Transcript Basic Records Management - VCU Technology Services

Basic Records Management
We will cover
• Definitions
• Following Library of Virginia (LVA)approved Records Retention & Disposition
Schedules
• Reformatting records
• E-mail management
• Records destruction
• Transferring records to the State Archives
• ImageNow
What is a record?
"Public record" or "record" means recorded
information that documents a transaction or
activity by or with any public officer, agency or
employee of an agency. Regardless of physical
form or characteristic, the recorded information is
a public record if it is produced, collected, received
or retained in pursuance of law or in connection
with the transaction of public business. The
medium upon which such information is recorded
has no bearing on the determination of whether
the recording is a public record.
Code of Virginia § 42.1-77
What is a records series?
• A records series is a group or unit of related
documents or information that is normally filed
or kept together because it relates to a
particular subject or function, results from the
same activity, or documents a particular
transaction or activity.
• Examples include correspondence, time sheets,
contracts, fiscal vouchers, project files, and
minutes.
What are vital records?
Pulaski County Courthouse 1989
• Vital records are those
records essential to the
operation of the
university and/or
resumption of operations
following a disaster.
• These are records that
you must have to stay in
business, such as student
or payroll records.
What is not a record?
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Reference materials
Administrative and personal correspondence
Personal materials
Stationery, blank forms, and publications for
distribution
• Copies of policy and procedure manuals
Why Records Management is important
to the Commonwealth
• Minimize litigation
risks
• Ensure federal, state,
and regulatory
compliance
• Safeguard vital
information
Why Records Management is important
to VCU
• Ensure business
continuity
• Support decision
making
• Preserve the
university memory
Why Records Management is important
to VCU Employees
• Control the growth of
records
• Improve efficiency and
productivity
• Integrate new records
management
technologies
Records management is…
Providing the right information, at the right time,
to the right people, effectively, and efficiently, at
the lowest possible cost.
General Schedules
• General Schedules
– Covers common records created by all state
and local government offices
– Available online
• Most used schedules
– GS-111: College and University Records
– GS-101: Administrative Records
– GS-102: Fiscal Records
– GS-103: Personnel Records
http://www.lva.virginia.gov/agencies/records/sched_state/index.htm
Schedule Tips
• Confidentially destroy records that are “No. 8.”
• If records do not fall into any series on any
schedule, they can not be destroyed.
• Format doesn’t matter, content does.
• Retention periods are not suggestions.
Code of Virginia § 42.1-86.1
Virginia Public Records Act
“C. Each agency shall ensure that records created after July 1, 2006
and authorized to be destroyed or discarded in accordance with
subsection A, are destroyed or discarded in a timely manner in
accordance with the provisions of this chapter; provided, however,
such records that contain identifying information as defined in
clauses (iii) through (ix), or clause (xii) of subsection C of §18.2186.3 shall be destroyed within six months of the expiration of the
records retention period.”
What does this mean for you?
The Library of Virginia interprets “timely manner” to mean that
records scheduled for destruction will be destroyed no later than
the end of the calendar or fiscal year in which the retention period
expires.
Why use the schedules?
• Ensures that files are not prematurely
destroyed, but are not kept past their
usefulness.
• Identifies records with long-term retention that
can be moved off-site.
• Assists with making reformatting decisions.
Legal ramifications
Records that are not destroyed according to their
retention schedule are subject to discovery during
litigation, investigations, and Freedom of
Information Act (FOIA) requests.
If you have it, you must produce it.
Reformatting records
• It is legal to reformat records.
• RM-3 is not required for destruction of paper
originals.
• Consult the university records manager before
reformatting permanent records.
• Use the university document system –
ImageNow.
Reformatting caveats
• Have a quality control process and indexing
system in place (use ImageNow when possible).
• Records must be safe and accessible during the
entire length of their retention period.
• RM-3 is required when imaged records are
destroyed.
• If reformatting vital records, include software
application and indexing system in offsite
storage.
E-mail is not a records series
E-mail is a format, not a records series.
Asking how to file an e-mail is the same as
asking how to file a piece of paper.
The content determines the disposition.
E-mail basics
• Employees are responsible for managing their
sent and received e-mail.
• Requests from the public must be honored the
same as any other public record request.
• E-mail must remain accessible during the
entire retention period.
