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 Analystglenn.smith@lva.virginia.gov

All forms and schedules, as well as additional resources, available at:www.lva.virginia.gov/agencies/records