Local Government Records Just the Basics

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Soil and Water 2004. Ohio Historical Society. Workshop GoalsIntroduction into Records RetentionEnsure that Ohio Laws are followedSave your office timeSave your office storage spaceSave your office money. Soil and Water 2004. Local Government Records. Overview of the Ohio Historical Society an

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Local Government Records Just the Basics

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1. Soil and Water 2004 Local Government Records Just the Basics An introduction to records management, disposition and preservation for political subdivisions in Ohio. Pari J. Swift Local Government Records Archivist Ohio Historical Society

2. Soil and Water 2004 Ohio Historical Society Workshop Goals Introduction into Records Retention Ensure that Ohio Laws are followed Save your office time Save your office storage space Save your office money

3. Soil and Water 2004 Local Government Records Overview of the Ohio Historical Society and the Local Government Records Program Pertinent Definitions Records Commissions Records Retention Forms Storage Media Decisions

4. Soil and Water 2004 Ohio Historical Society ORC 149.31 “The Ohio Historical Society, in addition to its other functions, shall function as the state archives administration for the state and its political subdivisions” Acts as archival repository for state and local records of enduring historical value

5. Soil and Water 2004 Ohio Historical Society OHS provides advice and assistance to state government and to 5200 local government entities. Counties Cities & Villages Townships School Districts Special Taxing Districts & Libraries

6. Soil and Water 2004 Ohio Records Laws Provide the basis for a records program defines what a record is defines a public office defines local records commissions

7. Soil and Water 2004 Ohio Records Law 149.011 (A)- (What is a “Public Office”) “Public office includes any state agency, public institution, political subdivision, or any other organized body, office, agency, institution, or entity established by the laws or this state for the exercise of any function of government”

8. Soil and Water 2004 Public Records Law 149.011 (A)- (What is a “Public Office”) Performs a public service Supported by public funds An entity need not be operated by the state or a political subdivision to constitute a “public office.”

9. Soil and Water 2004 Ohio Records Law 149.011 ORC (What is a “record?”) “Records includes any document, device, or item, regardless of physical form or characteristic, created or received by or coming under the jurisdiction of any public office of the state or its political subdivisions, which serves to document the organization, functions, policies, decisions, procedures, operations, or other activities of the office.”

10. Soil and Water 2004 Ohio Records Law 149.011 ORC (What is a “record”) Stored on a fixed medium paper, computer, film, audio/video, etc. Created, received or sent under jurisdiction of a public office Serve to document the organization, functions, policies, decisions, procedures, operations, and other activities of the office.

11. Soil and Water 2004 Ohio Records Law 149.351 ORC “All records are the property of the public office concerned and shall not be removed, destroyed, mutilated, transferred, or otherwise damaged or disposed of, in whole or in part, except as provided by law or under the rules adopted by the records commission”

12. Soil and Water 2004 Records Commissions The ORC establishes Records Commissions for Counties (149.38), Municipalities (149.39), Townships (149.42) and School Districts (149.41), but not libraries and special districts. However, since Soil & Water Districts fall under the definition of “public office” and therefore have responsibilities under the public records laws, it is important that they develop records commissions. Perhaps a smaller group created from Board members Typically includes someone familiar with fiscal matters

13. Soil and Water 2004 Functions of Records Commissions Provide rules for retention and disposal of records Review retention schedules and disposal requests Provide that proper procedures are followed for scheduling and disposing of records Revise retention schedules as needed

14. Soil and Water 2004 Record Commissions Meetings Meetings must be open to the public Public must be given notice that the meeting is going to occur Keep detailed minutes

15. Soil and Water 2004 Retention Schedules Retention schedule- list of records an office creates with a corresponding retention period stating how long the record should be retained Record Series-file units or documents arranged in accordance with a filing system or maintained as a unit because they result from the same accumulation or filing process, the same function, or the same activity; have a particular form

16. Soil and Water 2004 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? Consult Office of Origin

17. Soil and Water 2004 Determining Retention Periods Fiscal Value pertains to the receipt, transfer, payment, adjustment, or encumbrances of funds required for an audit Contact: Auditor

18. Soil and Water 2004 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 Contact: Legal Counsel

19. Soil and Water 2004 Determining Retention Periods Historical Value documents an agency’s 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 Example: Property deeds Contact: OHS LGRP

20. Soil and Water 2004 Determining Retention Periods Retention Periods are determined and expressed in 3 ways. Time (“retain 3 years” “retain permanently”) Event or Action (“retain until audit report is released”) Time and Event or Action (“retain 3 years after case closed”) Retention periods may be subdivided “retain in office 3 years, then retain storage 6 more years, then destroy”

