The basics of public records management in n c state government
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The Basics of Public Records Management in N.C. State Government. Introductions. This Workshop. IRM: the Absolute Essentials Electronic and Paper Records Foundations The Law Records Management University General Schedule and the Program Records Schedule

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The basics of public records management in n c state government l.jpg

The Basics of Public Records Management in N.C. State Government

NC Division of

Historical Resources


Introductions l.jpg
Introductions Government

NC Division of Historical Resources

Government Records Branch


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This Workshop Government

  • IRM: the Absolute Essentials

  • Electronic and Paper Records

  • Foundations

    • The Law

    • Records Management

  • University General Schedule and the Program Records Schedule

  • The Necessity of Managing Your Records

NC Division of Historical Resources

Government Records Branch


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This Workshop (Continued) Government

  • Policies

  • E-Records and Archives

  • Security

  • Backups and Storage

  • Admissibility and Authenticity

NC Division of Historical Resources

Government Records Branch


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IRM: the Reasons Why Government

  • Controlling records growth

  • Faster retrieval of information

  • Fewer lost or misplaced records

  • Cost reduction - especially in space

  • Better productivity

  • Assimilation of technology

NC Division of Historical Resources

Government Records Branch


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IRM: the Reasons Why (Continued Government)

  • Legal and regulatory compliance

  • Reduction of legal risks

  • Protection of vital information

  • Informed decision making

  • Preserving institutional (or societal or corporate) memory

  • Morale and professionalism

NC Division of Historical Resources

Government Records Branch


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Components of an IRM Program Government

  • Records inventorying and scheduling

  • Inactive records storage

  • Protection of vital records

  • Filing systems for active maintenance

  • Utilization of document imaging---microfilm and electronic (often shared with Systems)

NC Division of Historical Resources

Government Records Branch


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Components of an IRM Program (Continued) Government

  • Forms management

  • Reports management (Both for control of records growth)

  • Sometimes included: Information systems Print shop Mail/message services Photocopiers

NC Division of Historical Resources

Government Records Branch


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IRM: the Absolute Essentials Government

  • Systematic control of organization’s records

  • Establishment of Clear Accountability for Organization’s Records

  • Systematic Implementation

  • Written Procedures

  • Inclusion of All Records in All Media

NC Division of Historical Resources

Government Records Branch


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IRM: the Absolute Essentials (Continued) Government

  • Institutional or Corporate Mandate

  • Destruction of Records Systematically

  • Auditing and Documenting of Operations

  • Provision of Training

NC Division of Historical Resources

Government Records Branch


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Archives: the Institutional Memory Government

  • Peter Graham: the Basic Mission: Acquire, Preserve, Organize, Make Available

  • Problems in common with IRM

  • Professional distance in practice

NC Division of Historical Resources

Government Records Branch


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Things to Remember about the World of Computers Government

  • Computers assume that the world is basically ordered and unchanging ---the real world (of government) contains a lot of disorder and change

  • The dominant medium of a society tends to emphasize distribution of information over space or over time---it does not usually do both well

NC Division of Historical Resources

Government Records Branch


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Things to Remember about the World of Computers (Continued) Government

  • The development of the computer (and telecommunications) has immeasurably increased the volume of information and the speed of communication. “[P]ower is invested in the society that can send messages fastest and farthest.” The word “farthest” here does not necessarily include its transportability to the future.

  • Governments are legally obligated and operationally required to be interested in the transportability of data to the future, when the data has long-term, archival, or permanent legal value.

NC Division of Historical Resources

Government Records Branch


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The Sea Change in the Creation and Storage of Information Government

  • Electronic Records Are Not Eye-Readable

  • Managing Electronic Records Has Been Left to the Untrained

  • Electronic Records Depend on Software for Content, Structure, Context, and Meaning

  • Software and Hardware Change Rapidly - Electronic Data Must Be Migrated

NC Division of Historical Resources

Government Records Branch


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The Sea Change in the Creation and Storage of Information (Continued)

  • Context Means: What, When, By Whom, To Whom, Where, How, Why, What Media

  • Preservation of Electronic Records Contexts Is Unstable

  • The Danger for Institutional Memory

NC Division of Historical Resources

Government Records Branch


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The Sea Change in the Creation and Storage of Information (Continued)

  • Check Vendor Claims Carefully

  • Computer Hardware is Especially Sensitive to the Physical Environment

  • Computer Hardware and Software Systems---Especially in Optical Systems---Are Often Not Compatible with Each Other

  • Optical Media Are Subject to Physical Deterioration

NC Division of Historical Resources

Government Records Branch


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Record Creation (Continued)

  • You probably use at least

    A word processor

    Spreadsheet program

    Electronic mail (it’s a public record, too!)

