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Public Records Management

Public Records Management. Advanced Real Property Seminar September 15, 2010. Presented by: Tom Vincent, NCDCR Local Records Management Analyst. Overview. Importance of Records Management Public Records Law Records Retention and Disposition Schedules Electronic Records Management

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Public Records Management

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  1. Public Records Management Advanced Real Property Seminar September 15, 2010 Presented by: Tom Vincent, NCDCR Local Records Management Analyst

  2. Overview • Importance of Records Management • Public Records Law • Records Retention and Disposition Schedules • Electronic Records Management • Summary

  3. Importance of Records Management • Essential records protection • Compliance with legal requirements • Transparency • Preservation of records with enduring value • Controlled records growth • Fewer copies, planned documentation • Cost savings • Storage equipment, supplies • Improved office efficiency • Reduced searching and faster retrieval • Better use of office resources

  4. Public Records Law

  5. Public Records Law • NCGS 121 Archives and History Act • NCGS 132 Public Records Law

  6. G.S. 121 Archives and History Act • 121-4(2) • Assigns records management responsibility • 121-5(b) • Regulates the destruction of public records • 121-5(c) • Directs DCR to assist governments and agencies

  7. G.S. 132Public Records Law • 132-1 • Defines “Public records”: “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. • 132-3(a) • Class III misdemeanor to destroy records without the permission of DCR

  8. Records Retention and Disposition Schedules

  9. Records Retention Schedule • Public records require a Retention and Disposition Schedule • Binding legal agreement • Lists common types of records (record series) found in government offices

  10. Records Retention Schedule, Cont. • Provides instructions for the retention and disposition of the records series • Identifies permanent, confidential, or restricted records • Helps offices improve records retrieval, save money and space

  11. Records Retention Schedule, Cont. • County Tax Administration Schedule, April 1, 2004 • County Tax Administration Amendment, July 31, 2008 www.records.ncdcr.gov/local/default.htm#co

  12. Records Retention Schedule, Cont. Schedule needs to be approved in an open meeting of your governing board. Signed by Chairman of the Board of County Commissioners and the Tax Assessor Collector Please send copy of completed signature page to our office.

  13. Schedule Item • EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES • Description: Includes records listing employees, their job titles, work locations, phone numbers, e-mail addresses, and similar information. • Disposition Instructions: Destroy in office when superseded or obsolete.

  14. Schedule Item • TAX SCROLLS AND BOOKS: FOR YEARS ENDING IN 0 AFTER 1900 • Description: Includes property valuations and amount of taxes due. These records may be prepared separately or combined. • Disposition Instructions: Transfer to the State Archives.

  15. Schedule Item • TAX SCROLLS AND BOOKS: ALL OTHER • Description: Includes real and personal property, discovery, delinquent and any other supplemental scroll, book, summaries, or recapitulations. • Disposition Instructions: Destroy in office after 10 years or 1 year after released by the governing board, whichever comes first.

  16. Protect Records • Avoid storing records: • In flood-prone basements • Under leaky roofs or pipes • On the floor • In an unsecured location • Keep records safe by: • Researching recycling and/or shredding vendors • Having a Disaster Preparedness Plan in place for your records

  17. Electronic Records Management

  18. Managing Electronic Records • Paper vs. Electronic Records • Creating Trustworthy Records & Developing an Electronic Records Policy • Preserving and Destroying Electronic Records • Managing E-mail

  19. Paper vs. Electronic Records • Content is Key “Public record” or “public records” shall mean all documents, papers, ... electronic data-processing records, ... 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. -GS 132-1

  20. Create Trustworthy Records Admissibility Electronic files may be challenged in court Documenting Authenticity Maintain records on system operation and inspections Explain how records were created, kept secure, and disposed of Keep training records on staff

  21. Preserving Electronic Records • Records of archival value must survive no matter the inconvenience • Migrate to new platforms • Save files in standard formats • Output to paper or microfilm

  22. Preserving Electronic Records • Never trust claims that you won’t have to actively manage records over time • Anticipate changes to the underlying hardware and software (these are inevitable) • Periodically sample records to ensure that they’re still readable and not corrupted

  23. Destroying Electronic Records • Ensure timely destruction • Control all copies • Purge hard disks before transferring • Make sure the records are destroyed • Not just index files

  24. Guidelines for Managing and Preserving Electronic Records http://www.records.ncdcr.gov/erecords • Managing Electronic Public Records (Online Tutorial, October 2008) • Best Practices for Digital Preservation (April 2008) • Recommended Digital File Formats (March 2007) • NC Guidelines for Managing Public Records Created by IT Systems (April 2000)

  25. Managing E-mail • E-mail contains public records and is subject to public inspection • Requires daily management • File in e-mail folders • Utilize and follow your retention schedule • Destroy outdated e-mails • Ensure security of confidential information • IT’s Role

  26. E-Mail Resources http://www.records.ncdcr.gov/erecords • E-Mail as a Public Record in NC: A Policy for Its Retention and Disposition (July 2009) • Managing Your Inbox: E-Mail as a Public Record (September 2009)

  27. Questions?

  28. Records Management Analysts • Local Records Unit • Lisa Coombes (lisa.coombes@ncdcr.gov) (919)807-7357 • Tom Vincent(tom.vincent@ncdcr.gov)(919) 807-7364 Asheville Office • Ginny Daley (ginny.daley@ncdcr.gov)(828) 274-6789

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