Saving e-mail
• Names and e-mail addresses of sender and
recipients
– For distribution lists, break out the tree
• Time and date sent
• Subject line that describes content
• Text
• Attachments, if applicable
E-mail tips
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Use an official signature
Proofread
Retain final e-mail in a thread
Use a useful subject line
Don’t put something in an e-mail that you
wouldn’t want to see in tomorrow’s newspaper
Identifying destruction dates
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Begin counting retention years with the year
following the year of creation.
Count up through the stated number of
retention years.
Records should be retained for the full year of
the final year of retention.
Destroy records at the beginning of the next
yearly cycle.
Destruction procedures
• Identify records to be destroyed and method by
using retention schedule.
• Fill out Certificate of Records Destruction (RM-3
Form).
• Obtain approving department signature.
• Campus mail the form to the Records Officer for
approval and signature. The approved form will be
returned to you.
• After records have been destroyed, obtain signature
of the individual who destroyed the records or
witnessed the destruction.
• Send form with all original signatures to LVA.
17VAC15-120-130
• Regulations Governing the Destruction of Public
Records Containing Social Security Numbers
– Paper records must be shredded, pulped, or
incinerated. If shredding, use a cross-cut
shredder that reduces paper to a size no wider
than 3/8 inches.
– Vendors must be bonded.
– Back-up tapes and computer hard drives must
be overwritten, degaussed, or destroyed.
– Magnetic media must be overwritten or exposed
to a magnetic field to disrupt information.
Archives at LVA
• Houses 72,000 cubic feet, or over 108 million
records
– Prints, photographs, manuscripts, and maps
• Arrange, describe, preserve, and present
Virginia’s history to the public
Transferring archival records
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Identify schedule and series number
Determine volume of records
Order acid free boxes
Label boxes
Create a folder listing of box contents
Transferring archival records
• Complete the Records Transfer List and Receipt
(RM-17 Form)
• Fax or email RM-17 Form to LVA Records
Analyst
• Staff members arrange for pickup.
– Provide original RM-17 at time of pick up
– Archives staff will provide you with a copy of
the form once accession numbers are
assigned
State Laws and Regulations
• Virginia Public Records Act (VPRA)
– Code of Virginia § 42.1-76 et seq.
• Virginia Freedom of Information Act (FOIA)
– Code of Virginia § 2.2-3700 et seq.
• Copies of Originals as Evidence
– Code of Virginia § 8.01-391
Where can I get help!
 Records Management Web Site
http://www.ts.vcu.edu/kb/1947.html
 VCU Records Manager - R. Scott Davis is the VCU
Records Officer (8-2103 or by email
at [email protected] )
Standard for Records Management
The purpose of this standard is to: (1) authorize a
university records management program in accordance
with State law and the university's need for proper
records management, (2) designate a University
Records Officer and establish the scope of the Officer's
authority, (3) indicate the responsibilities of individual
departments and offices to achieve compliance with
the program, (4) establish specific procedures to be
followed to carry out the program, and (5) clarify
proper methods for records storage and destruction.
http://www.ts.vcu.edu/kb/1981.html
Electronic Records and ImageNow
ImageNow by Perceptive Software Inc., is a user-friendly document imaging and
management tool that allows you to easily capture, organize and manage data.
With one click, ImageNow allows you to scan, file, retrieve, print, email or share
electronic documents.
ImageNow changes the way paper is handled, alleviating the time-consuming
inefficiencies of manually filing and retrieving documents thus enhancing service
and productivity. In addition, ImageNow eliminates the cost and space issues
associated with maintaining a paper-based process.
ImageNow allows indexed images to be retrieved simultaneously by different users on
campus with the click of a mouse. Since the document is indexed electronically,
there is no need to manually file the paper, and no chance that the document will
be misplaced or mishandled.
ImageNow is currently being used by more than 615 University members in 53
departments on campus. If you would like additional information on how
ImageNow can work for you or information on purchasing ImageNow for your
department, contact the Technology Services ImageNow support team at
[email protected] or visit http://www.ts.vcu.edu/kb/938.html.
Who should I contact about recycling
or document destruction?
VCU Environmental Conservation provides
recycling and document destruction services.
For more information about available services,
contact Steve Heinitz recycling coordinator, at
[email protected] , recycling hotline at (804)
827-7777 or contact the FMD Customer
Services Center at (804) 828-9444
http://www.vcu.edu/recycling/contactus.html