    Database management software

    ... running on a desktop pc

NC Division of Historical Resources

Government Records Branch


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End-User Computing (Continued)

Computers with increased functionality

PLUS

More employees with computers

EQUALS

Explosion of records in

electronic formats

NC Division of Historical Resources

Government Records Branch


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The Law (Continued)

NCGS 121

The Archives and History Act

NCGS 132

Public Records Law

NC Division of Historical Resources

Government Records Branch


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NCGS 121 (Continued)

  • 121-4(2)

    • Assigns records management responsibility

  • 121-5(b)

    • Regulates the destruction of public records

  • 121-5(c)

    • Directs DCR to assist the other agencies

NC Division of Historical Resources

Government Records Branch


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NCGS 132 (Continued)

(a) “Public record” or “public records” shall mean all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, artifacts, or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions.

NC Division of Historical Resources

Government Records Branch


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NCGS 132 (Continued)

(b) The public records and public information compiled by the agencies of North Carolina government or its subdivisions are the property of the people. Therefore, it is the policy of this State that the people may obtain copies of their public records and public information free or at minimal cost...

NC Division of Historical Resources

Government Records Branch


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NCGS 132 (Continued)

  • 132-6

    • Directs agencies to index electronic public records

    • Allows agencies to charge fees for copies

  • 132-7

    • Directs agencies to safeguard their records

  • 132-9

    • Provides remedies for those denied access to records

NC Division of Historical Resources

Government Records Branch


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Use (Continued)

Creation

Disposition

Records Management

NC Division of Historical Resources

Government Records Branch


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Creation, Use, Disposition (Continued)

  • Comply with laws and regulations

  • Document the actions of government

  • Minimize space and supplies needed

  • Satisfy internal needs for the records

  • Save money

NC Division of Historical Resources

Government Records Branch


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Content, not Media (Continued)

“Public record” or “public records” shall mean all documents, papers, ... magnetic or other tapes, electronic data-processing records, ... or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance ...

GS 132-1

NC Division of Historical Resources

Government Records Branch


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Records Values (Continued)

NC Division of Historical Resources

Government Records Branch


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Administrative Value (Continued)

  • Procedure manuals

  • Retention schedule

  • Memos

  • Reports

NC Division of Historical Resources

Government Records Branch


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Fiscal Value (Continued)

  • Budget records

  • Expenditure ledgers

  • Credit card reports

NC Division of Historical Resources

Government Records Branch


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Legal Value (Continued)

  • Contracts

  • Agreements

  • Federal or state statutory or regulatory requirements

NC Division of Historical Resources

Government Records Branch


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Research Value (Continued)

  • Governors’ papers

  • Oaths of office

  • Directors’ correspondence

  • Agency histories

NC Division of Historical Resources

Government Records Branch


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Confidential Records (Continued)

  • Medical and mental health records

  • Personnel records(salary information is not confidential)

  • Prison records

  • Students’ records

NC Division of Historical Resources

Government Records Branch


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Vital Records (Continued)

  • Protect employee and citizen rights

  • Document your agency’s fiscal status

NC Division of Historical Resources

Government Records Branch


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Schedule Negotiations (Continued)

Reviews include:

  • Your office

  • GRB staff

  • Archives staff

NC Division of Historical Resources

Government Records Branch


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What is the University General Schedule? (Continued)

  • University General Schedule (1991)

    • Lists common types of records found in state –supported university offices

    • Provides uniform descriptions and disposition instructions

  • Being revised!

