Retention and Disposition of Educational Records

Eunice G. DiBella, CRMPublic Records Administrator

Connecticut State LibraryMarch 2, 2007

Background of Public Records Administration

In 1903, Connecticut became aware of the need to monitor public records.

In 1904, the first Examiner of Public Records was appointed.

In 1905, the legislature passed An Act concerning a Temporary Examiner of Public Records.

In 1911, the General Assembly creates the post of permanent Examiner of Public Records as assistant to the State Librarian.

RECORDS MANAGEMENT IN THE STATE OF CONNECTICUT

• The Connecticut State Library is the public records office for the State of Connecticut.

• Authority for this program is granted to the State Library in §11-8 and §11-8a and §7-109 of the General Statutes.

OFFICE OF THE PUBLIC RECORDS ADMINISTRATOR

STATUTORY RESPONSIBLITIES

• Public Records Administrator is given authority under CGS §11-8 to “…preserve and administer . . . public records” and …carry out a records management program for all state agencies within the executive department and for all towns, cites, boroughs, districts and other political subdivisions of the state . . .”

CGS §11-8a

Under CGS §11-8a the Public Records Administrator is responsible for:

• Developing retention schedules. • Directing a records management program for

state and local government.• Approving and operating records storage

facilities.• Identifying and preserving essential state and

municipal records.

CGS §7-109

• The PRA and State Archivist reviews all disposal requests.

• Records may not be destroyed or transferred to a certified repository until the Office of the PRA has returned a signed disposal authorization form to the requestor.

CGS §7-109

• “Any official, board or commissioner of a municipality may, with the approval of the chief administrative officer of such municipality and of the Public Records Administrator, destroy any document ... after such document has been held for the period of time specified in a retention schedule adopted by the Public Records Administrator.”

Items that do not appear on Retention Schedule

• If an item does not appear on a schedule, it does not mean that it may be destroyed or transferred without permission from the PRA.

• These records may be eligible for destruction or transfer.

• You may still use the RC-075 form, leaving the item number column blank.

http://www.cslib.org/publicrecords/retschedules.htm

South Haven Public Schools 3/2/2007Julianna Rudolph 203-789-2211

11 Boston Post Road, South Haven, CT 06000

Julianna Rudolph

Dayley Richards

John R. Smith

M8-050 Adult ed registration records 6/2002 6/2005

3/2007

2/27/07Mark Jones 2/27/07

M8-310 Sports physical examination 7/1999 6/2000

3/2007

M8-370 Student emergency info cards 7/1999 6/2000 3/2007

Dead File

`

ELECTRONIC RECORDS AND E-MAIL

• “Connecticut Uniform Electronic Transactions Act” as codified in CGS § 1-266 to 1-286 regulates electronic transactions and signatures.

• CGS § 1-267(7) and (8) defines electronic records and electronic signatures.

• “Electronic record” means a record created, generated, sent, communicated, received or stored by electronic means, including but not limited to, facsimiles, electronic mail, telexes and Internet messaging.

• “Electronic signature” means an electronic sound, symbol or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record.

ELECTRONIC RECORDS AND E-MAIL (Cont.’)

ELECTRONIC RECORDS AND E-MAIL (cont.’)

• Sec. 1-282. Creation and retention of electronic records and conversion of written records by governmental agencies. Except as otherwise required by the State Librarian or the Public Records Administrator in accordance with sections 11-8 and 11- 8a, each governmental agency in this state shall determine whether, and the extent to which, it will create and retain electronic records and convert written records to electronic records.

ELECTRONIC RECORDS AND E-MAIL (cont.’)

• Sec. 1-283. Acceptance and distribution of electronic records by governmental agencies. Interoperability. Regulations. (a) Except as otherwise provided in subsection (f) of section 1-277, each governmental agency in this state shall determine whether, and the extent to which, it will send and accept electronic records and electronic signatures to and from other persons and otherwise create, generate, communicate, store, process, use and rely upon electronic records and electronic signatures.

ELECTRONIC MAIL

• GL 98-1, “Electronic and Voice Mail, A Management Guide for State and Municipal Government Agencies” explains retention guidelines for e-mail messages.

ELECTRONIC MAIL

• E-mail is subject to disclosure and discovery.

• Another example of an electronic (machine readable) record.

• E-mail messages sent or received in the conduct of the public’s business is a public record.

RETENTION GUIDELINES FOR ELECTRONIC MAIL

• Transitory messages have no retention requirement.

RETENTION GUIDELINES FOR ELECTRONIC MAIL

• Messages that are less than permanent follow the retention period for the equivalent hard copy record as specified in an approved retention schedule. The record must be retrievable for the minimum retention period required.

RETENTION GUIDELINES FOR ELECTRONIC MAIL

• Messages that are permanent or permanent archival must be retrievable for the life of the record. Maintain human readable copy i.e. paper or microfilm.

CURRENT ISSUES INRECORDS AND INFORMATION

MANAGEMENT• System obsolescence and data migration

are key issues for municipalities

• Information as an asset and commodity

• Who controls the information?

WHO IS IN CONTROL OF YOUR TOWN’S RECORDS?

• Information Technology (IT) personnel are now asking question about records retention.

• IT personnel have become the de facto custodians of records.

WHO IS IN CONTROL OF YOUR TOWN’S RECORDS?

• IT personnel are making decisions about retention, disposal, and access to information.

• Records managers (and creators) are losing control of the information they are responsible for creating and maintaining.

• Government agencies can lose control over information that is outsourced.

BE PREPARED FOR CHANGE AND ACCEPT IT

MAKE SURE THAT YOU ARE PART OF THE DECISION

MAKING PROCESS!