Basic Records Management

What we’ll cover

Virginia Public Records Act Understanding and using the LVA General

Schedules The schedule cover page Identifying records series

Records disposition Reformatting records E-mail

Virginia Public Records Act COV § 42.1-76 et seq.

Requires you to: Establish and maintain an active and continuing

program for the economic and efficient management of records

Destroy records at the end of established retention periods

Report destruction of records to LVA

What is a record?

"Public record" or "record" means recorded information that documents a transaction or activity by or with any public officer, agency or employee of an agency. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business. The medium upon which such information is recorded has no bearing on the determination of whether the recording is a public record.

COV § 42.1-77

Format doesn’t matter, but content does! Formats

E-mail Word processing files Spreadsheets Web sites Databases PowerPoint

presentations Scanned images Multimedia files

Storage media Hard drives CDs Magnetic tape Diskettes DVDs Network servers

So what is a record?

Evidence of

government activity.

What is a records series?

A records series is a group of identical or related records that are normally filed together and document a particular function, transaction, or activity.

Examples include correspondence, contracts, fiscal vouchers, project files, and minutes.

What are vital records?

Vital records are those records essential to the operation of the organization and/or resumption of operations following a disaster.

Examples include accounts receivable and payroll records.

Pulaski County Courthouse 1989

Records storage

Keep records in an area that is: Locked with controlled access Protected from fire by smoke detectors, water

sprinklers, and fire extinguishers Free of vermin and insects Far from water pipes

Make sure boxes are: Sturdy and covered by a lid At least 3 inches off the ground

What is not a record?

Reference materials

Administrative and personal correspondence or material

Stationery, blank forms, and publications for distribution

Copies of policy and procedure manuals

Did you create it? Did you receive it?

From inside agency

From outside agency

Delete when no longer needed

File and deleteaccording to

retention period

Print or file forpermanent retention

Is your departmentthe official

record creator?

Is this a copyof a record another

dept. keeps?

Delete when no longer needed

You changed it

You didn’tchange it

Informationalor reference Record Permanent

record

Delete –sender

should file

Determine type of record

Record

The Commonwealth

Minimize litigation risks

Ensure federal, state, and regulatory compliance

Safeguard vital information

The agency

Ensure business continuity

Support decision making

Preserve the corporate memory

The employees

Control the growth of records

Improve efficiency and productivity

Integrate new record management technologies

Records management is…

Providing the right information, at the right time, to the right people, effectively, and efficiently, at the lowest possible cost.

General vs. Specific Schedules General Schedule

Cover common records created by all state and local government offices

Available online

Specific Schedule Cover records unique to an agency May be organized by unit or department Not currently available online

www.lva.virginia.gov/agencies/records/sched_state/index.htm

Schedule tips Confidentially destroy records that are “No.

8.”

If records do not fall into any series on any schedule, they can not be destroyed.

Format doesn’t matter, content does.

Retention periods are not suggestions.

“C. Each agency shall ensure that records created after July 1, 2006 and authorized to be destroyed or discarded

in accordance with subsection A, are destroyed or discarded in a timely manner in accordance with the provisions of this chapter; provided, however, such

records that contain identifying information as defined in clauses (iii) through (ix), or clause (xii) of subsection C of §18.2-186.3 shall be destroyed within six months of the

expiration of the records retention period.”

Disposition of public records COV § 42.1-86.1

What can the schedules do for you?

Ensure that files are not prematurely destroyed, but are not kept past their usefulness.

Identify records with long-term retention that can be moved off-site.

Assist with making reformatting decisions.

Identifying destruction dates 1. Begin counting retention years with the year

following the year of creation.

2. Count up through the stated number of retention years. Records should be retained for the full year of the final year of retention.

3. Destroy records at the beginning of the next yearly cycle.

Certificate of Records Destruction (RM-3 Form) Fill out the entire form, remembering to:

Include schedule and records series numbers Provide inclusive date ranges Indicate method of destruction

Ensure all three lines are signed and dated at

bottom

Submit original form to LVA

Only an LVA-designated Records Officer can sign off on records

destruction.

Know your RO!

Legal ramifications

Records that are not destroyed according to their retention schedule are subject to discovery during litigation, investigations, and Freedom of Information Act (FOIA) requests.

If you have it, you must produce it.

Regulations Governing the Destruction of Public Records Containing Social Security Numbers

17VAC15-120 et seq.

Paper records must be shredded, pulped, or incinerated. If shredding, must use a cross-cut shredder that reduces paper to a size no wider than 3/8 inches.

Back-up tapes and computer hard drives must be overwritten, degaussed, or destroyed.

Magnetic media must be overwritten or exposed to a magnetic field to disrupt information.

Vendors must be bonded.

Identifying archival records

In the retention and disposition field of the schedule, look for: “Retain in agency 5 years then transfer records

to the Archives, Library of Virginia for permanent retention.”

“Retain permanently. May be offered to the Archives, Library of Virginia.”

If the disposition says “Retain permanently,” without mentioning transfer to the Archives, you must keep records on-site.

Transferring archival records 1. Identify schedule and records series number

2. Determine the volume of records and order acid free

boxes

3. Label boxes

4. Fax or email Archival Transfer List and Receipt (ARC-1 Form) to your Records Analyst

5. Create a folder listing of box contents

6. Staff members arrange for pickup.

Reformatting records

It is legal to reformat records and destroy the paper original. If the record is pre-1913, it must be offered to LVA before destruction.

RM-3 is not required for destruction of paper originals.

Consult your Records Analyst before reformatting permanent records.

Reformatting caveats

Have a quality control process and indexing system in place.

Records must be safe and accessible during the entire length of their retention period.

RM-3 is required when imaged records are destroyed.

E-mail is not a records series

E-mail is a format, not a records series. Asking how to file an e-mail is the same as asking how to file a piece of paper.

The content determines the disposition.

E-mail basics

You are responsible for managing your sent and received e-mail.

Requests from the public must be honored the same as any other public record request.

E-mail must remain accessible during the entire retention period.

E-mail tips Use an official signature

Proofread

Retain final e-mail in a thread

Use a useful subject line

Don’t put something in an e-mail that you

wouldn’t want to see in tomorrow’s newspaper

Final tips 1. Identify records series when records are

created. Visibly label boxes with schedule number, records series, and destruction date. This will simplify tracking retention.

2. Do records destruction yearly and on a set schedule, such as the end of the fiscal or calendar year.

3. Regularly review the schedules online for changes. Do not print schedules.

Resources

Virginia Public Records Management Manual www.lva.virginia.gov/agencies/records/manuals/ vprmm.pdf

Virginia Records Officer Listserv www.lva.virginia.gov/agencies/records/varol.htm

State Agency General Schedules www.lva.virginia.gov/agencies/records/sched_state/ index.htm

Online training

Basic Records Management www.lva.virginia.gov/agencies/records/

workshops/records-101.asp Electronic Records Management www.lva.virginia.gov/agencies/records/

workshops/electronic-records.asp

Anita Vannucci anita.vannucci@lva.virginia.gov

(804) 692-3650

www.lva.virginia.gov/agencies/records/

Contact information