Office of Secretary of State Brian Kemp Records Management Amelia Winstead Government Services Coordinator Records & Information Management Services Georgia

Office of Secretary of StateBrian Kemp

Records Management

Amelia WinsteadGovernment Services Coordinator

Records & Information Management ServicesGeorgia Archives

Data Collection ConferenceAugust 2011

Office of Secretary of State

Brian Kemp

Goal of RM is to ensure that records are properly retained for legal, compliance and business purposes, and properly disposed of when no longer needed.

Part of larger profession of Information Management.

What is Records Management?


Brian Kemp

Total Cost of Failure - Lack of compliance with state &

federal law, rules, and regulation Citations on audit Government investigation Lawsuits Costs to recover and search for

records

RM - Why is it so Important?


Brian Kemp

Requirements for Records Management

Georgia Records Act (O.C.G.A. §50-18-90 et seq.)

Requires each agency to: Create and maintain adequate and proper documentation to

protect the legal and financial rights of the government and its citizens

To protect records from removal, damage or loss

To establish and maintain a records management program and designate a records manager

To develop retention schedules for agency records and destroy records only in accordance with those schedules


Brian Kemp

Georgia Open Records Act (GORA) (O.C.G.A. §50-18-70 et seq)

Requires each agency to:

Allow the public to inspect and take a copy of any open public record in the custody of the agency – in all media

Establish and enforce reasonable rules governing access to the public record

Requirements for Records Management


Brian Kemp

The Records Act and GORA establish a framework in which agency must:

Know what information & records it creates and maintains

Know how long to keep information Establish policy & procedure for the

management of information Manage information in ALL media and

formats

Compliance


Brian Kemp

The basics. . . .

What is a Record?Why are Records important?What is a Retention Schedule?

Let’s Get Started


Brian Kemp

Records management is the control of recorded information

Recorded information is any and all information created, received, maintained, or used by an organization in accordance with its mission, operations, and activities

What is a Record?


Brian Kemp

All documents, papers, letters, maps, books, tapes, photographs, computer based or generated information, or similar material prepared and maintained or received in the course of the operation of a public office or agency.

What is a Record?


Brian Kemp

A list of records maintained by all or part of an organization together with the period of time that the records are to be kept.

What is a Retention Schedule?


Brian Kemp

Types of retention schedules:

Common Schedules: retention schedules for records common to all agencies, such a payroll records or personnel records.

Agency Specific Schedules: retention schedules for records unique to a single agency.



Brian Kemp

Retention schedules are the legally required retention periods for which the records shall be maintained under normal business conditions. By statute,

“Approved retention schedules, once approved, shall be authoritative, shall be directive, and shall have the force and effect of law” (O.C.G.A. § 50-18-92(a)).

Litigation, audit, or special department requirements may require the maintenance of the records for a longer period of time.



Retention of records:

Local Government Records Schedules

State Government Records Schedules and Agency Specific Records Schedules

http://sos.georgia.gov/archives/who_are_we/rims/retention_schedules/default.htm

Retention Schedules




Brian Kemp

The fundamental rule for implementing retention schedules is that every record an agency creates (regardless of whether the records are kept in paper, microfilm, or electronic format) must either be identified by an agency specific schedule or a common schedule before disposal.

There are no exceptions.

Implementation


Brian Kemp

Next Steps. . .

1. When to implement schedules.2. What is disposition?3. Destruction of records

Implementation


Brian Kemp

Disposition:

Disposition is the action taken with the records following the end of the retention.

What is Disposition?


Brian Kemp

Three classes of disposition:

1. Destruction2. Temporary storage – Records Center3. Permanent storage – Archives

Implementation

Calculating Destruction Dates:

Year Created Retention Period Retention Count Eligible Destruction Date

Calendar Year

(Jan. 1, 1986 – Dec. 31, 1986)

1986 10 years

1987. 1988. 1989. 1990, 1991, 1992, 1993, 1994, 1995, 1996

1/1/1997

Fiscal Year

(July 1,2000- June 30, 2001)FY 2000 3 years

FY2001 (07/2001-06/2002)

FY2002 (07/2002-06/2003)

FY2003 (07/2003-06/2004)

7/1/2004

(FY 2005)

Federal Fiscal Year

(Oct 1, 2007- Sept 30, 2008)

FFY2007 2 years

FFY2008 (10/2008 – 09/2009)

FFY2009 (10/2009-09/2010)

10/1/2010

(FFY 2011)

School Year(August 4, 2009-May 21, 2010)

SY2009 1 year SY2010 (09/2010- 08/2011)

9/1/2011 (SY2012)

Disposition - Destruction


Brian Kemp

Destruction

Georgia Law [O.C.G.A. 50-18-95 (b)], Confidential records are to be destroyed in such a manner that they cannot be read, interpreted, or reconstructed

Methods differ with various media



Brian Kemp

Media matters

Paper – landfills, recycling, shredding

Microfilm – silver reclamation, remove from

spool

Magnetic – overwriting, degaussing

Witnessing destruction



Brian Kemp

Not all records will be eligible to be destroyed.

Some records will be identified with the retention of “Permanent.”

Disposition - Storage


Records & Information Management Services404-756-4860

FAX 678-364-3860

http://www.sos.ga.gov/archives/Under ‘Most Popular’ click on Records

ManagementBookmark this site!

Questions?

http://www.sos.state.ga.us/archives/rms/grms.htm

Documents

Office of Secretary of State Brian Kemp Records Management Amelia Winstead Government Services Coordinator Records & Information Management Services Georgia