21. Soil and Water 2004 Determining Retention Periods Determine these values and retain for the appropriate time period These values are not static. Ex. Legal value in particular can change as laws change Set retention period to the longest value Sample Records Retention Schedules These are recommended retention periods, not mandated ones Base retention schedule on the record series that your District creates

23. Soil and Water 2004 Retention Schedule (RC-2 form) Fill out information at the top of the form Complete columns schedule number record title and description (NO DATES!) retention period media type Submit to your records commission form must be signed and dated by records commission in an open meeting

24. Soil and Water 2004 RC-2 Helpful Hints Sign Forms Responsible Official Record’s Commission Chairman Email should be scheduled according to content Do Not include Dates Include address and contact information on top of form

25. Soil and Water 2004 Retention Schedule RC-2 Form is forwarded to OHS, from OHS to Auditor of State’s Office (60 days each) Copy of form returned to you (original on file at OHS) Retention schedules can be revised at any time must go through same process and resubmit form

26. Soil and Water 2004 Using a Retention Schedule RC-2 Provides for ongoing disposal Prevents build up of unnecessary records Can be a legal asset proves that public records were destroyed in accordance with public records laws

27. Soil and Water 2004 One Time Disposal RC-1 Used to dispose of obsolete records Those no longer created or used Same format and information as RC-2 except: include dates for these records Must be submitted to Records Commission, OHS and Auditor of State same process as RC-2

29. Soil and Water 2004 Disposing of Records After you have submitted and received back copies of the RC-1 and/or RC-2, you should determine exactly what records you can now dispose of These records should be listed on an RC-3, Certificate of Records Disposal OHS final opportunity to choose records of enduring historical value provides an administrative/legal record of exactly which records were disposed, when they were disposed, and that they were disposed according to retention schedules

31. Soil and Water 2004 Certificate RC-3 Complete the top of the form List records to be disposed of title (from retention schedule) schedule number (from retention schedule) RC approval date (from retention schedule) media type (from retention schedule) other media dates date of disposal (15 business days in advance) Have form signed by the responsible official

32. Soil and Water 2004 Certificate RC-3 Submit original form to OHS, keep copy in your files, send copy to records commission If there are records OHS wants to select for archival storage, we will contact you prior to the proposed date of disposal (network) If there are not records OHS wants to select, you will not be contacted or receive a copy of the form back You may send a self-addressed stamped postcard which we will date stamp and send back for verification that we received your forms OHS forwards the form to the Auditor of State’s Office

33. Soil and Water 2004 RC-3 Helpful Hints Signed by Responsible Official Contact phone number Records Committee Approval date is that listed on RC-1 or RC-2 containing those records. Not the date the RC-3 was approved. If the records are being transferred to another media, list that in appropriate column Mail AT LEAST 15 working days prior to scheduled destruction

34. Soil and Water 2004 Media Decisions Three media types you can use to store records Paper Microfilm/fiche Electronic Each media type has characteristics that make it more or less appropriate for certain kinds of records

35. Soil and Water 2004 Format Characteristics

36. Soil and Water 2004 Format Characteristics

37. Soil and Water 2004 Media Decisions-paper Is enough storage space available and affordable? Requires no equipment to view records Only one user per record at any given time

38. Soil and Water 2004 Media Decisions -- microfilm 9.01 ORC Microfilm must be certified as to its authenticity and completeness Must comply with ANSI standards for permanent photographic records duplicates must be stored in separate buildings Must have a microfilm reader so that records on film can be made accessible for inspection per a public records request

39. Soil and Water 2004 Media Decisions -- microfilm Must have the ability to reproduce paper copies per a request for copies of public records Properly certified microfilm is acceptable under the code of evidence in court proceedings

40. Soil and Water 2004 Media Decisions -- electronic Hardware and software dependency Non-proprietary formats .txt files, .tiff files Migrate periodically-Check for loss of information Set retention periods according to content of records, not the type of media it is retained on

41. Soil and Water 2004 Electronic Records Ohio Electronic Records Committee (ERC) Guidelines for Managing Electronic Mail Revised Digital Imaging Guidelines Trustworthy Information Systems Handbook Guidelines for Managing Web Content Databases as Public Records Guidelines http://www.ohiojunction.net/erc

42. Soil and Water 2004 LGRP Contact Information Pari J. Swift LGRP Archivist (614) 297-2553 (614) 297-2546 (fax) [email protected] www.ohiohistory.org/resource/lgr www.ohiojunction.net/erc

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