Record Retention Policies: How Long Do We Keep This Record? Pari J. Swift, CRM, Senior Records Manager

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1 Record Retention Policies: How Long Do We Keep This Record? Pari J. Swift, CRM, Senior Records Manager

2 No Records Management? Every 12 seconds 1 document is lost. 28,800 seconds (8 hour day)/12 =2400 documents lost each day

3 No Records Management? Computer users spend 7.5% of their time on a computer looking for files. 260 work days/year 2080 work hours/year x = 156 hours/year = 19.5 days/year Time spent looking for files.

4 Purpose of Records Management Ensure that records are available when needed Internally for office functions Public records requests Discovery Protect records from improper or unauthorized destruction Ensure that records are not retained unnecessarily Destroy records when retention period has expired Retaining records too long can be as much of a liability as not retaining them for long enough.

5 Goal of a Records Management Program Establish a systematic, repeatable, documented process for the retention and disposition of records created and maintained by the public office.

6 County Records Commission ORC Member of the Board of County Commissioners as chairman Prosecuting Attorney Auditor Recorder Clerk of Court of Common Pleas Meet at least once every 6 months Can hire an archivist or records manager Shall appoint a secretary who may or may not be a member of the commission Notify local historical societies

7 Records Commission Responsibilities Provides rules for retention and disposition of records Reviews and approves: Retention Schedules (RC-2) Applications for One-Time Disposals (RC-1) Meetings Open to public Notice must be given Detailed minutes kept

8 Conducting a Records Analysis

9 What is a record? (ORC ) Stored on a fixed medium Paper, computer, microfilm, audio/video, etc. Created, received or sent under jurisdiction of public office Serves to document: Organization -Procedures Functions -Operations Policies -Other activities Decisions All records, public or not, are subject to records management and retention laws.

10 Basic Components of a Records Analysis Office(s) the record series is common to 4 values that determine retention Descriptive Title Retention Period Record Series Description Media formats

11 Retention Schedules Include information for each series that: Describes the purpose and/or function (use) Tells what types of information can be found in the series Create the retention schedule for someone who has no knowledge of the records.

12 Determining Retention Periods Administrative Value Used by office or agency to carry out its duties Based on how often or for how long a record is used Would the program be in jeopardy upon the disposal of the record Examples: phone records, meeting agendas, annual reports Consult Office of Origin

13 Determining Retention Periods Fiscal Value Pertains to the receipt, transfer, payment, adjustment, or encumbrances of funds Required for audit Examples: canceled checks, purchase orders, budget reports, voucher books Contact: Auditor, Treasurer

14 Determining Retention Periods Legal Value Documents or protects rights or obligations of citizens or of the agency that created it Retain until legal rights and obligations expire Examples: contracts, opinions, case files, deeds, birth/death/marriage certificates Contact: Prosecutor/Legal Counsel

15 Determining Retention Periods Historical value Documents an agencies' organization, policies, decisions, procedures, operations, and other activities Contains significant information about people, places, or events Secondary value: source of information for persons other than the creator Examples: Photographs, maps, court records, tax records, speeches, deeds, minutes Contact: OHC State Archives/LGRP

16 Determining Retention Periods Retention periods are determined and expressed in three ways Time Event Time and Event or Action Set retention period to the longest value

17 A Note about Storage Media STORAGE MEDIA STORAGE MEDIA RECORD SERIES RETENTION PERIOD It is not a matter of how long we can keep records, it is a matter of how long we should keep records. In fact, the determined retention period may ultimately play a role in determining the best storage media for a particular record series

18 RC Forms and Processes

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20 In advance of meeting RC-2 Approval Process Office of Origin Copies returned to commission Commission sends copy to office of origin 60 days review Can send via Records Commission State Archives Original retained at OHC 60 days to approve or reject Auditor s Office

21 Purpose of Retention Schedules Compliance It s the Law! Provides for ongoing records disposal Prevents build-up of unnecessary record Saving space Improving efficiency Legal Asset Negotiate public records requests List of records kept by office $$$ Create schedule for someone who has no knowledge of the records

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25 Certificate of Records Disposal (RC-3) Submit original to Records Commission, which will submit it to OHC. Keep copy in your department files Can now be submitted via provided OHS can add electronic dates and comments If there are records OHC wants to select for archival storage, they will contact you prior to the proposed date of disposal If there are not records OHC wants to select, you will not be contacted or receive a copy of the form back

26 Record Disposals Not just when you have to Dispose at regular intervals

27 Importance of Documenting Disposition Administrative Your agency knows whether the records still exist or not Legal Proof that your agency complied with retention schedules Shows the authority by which records were disposed Shows the appropriate amount of time had passed prior to disposition E-Discovery Demonstrates consistent business practice

28 For More Information: Ohio History Connection State Archives

29 RECORDS AREN T JUST PAPER CAN BE A RECORD TOO!

30 What record series can come out of an envelope?

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32 What record series can come out of an ?

