Records Retention 101 for Maryland Clerks

Transcription

1 International Institute of Municipal Clerks Region 2 Conference Records Retention 101 for Maryland Clerks Kathryn Baringer Director, Appraisal and Description Maryland State Archives

2 Overview Maryland State Archives Records management Creating retention schedules Transferring records Destroying records Other helpful information

3 Maryland State Archives Central repository Permanent records Colonial, State, county, local Executive, legislative, judicial Records and publications Other collections

4 Records Management What is it? Legal requirements Public officials Records Benefits Future

5 Records Management Standardized Preserving permanent Destroying non-permanent

6 Purpose of Records Management Protect essential records Secure rights and privileges Promote accountability Document agency history

7 Legal Authority Annotated Code State Government to -647 COMAR Annotated Code Criminal Law 8-606

8 Records Management Program Continual, economical, and efficient Ensure security Retention schedule Prompt and orderly disposition

9 Other Legal Responsibilities Store and protect records Designate a Records Officer Recovery of fugitive records

10 Who is a Public Official? Broadly defined State, county, city, or town Executive, legislative, judicial Elected, appointed, or hired

11 What is a Record? Any documentary material created or received by an agency in connection with the transaction of public business Includes any format

12 Office of Record Needed for business? Reference copies

13 Multiple Versions Record copy Electronic versions Reference copies

14 Transitory Records A record by definition Only momentary value Creator s discretion

15 Benefits Compliance Transparency Preservation Efficiency Space savings Cost savings

16 Future of Records Management Transitory records Move to electronic records Improved guidance Reviewing records management

17

18 Resources for Government

19 Records Management Website

20 Records Management Website

21 Schedule Creation

22 Questions about Records Management?

23 Retention Schedule Overview Define Benefits Creation Approval Revision Finding schedules

24 Retention Schedules Legal requirement Agency created State approved Include all records Authorization to: destroy non-permanent transfer permanent

25 Benefits Compliance Identification Planning Disposition

26 Schedule Process 1. Inventory 2. Appraisal 3. Retention schedule draft 4. Submission 5. Review and possible revision 6. Approval

27 Inventory What do you have? Organized by series

28 Record Series Logical grouping Use similarly File together Same retention General series Specific series

29 Inventory Form

30 Inventory

31 Agency Info Page Number Series Content Series Setup Access and Auditing Use and Location Contact

32 Agency Information 1. Department/Agency 2. Division 3. Unit

33 Record Series Content 4. Record series title 5. Earliest/Latest year 6. Record series description Function Purpose

34 7. Format Letter size Legal size Audio Tape Bound Book Microfilm Computer Tape Floppy Disk Video Tape Other (specify)

35 8. Record Series Sequence Alphabetical Numerical Chronological Geographical Other (specify)

36 9. Volume Number File Drawer(s) Microfilm Reel(s) Computer Tape(s) Other (specify)

37 10. Annual Accumulation Number File Drawer(s) Microfilm Reel(s) Computer Tape(s) Other (specify)

38 11. File is Used Daily Weekly Monthly Annually

39 12. File Becomes Inactive Number Months Years

40 13. Location Building, floor, room Electronic location

41 14. Duplication Duplicated elsewhere? Specify where

42 15. Access Access restrictions Legal citation

43 16. Audit None State Federal Independent

44 17. Index Indexed? In what way?

45 18. Recommended Retention Based on appraisal

46 Contact Information 19. Name and title of preparer 20. Phone number & address 21. Date

47 Agency Info Page Number Series Content Access Updates Location Contact

48 Agency Information 1. Department/Agency 2. Division 3. Unit

49 Record Series Content 4. Record series title 5. Earliest/Latest year

50 Input/Output 6. Input Source of info 7. Output Use of info

51 8. Record Series Description Function Purpose

52 9. Access and Use Who? When? Why?

53 10. Updates How often? Under what conditions? Rules?

54 11. Location Physical location Medium Establish usability

55 12. Recommended Retention Based on appraisal

56 Contact Information 13. Name of preparer 14. Phone number & address 15. Date 16. Title of preparer

57 Questions about Inventories?

58 Appraisal Overview What is it? Criteria for appraisal Types of retention Off-site storage & local archives Electronic records

59 Appraisal Assess worth Determining what to keep Permanent vs. non-permanent How long do you need it?

60 Appraisal Criteria Statutory requirements Administrative value Legal value Fiscal value Historical value

61 Statutory Requirements Statutes and regulations Audits Consult legal counsel

62 Administrative Value Operational Essential records

63 Legal Value Proof of transactions Verification of compliance Secures rights Of agency Of the public

64 Fiscal Value Establish obligations Of your agency To your agency

65 Historical Value Document past Basis for future

66 Historical Value Development Mission Programs and products Achievements and failures Significant events and people

67 Appraising Value Does value cease? If so, when? If not, how long do you need it on site?

68 Types of Retention Length Time based Dependent on criteria Criteria and time Multiple conditions

69 Retention - Time Specify amount of time Specify what happens then

70 Retention - Time Retain for 6 months, then destroy. Retain for 10 years, then transfer to Maryland State Archives for permanent retention.

