Records Management: The Public Records Act, the Library of Virginia, and You Glenn Smith Records...
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Transcript of Records Management: The Public Records Act, the Library of Virginia, and You Glenn Smith Records...
Records Management:The Public Records Act, the Library of Virginia, and You
Glenn Smith
Records Management Analyst
What if…
…your records management program
was a book, movie or TV show, which one would it
be?
What we’ll cover1. Virginia Public Records Act
2. Understanding and using the schedules
3. Records destruction
4. Files Management & e-recs?
Why records management matters
Protect rights of citizens
Improve efficiency
Reduce risk of litigation
Ensure compliance
Virginia Public Records Act
•Designate a records officer
•Establish and maintain a records management program
•Destroy records and report to LVA
COV § 42.1-76 et seq.
What is a public record?
. . . documents a transaction or activity . . .
Regardless of physical form or characteristic . . .
. . . is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business.
COV § 42.1-77
What is not a record?• Reference
materials
• Administrative and personal correspondence
• Stationery, blank forms
• Copies
Records management is…
Managing information. . .
So that it may be efficiently accessed. . .
By the people who need it . . .
Without undue burden of time or cost.
What we’re covering
1. Virginia Public Records Act
2. Understanding and using the schedules
3. Records destruction
4. Files Management & E-recs?
Classifying records
Record SeriesRelated documents normally
filed together
General ScheduleCommon records created and maintained
by localities and state agencies
Specific ScheduleRecords unique to an agency that reflects
its responsibilities
Series title
Series description
Series number
Retention and disposition statement
Schedule number & title
Series title
Series description
Series number
Retention and cutoff event
Disposition
Schedule number & title
Look out for…
Confidential records
Series not identified on a schedule
Format versus content
What about my e-mail?
Manage sent and received
Public can request
Accessible for full retention period
Benefits of using the schedules
Save space and money
Identify useful lifespan of records
Assist in off-site storage decisions
36” x 58” =
2088 sq. inches or
14.5 sq. feet
14.5 sq. ft x $20/sf/month =
18”
16”
24”
Office Systems Consultants, A Division of Webb Inc.
36”
$290.00 a month
What we’re covering
1. Virginia Public Records Act
2. Understanding and using the schedules
3.Records destruction
4. Files Management?
Records disposition
3%
97%
Permanent
Non-Permanent
Documenting destruction
Complete
Approve
Destroy
Submit
• Complete Certificate of Records Destruction (RM-3 Form)
• Approving official signs
• Records officer signs
• Destroy records
• Person affirming destruction signs
• Mail original form to LVA
Each agency shall ensure that records created after July 1, 2006 . . .
. . . are destroyed or discarded in a timely manner . . .
. . . such records that contain identifying information . . . shall be destroyed within six months . . .
Timeframe for records destruction
COV § 42.1-86.1
(i) name
(ii) date of birth
(iii) social security number
(iv) driver's license number
(v) bank account numbers
(vi) credit or debit card numbers
The clauses….
COV § 42.1-86.1
(vii) personal identification numbers (PIN)
(viii) electronic identification codes
(ix) automated or electronic signatures
(x) biometric data(xi) fingerprints(xii) passwords
Destroying records with SSN
Paper:
• Shred (3/8”)
• Pulp• Incinerate
Back-up tapes and computer hard drives:
• Overwrite• Degauss• Physically
destroy
Magnetic media:
• Overwrite• Expose to a
magnetic field
17 VAC 15-120-30
What we’re covering
1. Virginia Public Records Act
2. Understanding and using the schedules
3. Records destruction
4.Files Management & E-recs!
Good Files Management is…
determining how your files are most effectively arranged, categorized, stored, and accessed regardless of format (paper, electronic, film…)
an inventory is used to identify the number, title, description, physical location, custodial responsibility, and disposition of files held by an office(s).
Records Locator Inventory (RM-20 Form)
Used to identify all records within a division or office
Provides a quick look at what information is maintained where and how
Is for agency/locality reference only
Use the Volume Estimation Table in order to approximate volume of records
Files Management is also…
Determining how your files are classified according to Library of Virginia (LVA) retention and disposition schedules
Assessing the current plan -- determine if it is working and make any needed adjustments
Remember!!
A good filing system is comprised exclusively of records and is not cluttered with convenience or reference copies
Electronic records challenges
Media degradation and obsolescenceFormat obsolescenceCooperative effort between Records management staffManagementLegal counselInformation technology department
Major advantage = major liabilityEase of copying and modification
More challenges…
Controlling accumulation and duplicationMaintaining records in a way that will enable retrieval of all documents relevant to a transactionEnsuring that records are destroyed at the end of their retention period in order to avoidOverloading systems Indiscriminate dumping
What we covered
1. Virginia Public Records Act
2. Understanding and using the schedules
3. Records destruction
4. Files Management & E-records
Questions?
Glenn SmithRecords Management [email protected]
All forms and schedules, as well as additional resources, available at:www.lva.virginia.gov/agencies/records