RECORDS MANAGEMENT AND YOU

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1 RECORDS MANAGEMENT AND YOU Carolyn Smith S.C. Archives & History Why Records Management Matters Citizens have a right to know. Records have historical importance. Good records makes your job easier. What Is Records Management? A picture is worth a thousand words ---- pictures show us how not to maintain our records as well as the best way to keep them. 1

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3 Records Management The science that attempts to control the quantity, quality, and cost of recorded information throughout its life cycle. Why do I need to know about Records Management? Records are Everybody s Business: Anyone who creates, files, maintains, or disposes of records is managing records. It is your responsibility to protect the records under your control. Good records management practices saves time and money, physical and electronic storage space, and improves access to information. Why don t I just keep everything? Costly Waste of space and maintenance Difficult to locate vital files Creates liability issues 3

4 What is a Record? Recorded information regardless of medium or format created by your office in the course of business. Records include: Paper: loose sheets or bound volumes Electronic media Maps Photographs Audio, Video Tape; Microfilm What is a non-record? Non-records are materials you did not create or that contain no information including: Blank forms Technical journals Federal and State Publications Junk mail Magazines You do not need a retention schedule to dispose of these items. Simply destroy when no longer needed. What s the point? When determining if something is a record, its format is not relevant. Records created in the course of normal business also creates a legal liability to use and dispose of them properly. 4

5 Is there a Law behind all this? The Public Records Act South Carolina Public Records Act The legal justification for records management. Code of Laws of South Carolina. php Title 30 - Public Records CHAPTER 1. PUBLIC RECORDS, REPORTS AND OFFICIAL DOCUMENTS What is a Public Record?? includes all books, papers, maps, photographs, cards, tapes, recordings, or other documentary materials regardless of physical form or characteristics prepared, owned, used, in the possession of, or retained by a public body (Code of Laws of South Carolina, 1976, Section (c) as amended aka The Freedom of Information Act) 5

6 What is a Public Body?? any department of the State, any state board, commission, agency, and authority, any public or governmental body or political subdivision of the State, including counties, municipalities, townships, school districts, and special purpose districts, or any organization, corporation, or agency supported in whole or in part by public funds or expending public funds... (Code of Laws of South Carolina, 1976, Section (b) Noteworthy Sections of SC PRA SECTION Custodians of records; records officer. The chief administrative officer of any agency or subdivision or any public body is the legal custodian of these records and is responsible for carrying out the duties and responsibilities of this chapter... He may appoint a records officer to act on his behalf. Noteworthy Sections of SC PRA SECTION Archives shall assist in creating, filing and preserving records; inventories and schedules. (A) The Archives may examine the condition of public records and give advice and assistance to public officials in creating, filing, preserving, and making available the public records in their custody in preparing an inclusive inventory of records in their custody and establishing records schedules mandating a time period for the retention of each series of records [which] must be approved by the governing body of each agency and by the Director of the Archives. 6

7 Title 30 SC Code of Laws SECTION (B). Code of Laws of South Carolina, 1976, as amended, authorizes the South Carolina Archives to create retention schedules. See What do Retention Schedules Do? Provides uniform guidelines for retaining information. Ensures that records are being retained for as long as needed for administrative, legal, fiscal or other uses. Complies with Federal & State laws, regulations and policies. Provides the legal authorization to destroy public records. A Retention Schedule Names the record Describes the purpose and informational content of the record States the minimum length of time the record must be retained 7

8 Types of Retention Schedules General & Specific General Schedules State Regulations issued by the Archives and approved by the Legislature. Published in the Code of Laws of South Carolina, 1976, as amended. Municipal General Schedules 8

9 Municipal General Schedules Specific Retention Schedules Created by the Archives Contains your Office Name and a unique 5-digit schedule number Must be reviewed and approved by the Department Head, Governing Body Chairman and the State Archives Director Cannot be implemented until after the approval process is finalized Specific Retention Schedule 9

10 Approval Form for Specific Retention Schedules Establishing a Specific Retention Schedule Complete an inventory form ( Form Number: ARM-1 ) Submit completed inventory forms to the Archives 10

11 How to use Retention Schedules? Match records to titles/descriptions in the general schedules, or, to an approved specific retention schedule. Periodically cut off the files. Segregate inactive and obsolete files. Destroy inactive records when the minimum retentions are met (unless records are needed for audits or legal purposes). Dispose of records on a regular basis. Public Records Act 11

12 Records Disposition Process Paper Records After the records have met the required retention period as defined by the retention schedule, the paper can be destroyed. Digital Images Records converted to electronic format may be destroyed as long as you comply with the Archives guidelines for Records stored as Digital Images. (see Technical Leaflet # 13) Records Destruction Before destroying any public records you must have an approved retention schedule. There are two forms used to report records destruction to the Archives. (ARM-11 and ARM-13) 12

13 Destruction of Paper Records After Converting to Digital Images: Complete an ARM-13 form Authorization for Destruction of Original Paper Records Stored as Digital images Submit the form to the Archives for the approval signature of the Director. Retain a copy of the approved ARM-13 form in your files permanently. 13

14 Reporting Records Destruction to the Archives SC PRA - Section (D) (D) No records of long term or enduring value created, including those filed, kept, or stored electronically, or those records converted from paper to magnetic, optical, film, or other media in the transaction of public business may be disposed of, destroyed, or erased without an approved records schedule. All records disposals that are carried out in accordance with duly approved records schedules must be documented and reported in accordance with procedures developed by the Archives. Submission of Destruction Forms Mail, Fax and/or destruction forms to the Archives: S.C. Department of Archives & History 8301 Parklane Rd Columbia, SC Fax: cpsmith@scdah.state.sc.us 14

15 is a method of transmission Like US mail, is a form of correspondence Must be classified and retained according to informational content Retention Depending on the information in the , its retention can vary from permanent to immediate deletion. Screen according to informational content containing information considered to be part of a record series should be filed within associated paper or electronic record files. systems are not recordkeeping systems. Messages should only be stored in an system temporarily. Retaining important records in the system disconnects it from other related information and makes it susceptible to loss. Important records should be relocated immediately to a separate electronic filing system, or printed to paper and filed with an existing paper filing system. 15

16 Categorizing s considered part of a record series that has a an approved retention schedule: Retain until the record is copied and/or printed and filed within the associated paper file or electronic file, then delete. (At this point the becomes a reference copy) Personal or Non-Record s: Retain until no longer needed, then delete. Recommendations for Handling Develop an internal Policy showing consistency in managing communications. Determine which office is responsible for retaining the official record copy. Include procedures for organizing, storing, maintaining, accessing, and disposing of records. Define how users must manage their accounts including the regular removal of personal and transitory messages from mail boxes. (Electronic Records Management Guidelines Management ) Electronic Records Eleven Guidelines, including: Digital imaging Digital signatures File naming Digital media and storage 16

17 The South Carolina Department of Archives and History Homepage: Local Records Services Carolyn Smith (803) General Schedules can be accessed on our Website: Technical Leaflets can be accessed on our Website: 17

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