public records management advanced real property seminar september 15, 2010 presented by: tom...
TRANSCRIPT
Public Records ManagementAdvanced Real Property Seminar
September 15, 2010
Presented by:Tom Vincent, NCDCR Local Records Management Analyst
Overview1) Importance of Records Management
2) Public Records Law
3) Records Retention and Disposition Schedules
4) Electronic Records Management
5) Summary
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
Public Records Law
Public Records Law NCGS 121
Archives and History Act NCGS 132
Public Records Law
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
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
Records Retention and Disposition Schedules
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
Records Retention Schedule, Cont.Provides instructions for the retention and
disposition of the records seriesIdentifies permanent, confidential, or
restricted recordsHelps offices improve records retrieval,
save money and space
Records Retention Schedule, Cont.County Tax Administration Schedule,
April 1, 2004County Tax Administration Amendment,
July 31, 2008www.records.ncdcr.gov/local/default.htm#co
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.
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.
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.
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.
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
Electronic Records Management
Managing Electronic Records Paper vs. Electronic Records Creating Trustworthy Records &
Developing an Electronic Records Policy Preserving and Destroying Electronic
Records Managing E-mail
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
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
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
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
Destroying Electronic Records Ensure timely destruction Control all copies Purge hard disks before transferring Make sure the records are destroyed
Not just index files
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)
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
E-Mail Resourceshttp://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)
Questions?
Records Management Analysts Local Records Unit
Lisa Coombes ([email protected])(919)807-7357
Tom Vincent ([email protected])(919) 807-7364
Asheville Office Ginny Daley
([email protected])(828) 274-6789