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

NC Division of Historical Resources

The Basics of Public The Basics of Public Records Management Records Management

in N.C. State in N.C. State GovernmentGovernment

NC Division of Historical ResourcesGovernment Records Branch

IntroductionsIntroductions


This WorkshopThis 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


This Workshop This Workshop (Continued)(Continued)

• Policies• E-Records and Archives• Security• Backups and Storage• Admissibility and Authenticity


IRM: the Reasons WhyIRM: 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


IRM: the Reasons Why IRM: the Reasons Why (Continued(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


Components of an IRM Components of an IRM ProgramProgram

• 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)


Components of an IRM Components of an IRM Program (Continued)Program (Continued)

• Forms management• Reports management (Both for

control of records growth)• Sometimes included:

Information systems Print shopMail/message servicesPhotocopiers


IRM: the Absolute IRM: the Absolute EssentialsEssentials

• 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


IRM: the Absolute Essentials IRM: the Absolute Essentials (Continued)(Continued)

• Institutional or Corporate Mandate

• Destruction of Records Systematically

• Auditing and Documenting of Operations

• Provision of Training


Archives: the Institutional Archives: the Institutional MemoryMemory

• Peter Graham: the Basic Mission: Acquire, Preserve, Organize, Make Available

• Problems in common with IRM• Professional distance in

practice


Things to Remember Things to Remember about the World of about the World of

ComputersComputers

• 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


Things to Remember about the World Things to Remember about the World of Computers (Continued)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.


The Sea Change in the The Sea Change in the Creation and Storage of Creation and Storage of

InformationInformation• 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


The Sea Change in the Creation The Sea Change in the Creation and Storage of Information and Storage of Information

(Continued)(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


The Sea Change in the The Sea Change in the Creation and Storage of Creation and Storage of Information (Continued)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


Record CreationRecord Creation

• You probably use at leastA word processorSpreadsheet programElectronic mail (it’s a public

record, too!)Database management software

... running on a desktop pc


End-User ComputingEnd-User ComputingComputers with increased

functionalityPLUS

More employees with computersEQUALS

Explosion of records inelectronic formats


The LawThe Law

NCGS 121The Archives and History Act

NCGS 132Public Records Law


NCGS 121NCGS 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


NCGS 132NCGS 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.


NCGS 132NCGS 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...


NCGS 132NCGS 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


Records ManagementRecords Management

Use

Creation Disposition


Creation, Use, Creation, Use, DispositionDisposition

• Comply with laws and regulations• Document the actions of

government• Minimize space and supplies

needed• Satisfy internal needs for the

records• Save money


“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

Content, not MediaContent, not Media


Records ValuesRecords Values


Administrative ValueAdministrative Value

• Procedure manuals• Retention schedule• Memos• Reports


Fiscal ValueFiscal Value

• Budget records• Expenditure ledgers• Credit card reports


Legal ValueLegal Value

• Contracts• Agreements• Federal or state statutory or

regulatory requirements


Research ValueResearch Value

• Governors’ papers• Oaths of office• Directors’

correspondence• Agency histories


Confidential RecordsConfidential Records

• Medical and mental health records

• Personnel records(salary information is not

confidential)

• Prison records• Students’ records


• Protect employee and citizen rights

• Document your agency’s fiscal status

Vital RecordsVital Records


Schedule NegotiationsSchedule Negotiations

Reviews include:• Your office• GRB staff• Archives staff


What is the University What is the University General Schedule?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


Who is doing it?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


Disposition Disposition InstructionsInstructions

• 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


Disposition Disposition InstructionsInstructions

• Destroy no record which is or may become involved in legal action.

–Contact your University’s legal counsel


Program Records and Program Records and Program Records Program Records

SchedulesSchedules• 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


Why will the revised Why will the revised UGSUGS be good? 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


PlanningPlanning

• 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


Backup PolicyBackup 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


SafekeepingSafekeeping

• Don’t put the University, the state, or its citizens at risk through inadequate security precautions.


Issues in Admissibility of Issues in Admissibility of Electronic RecordsElectronic 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 Systems http://www.ah.dcr.state.nc.us/e-records/manrecrd/manrecrd.htm


Reasons for an Electronic Reasons for an Electronic Records PolicyRecords 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 ...”


Archival ConsiderationsArchival Considerations• Media longevity• Hardware and software

dependence – ASCII format– Micrographic media– Retain the paper

• Archival value is not affected by “... physical form or characteristics ...”


Think AheadThink Ahead

• Will your records live long enough?– Paper and microfilm have proven

longevity

• Information of archival value must survive, no matter the inconvenience.


ResourcesResources

• Government Records Branch

http://www.ah.dcr.state.nc.us/sections/archives/rec/default.htm

• Ed SouthernAssistant State Records [email protected]

919-807-7353


Contact InformationContact Information

Government Records BranchMailing Address Street Address4615 Mail Service Center 215 N. Blount St.Raleigh, NC 27699-4615 Raleigh, NC Phone: 919/807-7350 Fax: 919/715-

3627Courier: 51-81-20

Documents

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