71 Retention - Criteria Specify criteria Specify what happens then

72 Retention - Criteria Retain until contract expires, then destroy. Retain until superseded, then transfer to Maryland State Archives for permanent retention.

73 Retention Criteria &Time Specify criteria and time Specify what happens then

74 Retention Criteria &Time Retain for 3 years after expiration, then destroy. Retain for 5 years after case is closed, then transfer to Maryland State Archives for permanent retention.

75 Retention Multiple Criteria Specify each Specify precedence Specify what happens then

76 Retention Multiple Criteria Retain until vehicle sold or for two years, whichever is sooner, then destroy. Retain for five years or until client reaches the age of 25, whichever is later, then destroy. Retain for three years and until all audit requirements are met, then destroy.

77 Screening Ongoing appraisal Decision on permanence Decision on retention Not recommended

78 Screening Non-permanent Minimum retention Regular screening Specify criteria

79 Screening Non-permanent Non-permanent. Retain 1 year. Then screen annually and destroy records with no further administrative value. Retain for three years and until administrative value ceases, then destroy. Non-permanent. Screen annually and destroy records with no further administrative value.

80 Screening for Permanence Screen for value Regular screening Screening criteria

81 Screening for Permanence The following criteria should be used for determining when a file is selected for permanent retention and forwarded to the Maryland State Archives. A case in the Supreme Court of the United States A case when judgment/settlement was in excess of $1 million. A class action suit A capital case Any case or file considered to be of archival value for the history of the State of Maryland.

82 Screening for Permanence Screen annually and destroy material that is no longer needed for current business with the following exception: Transfer to the Maryland State Archive for permanent retention any material that serves to document the origin, development, and accomplishments of the office and has continuing administrative, fiscal, legal, or historical value.

83 Screening Alternatives Consider splitting series Permanent retention of non-permanent records

84 Off-Site Storage Can be stored off site Third party facility Consent from Records Management Division

85 Off-Site Storage Retain on site for 3 years, then transfer to offsite storage for an additional 5 years, then destroy.

86 Authorized Local Archives Repository of permanent records COMAR Written request

87 Local Archives - Requirements Records management Qualified archivist Public access Archival storage Environmental controls Security

88 Local Archives Retain for 10 years, then transfer to [local archives] for permanent retention. Retain until superseded, then transfer to [local archives] for permanent retention. Retain for 5 years after case is closed, then transfer to [local archives] for permanent retention.

89 Custody of Public Records Public records remain public records Government retains custody

90 Electronic Records Appraise based on content, not format Multiple versions Different retentions

91 Replacing Paper with Electronic Case by case basis Consider changing creation Consult legal requirements Required specifications

92 Electronic Record Specifications Legibility Completeness Accessible format

93 Sample Language - Scanning Scan to Maryland State Archives standards, then destroy paper. Retain images 5 years, then destroy. Retain for 5 years, then scan to Maryland State Archives standards and destroy paper. Retain images 15 years, then destroy.

94 Sample Language - Scanning Scan to Maryland State Archives standards, then destroy paper. Transfer images every 3 years to Maryland State Archives for permanent retention. Scan to Maryland State Archives standards. Transfer paper and images annually to Maryland State Archives for permanent retention.

95 Questions about Appraisal?

96 Schedule Organization General Specific Schedule sections

97 Schedule Organization By department By function Other organization

98 Schedule Form

99 Schedule Form

100

101

102

103 Important Tips - Clarity Align Clear meaning Describe your records Define retention length Specific disposition

104 Amending an Existing Schedule

105 Replacing an Existing Schedule

106 Informal Submission By Review by Appraisal staff Review by DGS staff

107 Formal Submission Three signed schedules One copy of inventory Submit to Records Management Division Attn: Karin Lott 7275 Waterloo Road P.O. Box 275 Jessup, MD 20794

108 Review Records Management Division Maryland State Archives Appraisal State Archivist Consultation Approval

109 Updating Schedules Review every two years Amend Supersede No change

110 Reasons for Revisions Reorganization Changed retention New records Discontinued records Different formats

111 Finding Schedules

112

113 Scroll Down

114

115

116

117 Questions about Schedules?

118 Transferring Records Guide to Government Records Types of transfers Transfer procedures Requesting records Returning records

