Public Records ManagementAdvanced Real Property Seminar

September 15, 2010

Presented by:Tom Vincent, NCDCR Local Records Management Analyst

Overview1) Importance of Records Management

2) Public Records Law

3) Records Retention and Disposition Schedules

4) Electronic Records Management

5) Summary

Importance of Records Management Essential records protection Compliance with legal requirements

Transparency Preservation of records with enduring value Controlled records growth

Fewer copies, planned documentation Cost savings

Storage equipment, supplies Improved office efficiency

Reduced searching and faster retrieval Better use of office resources

Public Records Law

Public Records Law NCGS 121

Archives and History Act NCGS 132

Public Records Law

G.S. 121 Archives and History Act 121-4(2)

Assigns records management responsibility

121-5(b) Regulates the destruction

of public records 121-5(c)

Directs DCR to assist governments and agencies

G.S. 132Public Records Law 132-1

Defines “Public records”: “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.

132-3(a) Class III misdemeanor to destroy records without the

permission of DCR

Records Retention and Disposition Schedules

Records Retention Schedule Public records require a Retention and

Disposition Schedule Binding legal agreement Lists common types of records (record

series) found in government offices

Records Retention Schedule, Cont.Provides instructions for the retention and

disposition of the records seriesIdentifies permanent, confidential, or

restricted recordsHelps offices improve records retrieval,

save money and space

Records Retention Schedule, Cont.County Tax Administration Schedule,

April 1, 2004County Tax Administration Amendment,

July 31, 2008www.records.ncdcr.gov/local/default.htm#co

Records Retention Schedule, Cont. Schedule needs to be approved in an open

meeting of your governing board. Signed by Chairman of the Board of County

Commissioners and the Tax Assessor Collector Please send copy of completed signature page to

our office.

Schedule Item

EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES Description: Includes records listing

employees, their job titles, work locations, phone numbers, e-mail addresses, and similar information.

Disposition Instructions: Destroy in office when superseded or obsolete.

Schedule Item

TAX SCROLLS AND BOOKS: FOR YEARS ENDING IN 0 AFTER 1900 Description: Includes property valuations

and amount of taxes due. These records may be prepared separately or combined.

Disposition Instructions:

Transfer to the State Archives.

Schedule Item

TAX SCROLLS AND BOOKS: ALL OTHER Description: Includes real and personal

property, discovery, delinquent and any other supplemental scroll, book, summaries, or recapitulations.

Disposition Instructions:

Destroy in office after 10 years or 1 year after released by the governing board, whichever comes first.

Protect Records Avoid storing records:

In flood-prone basements Under leaky roofs or pipes On the floor In an unsecured location

Keep records safe by: Researching recycling and/or shredding vendors Having a Disaster Preparedness Plan in place for your records

Electronic Records Management

Managing Electronic Records Paper vs. Electronic Records Creating Trustworthy Records &

Developing an Electronic Records Policy Preserving and Destroying Electronic

Records Managing E-mail

Paper vs. Electronic Records Content is Key

“Public record” or “public records” shall mean all documents, papers, ... electronic data-processing records, ... 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.

-GS 132-1

Create Trustworthy Records Admissibility

Electronic files may be challenged in court Documenting Authenticity

Maintain records on system operation and inspections Explain how records were created, kept secure, and

disposed of Keep training records on staff

Preserving Electronic Records Records of archival value must survive

no matter the inconvenience Migrate to new platforms Save files in standard formats Output to paper or microfilm

Preserving Electronic Records Never trust claims that you won’t have to

actively manage records over time Anticipate changes to the underlying

hardware and software (these are inevitable)

Periodically sample records to ensure that they’re still readable and not corrupted

Destroying Electronic Records Ensure timely destruction Control all copies Purge hard disks before transferring Make sure the records are destroyed

Not just index files

Guidelines for Managing and Preserving Electronic Records

http://www.records.ncdcr.gov/erecords

Managing Electronic Public Records (Online Tutorial, October 2008)

Best Practices for Digital Preservation (April 2008)

Recommended Digital File Formats (March 2007)

NC Guidelines for Managing Public Records Created by IT Systems (April 2000)

Managing E-mail E-mail contains public

records and is subject to public inspection

Requires daily management File in e-mail folders

Utilize and follow your retention schedule Destroy outdated e-mails

Ensure security of confidential information

IT’s Role

E-Mail Resourceshttp://www.records.ncdcr.gov/erecords

E-Mail as a Public Record in NC: A Policy for Its Retention and Disposition (July 2009)

Managing Your Inbox: E-Mail as a Public Record (September 2009)

Questions?

Records Management Analysts Local Records Unit

Lisa Coombes (lisa.coombes@ncdcr.gov)(919)807-7357

Tom Vincent (tom.vincent@ncdcr.gov)(919) 807-7364

Asheville Office Ginny Daley

(ginny.daley@ncdcr.gov)(828) 274-6789