Transcript Records Management - Georgia Department of Education

Records Management
Amelia Winstead
Government Services Coordinator
Records & Information Management Services
Georgia Archives
Data Collection Conference
August 2011
Office of
Secretary of State
Brian Kemp
What is Records Management?
 Goal of RM is to ensure that records
are properly retained for legal,
compliance and business purposes,
and properly disposed of when no
longer needed.
 Part of larger profession of
Information Management.
Office of
Secretary of State
Brian Kemp
RM - Why is it so Important?
Total Cost of Failure  Lack of compliance with state &
federal law, rules, and regulation
 Citations on audit
 Government investigation
 Lawsuits
 Costs to recover and search for
records
Office of
Secretary of State
Brian Kemp
Requirements for Records Management
Georgia Records Act (O.C.G.A. §50-18-90 et seq.)
Requires each agency to:
 Create and maintain adequate and proper documentation to
protect the legal and financial rights of the government and its
citizens
To protect records from removal, damage or loss
To establish and maintain a records management program
and designate a records manager
To develop retention schedules for agency records and
destroy records only in accordance with those schedules
Office of
Secretary of State
Brian Kemp
Requirements for Records Management
Georgia Open Records Act (GORA)
(O.C.G.A. §50-18-70 et seq)
Requires each agency to:
 Allow the public to inspect and take a copy
of any open public record in the custody of
the agency – in all media
 Establish and enforce reasonable rules
governing access to the public record
Office of
Secretary of State
Brian Kemp
Compliance
The Records Act and GORA establish a
framework in which agency must:
 Know what information & records it creates
and maintains
 Know how long to keep information
 Establish policy & procedure for the
management of information
 Manage information in ALL media and
formats
Office of
Secretary of State
Brian Kemp
Let’s Get Started
The basics. . . .
What is a Record?
Why are Records important?
What is a Retention Schedule?
Office of
Secretary of State
Brian Kemp
What is a Record?
Records management is the control of
recorded information
Recorded information is any and all
information created, received,
maintained, or used by an organization
in accordance with its mission,
operations, and activities
Office of
Secretary of State
Brian Kemp
What is a Record?
All documents, papers, letters, maps,
books, tapes, photographs, computer
based or generated information, or
similar material prepared and
maintained or received in the course of
the operation of a public office or
agency.
Office of
Secretary of State
Brian Kemp
What is a Retention Schedule?
A list of records maintained by all or
part of an organization together with
the period of time that the records
are to be kept.
Office of
Secretary of State
Brian Kemp
What is a Retention Schedule?
Types of retention schedules:
 Common Schedules: retention schedules
for records common to all agencies, such
a payroll records or personnel records.
 Agency Specific Schedules: retention
schedules for records unique to a single
agency.
Office of
Secretary of State
Brian Kemp
What is a Retention Schedule?
Retention schedules are the legally required
retention periods for which the records shall be
maintained under normal business conditions. By
statute,
“Approved retention schedules, once approved,
shall be authoritative, shall be directive, and shall
have the force and effect of law” (O.C.G.A. § 50-1892(a)).
Office of
Secretary of State
Brian Kemp
Litigation, audit, or special department
requirements may require the maintenance of the
records for a longer period of time.
Retention Schedules
Retention of records:
Local Government Records Schedules
State Government Records Schedules and
Agency Specific Records Schedules
http://sos.georgia.gov/archives/who_are_we/
rims/retention_schedules/default.htm
Office of
Secretary of State
Brian Kemp
Implementation
The fundamental rule for implementing
retention schedules is that every record an
agency creates (regardless of whether the
records are kept in paper, microfilm, or
electronic format) must either be identified
by an agency specific schedule or a
common schedule before disposal.
There are no exceptions.
Office of
Secretary of State
Brian Kemp
Implementation
Next Steps. . .
1. When to implement schedules.
2. What is disposition?
3. Destruction of records
Office of
Secretary of State
Brian Kemp
What is Disposition?
Disposition:
Disposition is the action taken with the
records following the end of the retention.
Office of
Secretary of State
Brian Kemp
Implementation
Three classes of disposition:
1. Destruction
2. Temporary storage – Records Center
3. Permanent storage – Archives
Office of
Secretary of State
Brian Kemp
Disposition - Destruction
Calculating Destruction
Dates:
Year Created
Retention Period
Retention Count
Eligible Destruction
Date
1/1/1997
10 years
1987. 1988. 1989.
1990, 1991, 1992,
1993, 1994, 1995,
1996
Calendar Year
(Jan. 1, 1986 – Dec. 31,
1986)
1986
FY2001 (07/200106/2002)
Fiscal Year
FY 2000
3 years
(July 1,2000- June 30, 2001)
Federal Fiscal Year
FFY2007
2 years
FY2003 (07/200306/2004)
FFY2008 (10/2008 –
09/2009)
(FY 2005)
10/1/2010
(FFY 2011)
FFY2009 (10/200909/2010)
(Oct 1, 2007- Sept 30, 2008)
School Year
(August 4, 2009-May 21,
2010)
FY2002 (07/200206/2003)
7/1/2004
SY2009
1 year
SY2010 (09/201008/2011)
9/1/2011 (SY2012)
Disposition - Destruction
Destruction
Georgia Law [O.C.G.A. 50-18-95 (b)],
Confidential records are to be destroyed
in such a manner that they cannot be
read, interpreted, or reconstructed
Methods differ with various media
Office of
Secretary of State
Brian Kemp
Disposition - Destruction
Media matters
Paper – landfills, recycling, shredding
Microfilm – silver reclamation, remove from
spool
Magnetic – overwriting, degaussing
Witnessing destruction
Office of
Secretary of State
Brian Kemp
Disposition - Storage
Not all records will
be eligible to be
destroyed.
Some records will
be identified
with the
retention of
“Permanent.”
Office of
Secretary of State
Brian Kemp
Questions?
Records & Information Management Services
404-756-4860
FAX 678-364-3860
http://www.sos.ga.gov/archives/
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Office of
Secretary of State
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