated and operationally required to be interested in the transportability of data to the future, when the data has long-term, archival, or permanent legal value. NC Division of Historical Resources Government Records Branch

  14. The Sea Change in the Creation and Storage of Information • Electronic Records Are Not Eye-Readable • Managing Electronic Records Has Been Left to the Untrained • Electronic Records Depend on Software for Content, Structure, Context, and Meaning • Software and Hardware Change Rapidly - Electronic Data Must Be Migrated NC Division of Historical Resources Government Records Branch

  15. The Sea Change in the Creation and Storage of Information (Continued) • Context Means: What, When, By Whom, To Whom, Where, How, Why, What Media • Preservation of Electronic Records Contexts Is Unstable • The Danger for Institutional Memory NC Division of Historical Resources Government Records Branch

  16. The Sea Change in the Creation and Storage of Information (Continued) • Check Vendor Claims Carefully • Computer Hardware is Especially Sensitive to the Physical Environment • Computer Hardware and Software Systems---Especially in Optical Systems---Are Often Not Compatible with Each Other • Optical Media Are Subject to Physical Deterioration NC Division of Historical Resources Government Records Branch

  17. Record Creation • You probably use at least A word processor Spreadsheet program Electronic mail (it’s a public record, too!) Database management software ... running on a desktop pc NC Division of Historical Resources Government Records Branch

  18. End-User Computing Computers with increased functionality PLUS More employees with computers EQUALS Explosion of records in electronic formats NC Division of Historical Resources Government Records Branch

  19. The Law NCGS 121 The Archives and History Act NCGS 132 Public Records Law NC Division of Historical Resources Government Records Branch

  20. NCGS 121 • 121-4(2) • Assigns records management responsibility • 121-5(b) • Regulates the destruction of public records • 121-5(c) • Directs DCR to assist the other agencies NC Division of Historical Resources Government Records Branch

  21. NCGS 132 (a) “Public record” or “public records” shall mean all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, artifacts, or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions. NC Division of Historical Resources Government Records Branch

  22. NCGS 132 (b) The public records and public information compiled by the agencies of North Carolina government or its subdivisions are the property of the people. Therefore, it is the policy of this State that the people may obtain copies of their public records and public information free or at minimal cost... NC Division of Historical Resources Government Records Branch

  23. NCGS 132 • 132-6 • Directs agencies to index electronic public records • Allows agencies to charge fees for copies • 132-7 • Directs agencies to safeguard their records • 132-9 • Provides remedies for those denied access to records NC Division of Historical Resources Government Records Branch

  24. Use Creation Disposition Records Management NC Division of Historical Resources Government Records Branch

  25. Creation, Use, Disposition • Comply with laws and regulations • Document the actions of government • Minimize space and supplies needed • Satisfy internal needs for the records • Save money NC Division of Historical Resources Government Records Branch

  26. Content, not Media “Public record” or “public records” shall mean all documents, papers, ... magnetic or other tapes, electronic data-processing records, ... or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance ... GS 132-1 NC Division of Historical Resources Government Records Branch

  27. Records Values NC Division of Historical Resources Government Records Branch

  28. Administrative Value • Procedure manuals • Retention schedule • Memos • Reports NC Division of Historical Resources Government Records Branch

  29. Fiscal Value • Budget records • Expenditure ledgers • Credit card reports NC Division of Historical Resources Government Records Branch

  30. Legal Value • Contracts • Agreements • Federal or state statutory or regulatory requirements NC Division of Historical Resources Government Records Branch

  31. Research Value • Governors’ papers • Oaths of office • Directors’ correspondence • Agency histories NC Division of Historical Resources Government Records Branch

  32. Confidential Records • Medical and mental health records • Personnel records(salary information is not confidential) • Prison records • Students’ records NC Division of Historical Resources Government Records Branch

  33. Vital Records • Protect employee and citizen rights • Document your agency’s fiscal status NC Division of Historical Resources Government Records Branch

  34. Schedule Negotiations Reviews include: • Your office • GRB staff • Archives staff NC Division of Historical Resources Government Records Branch