119

120 Guide to Government Records Search Options

121 Guide to Government Records Search Browse Filter

122 Browse By Agency

123 Browse By Series

124 Filter

125 Filter

126 Filter - View by Series

127 Filter - View by Agency

128 Record Series

129 Series Number Series Number

130 Jumping to a Series

131 Series Information

132 Restriction

133 Unit Information

134 Unit Information Search Search Sort

135 Helpful Tabs

136 Reference and Research

137 Questions about Guide to Government Records?

138 Transferring Records

139 Types of Transfer New transfers Interfiles go within earlier transfers Refiles returning files

140 New Transfers - Process Box records Submit forms Transfer arranged Transfer Receipt confirmed

141 Packing Your Records Record Center Boxes Maryland Correctional Enterprises Do not overfill Transferring bound volumes

142 Box Assembly

143 Box Labeling

144 Record Condition Assessment

145 Preliminary Inventory

146 Preliminary Inventory - Header

147 Preliminary Inventory - Body

148 Preliminary Inventory Box or Volume Number Title as found on volume or brief description of contents of box Dates Covered by Contents Miscellaneous Notes 1 W40229 (4 jackets), W43559 (2 jackets), W W48014, W48112, W48658, W51231, W51847 (4 2 jackets).,,,,,, W63452, W63453, W63454, W63456, W63457, W63458, W63459, W63460, W63461, W63462, W63463, W63464, W63465, W63466, W63468, W63469, W63470, W63471, W63473, W63474, W63475, W63477, W63478, W63479 (not in box: W63455, W63467, W63472, W63476) W52480, W52530 (2 jackets), W52808, W53258, W53443, W53612, W W54014 (2 jackets), W54289, W54490, W54498, W54617 (2 jackets), W54906, W W55431, W55841, W55950, W56043, W56332, W56488, W W56921, W56930, W57109, W57349, W57533, W57642, W57741, W W57963, W57986 (2 jackets), W58048, W58066, W58107, W58159, W58304, W58388 (2 jackets) W58398, W58408, W58446, W58483, W58498, W58527, W58558, W58561, W58582 (2 jackets) W58593, W58701, W58718, W58732, W58831, W58899, W58933, W59043, W W59125, W59127, W59339, W59343, W59398, W59404,

149 Preliminary Inventory

150 Submitting Forms to:

151 New Transfer Process Acknowledgement Queue Bidding process Transfer Confirmation

152 Questions about New Transfers?

153 Interfile Transfers Shipping you can track & confirms receipt UPS, FED EX, courier, etc. Attn: Sheila Simms 350 Rowe Boulevard Annapolis, MD 21401

154 Interfile Transfers Identify as an interfile Information to include for each file Date File identifier (description) MSA number Location

155 Finding Information in Guide

156 Questions about Interfiles?

157 Records Management Website

158 Information to Request Files Agency Record series (type of record) Date Description of item MSA number Box number Location

159 Finding Information in Guide

160 Submitting Record Requests Fax: (410) Mail to: Attn: Sheila Simms 350 Rowe Boulevard Annapolis, MD 21401

161 Record Request Fulfillment Returned files tracked Tracked shipment Includes coversheet

162 Cover Sheet Requestor Name Requestor Address DATE: Description: Your request for xxx has been processed as a Normal request. (Below are the details) Request ID: FR18562 Case No: 15 Date of Record: 2004 Series Name: Criminal Papers Names on File: John Doe Location: CW/5/32/32 Box No: 14

163 Refiles Shipping you can track & confirms receipt Include cover sheet Mail to: Attn: Sheila Simms 350 Rowe Boulevard Annapolis, MD 21401

164 Questions about Requesting or Returning Files?

165 Record Disposal Authorized by schedule Must report Can report by paper or electronically

166 Record Disposal Process Eligibility for destruction Destroy records Submit form Legal Hold

167 Records Management Website

168

169

170 Paper Form Submission Attn: Kathryn Baringer 350 Rowe Blvd Annapolis, MD 21401

171 Electronic Disposal Certificates

172 Disposal Certificate Accounts Multiple accounts per agency Unique user per account To get an account: Kathryn Baringer at

173 Disposal Certificate Website

174 Creating a Certificate 3. View 1. Enter 2. Add

175 Creating a Certificate Edit

176 When Items Aren t Added

177 Submitting Electronic Certificate

178 Submitting Electronic Certificate

179 Website Dashboard

180 My Certificates - Searching

181 My Account - Updating

182 Disposal Certificates Online

183 Questions about Disposal?

184 Other Useful Websites

185

186

187

188

189

190 Mdlandrec.net

191

192

193

194

195

196

197

198 What We Have

199 What We Have

200

201

202

203 Questions about Websites?

204 Services of the Archives Scanning Electronic record access IPER

205 Scanning Multiple formats Loose paper Bound volumes Oversize Microfilm

206 Scanning Industry standards Archival retention Multiple deliverables

207 Online Access

208 IPER Intergovernmental Preparedness for Essential Records 2 day course Identify and protect essential records Records disaster planning

209 Suggestions? Questions? Let us know! Kathryn Baringer Maryland State Archives