How Long to Keep Records & Legally Dispose of Them. Virginia Fritzsch Public Records Archivist Wisconsin Historical Society

Transcription

1 How Long to Keep Records & Legally Dispose of Them Virginia Fritzsch g Public Records Archivist

2 Topics Background: municipal clerks & WHS Public Records law Six basic steps in managing records Legally disposing of your records -- Transfer to the WI Historical Society -- Destruction ti E-records and/or

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4 Public Records Laws A public record is information you create or receive in fulfillment of your government work Public records are the property of the local l government and not the individual May keep records in microfilm, optical disk or electronic format provided it meets standards Follow standards for microfilm, optical disk & e-records eco

5 Public Records Laws (continued) Access to public records guaranteed by statute Local officials responsible for preserving & making accessible their public records for as long as required by state t law responsible for preserving and making accessible public records that are historical

6 Public Records Laws Requirements for local governments Enact ordinance authorizing destruction (Wis. Stat (4a) Retain the records for at least the minimum period of time (Wis. Stat (4b) Records cannot be destroyed d without notification to the Historical Society (Wis. Stat (4a)

7 2 key records management concepts Records series: records kept together as a unit because they: -- relate to a particular subject result from the same activity have a particular form Life cycle (of a record): the life span of a record from its creation or receipt to its final disposition.

8 Life Cycle of a Record BIRTH creation or receipt DEATH destroy AFTERLIFE Historical Society ACTIVE LIFE frequent use DISPOSITION end of retention SEMI-RETIRE file & sometimes retrieve RETIREMENT store

9 How to Set up your Records Program Six basic steps: 1. Put someone in charge 2. Define your objectives 3. Inventory your records 4. Organize your records 5. Schedule your records in an ordinance 6. Dispose of your records

10 1. Put someone in charge Records management responsibility should be part of A person s job description An advisory committee may help Obtain administrative support for records management and the long-term care of records. Educate them to make it a priority. it

11 1. Put someone in charge (continued) Administrative support Administrators want to know why they should care about records. Because Protect our rights Prove individual identity Ensure efficient government Document heritage and enhance education

12 Put someone in charge (continued) Administrative support Why should they care NOW? To make sure the next disaster does not destroy the records you need most To halt the less dramatic but equally destructive effects of neglect To make sure that digital records survive

13 2. Define your objectives Overall objectives Identify additional areas of specific concern

14 3. Inventory your records Define all data to collect Include ALL records Provide accurate information Inventory by records series Look at total system

15 4. Organize your records Establish control of records from time of creation or receipt Establish a systematic file organization file by records series -- keep it simple & keep it uniform Maintain files on a daily basis

16 5. Schedule your records in the form of an ordinance This schedule should satisfy 3 somewhat interrelated state record requirements for local government records -- Enact ordinance authorizing destruction -- Retain records for required time -- Notify WHS before destruction

17 S (4)(a) Any city council, village board or town board may provide by ordinance for the destruction of obsolete public records. Prior to the destruction at least 60 days notice in writing of such destruction shall be given the historical society which shall preserve any such records it determines to be of historical interest..

18 s (4)(b) The period of time any town, city or village public record is kept before destruction shall be as prescribed by ordinance unless a specific period of time is provided by statute

19 Requirement #1 Enact an ordinance Two parts: -- Purpose, definitions, general provisions. Applies to all records -- Records schedule. List of records series with retention and disposition iti assigned

20 [sample schedule] General Information I. Purpose The purpose of this records retention schedule is to authorize destruction of [municipal] records pursuant to the schedule on an annual basis. Records custodians may destroy a record prior to the time set forth in the schedule only if such a record has been photographically reproduced as an original record or converted to optical disc or electronic format pursuant to s (7) Wis. Stats. Any record not covered by this ordinance or any regulation or law shall be retained 7 years unless the record is added by amendment into the ordinance and the shorter time period approved by the state Public Records Board.

21 [sample schedule] General Information II. Definitions Legal Custodian means the individual responsible for maintaining records pursuant to Section Wis. Stats. Record has the meaning defined in s.19.32(2), Wis. Stats. III. General Provisions A. Historical Records-Notification to State Historical Society of Wisconsin Under s (4)(a) local governments must notify the State Historical Society of Wisconsin (SHSW) 60 days prior to destroying records. The SHSW has waived the required 60 day notice for any record designated Waived (notification requirement waived) in the retention schedule. The SHSW must be notified 60 days prior to destruction of any record designated with Notify

22 Sample Schedule RECORD RETENTION AUTHORITY NOTIFY SHSW C. Clerk 1. [Personnel] EVT + 4, EVT= date hired State General No interview documentation DESTROY CONFIDENTIAL Schedule for Personnel records 2. General Ledger FY + 15 FY +7 Yes 3. Board of Review Creation + 7 s (8)(f) Yes Minute Book 4. Budget worksheets Creation + 7 FY + 3 No 5. Applications for operators licenses Creation + 4 s No

23 Requirement #1 Enact an ordinance (continued) Can obtain a model ordinance from: Harold Coltharp, Executive Secretary State of Wisconsin Public Records Board 4622 University Ave., Room 10A Madison, WI Harold.Coltharp@state.doa.wi.us See also the WI Municipal Records Manual: y /locguide.asp See WMCA manual

24 Requirement #2 Retain records For any records not listed on the ordinance or statutes, the default is 7 years. Follow your ordinance. Keep records in a good storage environment until the retention period has expired.