  35. What is the University General Schedule? • University General Schedule (1991) • Lists common types of records found in state –supported university offices • Provides uniform descriptions and disposition instructions • Being revised! –Based on 2000 State Agency General Schedule NC Division of Historical Resources Government Records Branch

  36. Who is doing it? • Developed in cooperation with University System Archivists and Records Managers • Approved by the Secretary of Cultural Resources and the President of the UNC System • “It shall be the duty of [Cultural Resources], in cooperation with and with the approval of the Department of Administration, to establish standards, procedures, and techniques for effective management of public records…”NCGS 132-8.1 NC Division of Historical Resources Government Records Branch

  37. Disposition Instructions • Minimum retention periods • Agencies may elect to retain records longer • But: • Increased expense • Potentially adverse legal consequences • Based on • Federal and state laws and regulations • Records management practice NC Division of Historical Resources Government Records Branch

  38. Disposition Instructions • Destroy no record which is or may become involved in legal action. • Contact your University’s legal counsel NC Division of Historical Resources Government Records Branch

  39. Program Records and Program Records Schedules • Not all records are covered by the UGS • Some Universities have developed individual office schedules (Program Schedules) • Your University Records Officer will work with you • Describes records unique to your office • Disposition instructions also tailored to your particular needs, regulations, and requirements • e.g. permits, surveys, tests, research documentation, tax returns NC Division of Historical Resources Government Records Branch

  40. Why will the revised UGS be good? • Consistency and uniformity • Routine course of business may reduce agency’s liability • Records on the UGS will not need to be negotiated during schedule updates • Reduces clutter on program schedules • Will promote online access NC Division of Historical Resources Government Records Branch

  41. Planning • Standardize terminology and naming • Access files easily • Reduce file redundancy • Avoid misplacing files • Makes finding files easier Don’t underestimate the efficiency of uniformity. Creation NC Division of Historical Resources Government Records Branch

  42. Backup Policy • Know the retention of all files • Make a backup schedule, and stick to it • Establish backup procedures, and stick to them • Include backup information in your disaster preparedness plan • Work with your IT department or LAN team Use NC Division of Historical Resources Government Records Branch

  43. Safekeeping • Don’t put the University, the state, or its citizens at risk through inadequate security precautions. NC Division of Historical Resources Government Records Branch

  44. Issues in Admissibility of Electronic Records • Accuracy and reliability of info technology systems are proved by • Creation in the regular course of business • Established procedures • Audit trails • Timeliness • North Carolina Guidelines for Managing Public Records Produced by Information Technology Systemshttp://www.ah.dcr.state.nc.us/e-records/manrecrd/manrecrd.htm NC Division of Historical Resources Government Records Branch

  45. Reasons for an Electronic Records Policy • Electronic records are subject to • Public access, personal privacy, audit and authenticity requirements • Managerial responsibility for the • Accuracy, completeness, authenticity, security, retention and preservation “... regardless of physical form or characteristics ...” NC Division of Historical Resources Government Records Branch

  46. Archival Considerations • Media longevity • Hardware and software dependence • ASCII format • Micrographic media • Retain the paper • Archival value is not affected by “... physical form or characteristics ...” NC Division of Historical Resources Government Records Branch

  47. Think Ahead • Will your records live long enough? • Paper and microfilm have proven longevity • Information of archival value must survive, no matter the inconvenience. NC Division of Historical Resources Government Records Branch

  48. Resources • Government Records Branch http://www.ah.dcr.state.nc.us/sections/archives/rec/default.htm • Ed Southern Assistant State Records Administrator ed.southern@ncmail.net 919-807-7353 NC Division of Historical Resources Government Records Branch

  49. Contact Information Government Records Branch Mailing Address Street Address 4615 Mail Service Center 215 N. Blount St.Raleigh, NC 27699-4615 Raleigh, NC Phone: 919/807-7350 Fax: 919/715-3627 Courier: 51-81-20 NC Division of Historical Resources Government Records Branch

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