    –Based on 2000 State Agency General Schedule

NC Division of Historical Resources

Government Records Branch


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Who is doing it? (Continued)

  • Developed in cooperation with University System Archivists and Records Managers

  • Approved by the Secretary of Cultural Resources and the President of the UNC System

    • “It shall be the duty of [Cultural Resources], in cooperation with and with the approval of the Department of Administration, to establish standards, procedures, and techniques for effective management of public records…”NCGS 132-8.1

NC Division of Historical Resources

Government Records Branch


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Disposition Instructions (Continued)

  • Minimum retention periods

    • Agencies may elect to retain records longer

      • But:

        • Increased expense

        • Potentially adverse legal consequences

  • Based on

    • Federal and state laws and regulations

    • Records management practice

NC Division of Historical Resources

Government Records Branch


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Disposition Instructions (Continued)

  • Destroy no record which is or may become involved in legal action.

    • Contact your University’s legal counsel

NC Division of Historical Resources

Government Records Branch


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Program Records and Program Records Schedules (Continued)

  • Not all records are covered by the UGS

  • Some Universities have developed individual office schedules (Program Schedules)

    • Your University Records Officer will work with you

    • Describes records unique to your office

      • Disposition instructions also tailored to your particular needs, regulations, and requirements

      • e.g. permits, surveys, tests, research documentation, tax returns

NC Division of Historical Resources

Government Records Branch


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Why will the revised (Continued)UGS be good?

  • Consistency and uniformity

    • Routine course of business may reduce agency’s liability

  • Records on the UGS will not need to be negotiated during schedule updates

    • Reduces clutter on program schedules

  • Will promote online access

NC Division of Historical Resources

Government Records Branch


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Planning (Continued)

  • Standardize terminology and naming

    • Access files easily

    • Reduce file redundancy

    • Avoid misplacing files

    • Makes finding files easier

      Don’t underestimate the efficiency of uniformity.

Creation

NC Division of Historical Resources

Government Records Branch


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Backup Policy (Continued)

  • Know the retention of all files

  • Make a backup schedule, and stick to it

  • Establish backup procedures, and stick to them

  • Include backup information in your disaster preparedness plan

  • Work with your IT department or LAN team

Use

NC Division of Historical Resources

Government Records Branch


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Safekeeping (Continued)

  • Don’t put the University, the state, or its citizens at risk through inadequate security precautions.

NC Division of Historical Resources

Government Records Branch


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Issues in Admissibility of Electronic Records (Continued)

  • Accuracy and reliability of info technology systems are proved by

  • Creation in the regular course of business

  • Established procedures

  • Audit trails

  • Timeliness

    • North Carolina Guidelines for Managing Public Records Produced by Information Technology Systemshttp://www.ah.dcr.state.nc.us/e-records/manrecrd/manrecrd.htm

NC Division of Historical Resources

Government Records Branch


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Reasons for an Electronic Records Policy (Continued)

  • Electronic records are subject to

    • Public access, personal privacy, audit and authenticity requirements

  • Managerial responsibility for the

    • Accuracy, completeness, authenticity, security, retention and preservation

      “... regardless of physical form or characteristics ...”

NC Division of Historical Resources

Government Records Branch


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Archival Considerations (Continued)

  • Media longevity

  • Hardware and software dependence

    • ASCII format

    • Micrographic media

    • Retain the paper

  • Archival value is not affected by “... physical form or characteristics ...”

NC Division of Historical Resources

Government Records Branch


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Think Ahead (Continued)

  • Will your records live long enough?

    • Paper and microfilm have proven longevity

  • Information of archival value must survive, no matter the inconvenience.

NC Division of Historical Resources

Government Records Branch


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Resources (Continued)

  • Government Records Branch

    http://www.ah.dcr.state.nc.us/sections/archives/rec/default.htm

  • Ed Southern

    Assistant State Records Administrator

    [email protected]

    919-807-7353

NC Division of Historical Resources

Government Records Branch


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Contact Information (Continued)

Government Records Branch

Mailing Address Street Address

4615 Mail Service Center 215 N. Blount St.Raleigh, NC 27699-4615 Raleigh, NC

Phone: 919/807-7350 Fax: 919/715-3627

Courier: 51-81-20

NC Division of Historical Resources

Government Records Branch


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