25 Factors that can threaten your records Light Relative humidity Temperature Pests Dust, dirt & pollutants Security; fire and water

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27 Records of long-term retention ( years) Stable storage media acid free paper, folders, boxes -- microfilm black & white photography Environmental controls -- constant temperature and relative humidity

28 Requirement #3 Notify the WHS If ordinance was approved by the PRB -- Notify only for those series marked notify -- Notify for any series not on the ordinance If you do not have an ordinance -- Notify WHS before disposing of ANY public record unless WHS previously granted a waiver For how to notify WHS see the web site: org

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31 Disposing of records If applicable transfer to the Historical Society OR Systematically destroy in the regular course of business Non confidential: recycle Confidential: shred E-records: talk to IT and delete ALL copies

32 What Do I Do With These Records? Take good care of them Well organized Stored in an appropriate environment Easy to find and make available to the public

33 What Do I Do With These Records? Keep them for the required length of time According to your records retention ordinance Notify the WHS if necessary, then either Transfer to WHS Dispose of them in a responsible manner

34 Common sense guidelines If it is not a public record and you don t need it, don t keep it. If you do need to keep it, keep it in a way that you can find it. The more you keep the harder it is to find. When it has outlived its purpose and met its retention period, get rid of it. If it is worth more, spend more to protect it.

35 ELECTRONIC RECORDS

36 E-records: information in a form that requires a machine (hardware/software) to process Include digital images, , databases, word processed documents, spreadsheets, CAD, GIS, web pages, etc. Dependent upon specific hardware and software to be accessed and used Original technology used to create electronic records will eventually be obsolete Need to work with IT staff to develop preservation plans for retaining electronic records long-term (more than 10 years)

37 Electronic records Long-term access to records of enduring value stored on optical digital data disk involves more, however, than image quality, system functionality, and media stability. Adoption of digital information storage on optical digital data disk effectively bind the agency to a technological evolution that it does not control.

38 Common misconceptions Electronic storage is cheap Imaging is a save all solution CD s will last for 50 years or more Microfilm is an obsolete technology Paper storage is expensive

39 The challenge There is a much greater assurance that 20 or 30 years from now, you ll be able to find records from the Civil War than you will from anything that is going on today. -- Ken Thibodeau quoted in ABC transcript, May 4, 1999, Peter Jennings, World News Tonight

40 Media Longevity Acid-free paper p Acidic paper 500 years 100 years Microfilm (silver/polyester base) 500 years Hardware & software 5-10 years Most computer technology will become obsolete before its life expectancy is met, and before the records dependent upon it have fulfilled their retention requirements.

41 What do local governments need to do? Develop routine methods of identifying, storing and retrieving electronic records in response to records laws, and the provisions of Chapter Adm. Rule 12 (Electronic Records Management).

42 Administrative Rule 12 Sets forth the standards and requirements for storing records in electronic format. The rule provisions and an explanation are at:

43 Administrative Rule 12 Records must be ACCESSIBLE and READABLE OVER TIME Also accurate, authentic, reliable & legible

44 Actively manage and protect e-records Identify which record series have long-term (7 yrs. or longer) retention requirements, then determine a method of ensuring their longevity and accessibility. 1. To ensure the records are findable, include minimum indexing requirements and finding methods when setting up the system.

45 Actively manage and protect e-records 2. Develop methods to test & demonstrate the reliability of e-data and implement periodic checks for reliability. 3. Check & double check storage conditions. tapes should be rewound at least once every 3.5 years keep magnetic media away from static charges and magnets -- light, RH, temperature, pests, dust & dirt

46 Actively manage and protect e-records 4. Plan on migrating your records every 5 years. Do not be in the situation where the software has changed and your older documents look like garbage. You can count on migrating long-term records several times so plan for it. Do not find yourself in a crisis situation.

47 Taking ownership Find out what IT is doing with your records! Also work with the person/people with records management responsibilities to be sure your records are protected over time. Bring your perspective to the table.

48 3 Methods to Ensure Longevity To ensure your records are accessible and readable over time -- When scanning, also produce a microfilm -- If keeping solely in electronic form, plan periodic migration -- Store paper off-site as a back-up

49 IMPORTANT THINGS TO REMEMBER ABOUT E-RECORDS: Become involved in the management of your e-records Records must be ACCESSIBLE and READABLE OVER TIME

50 Virginia Fritzsch Public Records Archivist (608)