33 Each time your send or read an , make an immediate decision:

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35 Most specific to least specific Use the most specific record series? File in most specific file. Is it general in nature? *General Correspondence Does it meet the definition of a record at all?

36 Why can t we just keep all & e-records? Increases Storage space Maintenance costs Retrieval time Public records requests Cost of e-discovery production and preservation Liability Decreases Ability to quickly locate Defensibility Compliance There is a line between business value and over preservation retention schedules define that line upfront

37 EMPLOYEE SEPARATION

38 When an Employee Leaves Records retains their record status If saved to functional file share it will be: Searchable and retrievable Deleted in accordance with proper retention schedule Manager should Request access to employee s mailbox Request access to employee s individual file space Review as part of separation procedures

39 New Hire orientation Importance of Records Management Records Policies and Procedures Whose records are they? Whose are they not? Office Records Management Practices Retention schedules Filing guidance, including Why following this guidance is important to the employee.

40 Importance of a separation procedure Avoid operational disruptions Maintain compliance Public records laws Retention/Disposition laws Discovery/E-Discovery requirements Manage litigation holds Nobody knows your records like you do Locked down/hidden records

41 guidance includes: Transient records retention schedule Link to posted retention schedules Guidance on record v. non-record v. copy Checklist of places to look for records Whom to contact Records Management offer of assistance

42 Instruction accounts Shared drives (personal and business units) Document management system Desktop Removable media Hardcopy Ensure official s saved to DMS Individual workspace No official records Saved to DMS Complete disposal form if past retention All others deleted after 6 months per transient retention Classified by series or function instead of by person Locked down workspaces or folders Inactive label and send to storage Nothing under litigation hold Checked out items Nothing under litigation hold Nothing under litigation hold Ongoing label and pass on to next person

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44 MEDIA FORMATS

45 Which have you ever used or found:

46 What is the longest retention period for a record in the Commissioner s Office? 5 years 15 years 50 year Permanent

47 Why are some Commissioners records permanent? A. They are pretty to look at B. We have the space, so why not? C. Historically valuable D.Legal record of actions taken E. Our public records request stats need a boost

48 Ensuring Access: 3 Goals 1. Availability 2. Readability 3. Authenticity

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50 How is it that these clues survived 200 years?

51 Life Expectancy of Analog Formats 1000s of years if stored properly

52 How would the story have changed?

53 Here s Why Probably had no idea that the flash drive: Stored records Contained something worth retrieving

54 But let s say Ben s history prowess told him the flash drive was once an information storage device Decay of physical media Hardware obsolescence

55 Loss of information about format Software obsolescence

56 But structure lost Content may still exist

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58 What does this all mean? Technology will change. Media will degrade. It s your job to make sure that the record is still available, readable, and authentic until it s met retention.

59 So, how do I think the story would have changed?

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61 Permanent Electronic Records Just because the law allows for it doesn t mean it is

62 Permanent Records Electronic storage has its downsides: Cost Hardware Software Tech support Migration every 5-10 years Time Requires constant care and upkeep Liability no accidental survival Unstable media

63 Liability If retention=permanent, your office has an obligation to always (forever) be able to: Provide access Prove reliability and authenticity Just having the data isn t enough! And if you can t

64 Electronic Storage is Great For: Access Functionality Internal Search External Reuse Multiple Users Manipulating Data

65 Digitization Factors to Consider How long will it take to convert to digital? How frequently do you reference? Is it worth time and cost of conversion? Do you need it in a manipulatable format? Can you afford costs associated with maintaining over the long term? Is authenticity important?

66 Long-Term Access Strategies Keeping Records Digital Backward Compatibility (or Computer Museum) Recopying Media Conversion Format Migration Creating Analog Copies Microfilm Print to Paper

67 digital information lasts forever or five years, whichever comes first. Jeff Rothenberg Ensuring the Longevity of Digital Information

68 Pari J. Swift Senior Records Manager Ohio Attorney General s Office Pari.Swift@OhioAttorneyGeneral.gov