Getting Your House in Order:

Basic Records Management Training for State Agency RMLOs

Presented by the Connecticut State Library

Legislative Office BuildingSeptember 9, 2008

© 2008 Connecticut State Library

PresentersEunice G. DiBella, CRM

Public Records Administrator

Jeffrey E. CollinsPublic Records Archivist

Lizette PelletierPublic Records Archivist

Mark Jones, Ph.D.State Archivist

Nancy LieffortReference Librarian

Julie SchwartzUnit Head, Government Information and Reference Services

Connecticut State Library

www.cslib.org

Agenda

Basic Records Management Principals

Records Management in Connecticut

State Agency Responsibilities:−Records Management Liaison Officer

(RMLO)−Records Retention Schedules−Records Storage

Agenda (Cont.)

Records Disposition:−Transferring Records to the State Records

Center−Transferring Records to the State Archives−Transferring Documents to the State

Library and the Connecticut Digital Archive

Electronic Signatures and Managing E-mail

Quiz

Records Management in Connecticut

The Connecticut State Library is the public records office for the State of Connecticut

Authority for this program is granted to the Connecticut State Library in Connecticut General Statutes §11-8 and §11-8a

The Office of the Public Records Administrator

The department of the Connecticut State Library that administers a public records program for state agencies and municipalities

Administers the State Archives

Operates the State Records Center

Administers a grant program for local government records in accordance with CGS § 11-8i thru 11-8n

Background of Public Records

1903: The first “Temporary Examiner of Public Records” appointed by the Connecticut General Assembly

1911: The General Assembly creates the post of permanent “Examiner of Public Records” as assistant to the State Librarian

1956: The first state records retention, storage, and disposal program for state agencies is established

1958: The State Records Center is opened

1967: The position of “Examiner of Public Records” is renamed to “Public Records Administrator”

Statutory Responsibilities:State Library

(Pursuant to CGS §11-8)

Direct a records management program for state government

Approve and operate records storage facilities

Identify and preserve essential state records

Statutory Responsibilities:State Agencies

(Pursuant to CGS §11-8a)

Designate an agency employee to serve as Records Management Liaison Officer (RMLO)

Inventory records

Keep records retention schedules up-to-date

Transfer historical records to the State Archives

Dispose of records after written approval is granted

Records Management Liaison Officer (RMLO)

Create guidelines for maintaining and using agency records

Inventory or supervise an agency records inventory

Prepare agency records retention schedules to be submitted to the Office of the Public Records Administrator

Review agency disposal authorizations and obtain approval to dispose of records

Transfer records to the State Records Center

Coordinate the implementation of records technology to ensure compliance with guidelines and regulations established by the Connecticut State Library

Maintain a control file of records retention schedules, disposal authorizations, and record transfers

Disseminate records management information to agency personnel

Appoint Assistant RMLOs as necessary

Records Management Liaison Officer (RMLO) (Cont.)

www.cslib.org

www.cslib.org/publicrecords/opraforms.htm

Form RC-078: Records Management Liaison Officer Designation

Records Management

Records Management is the “systematic control of all organizational records during the various stages of their life cycle: from their creation or receipt, through their processing, distribution, maintenance and use, to their ultimate disposition.”*

*p. 585 “Information and Records Management,” 4th Ed., McGraw-Hill Robek, Brown, Stephens, 1996.

The Life-Cycle of Records

Current: Office Semi-current: In a records center or low activity

storage facility Permanent: Office or an archival facility

Records having no long-term value are destroyed after agency receives permission from the Office of the Public Records Administrator via Records Disposal Authorization (Form RC-108).

The Life-Cycle of Records

CREATION (or RECEIPT)

PROCESSING, DISTRIBUTION, USE,

and

MAINTENANCE

DISPOSITION DESTRUCTION or

LONG-TERM (ARCHIVAL) RETENTION

Public Records

CGS §1-200(5) defines Public Records as “any recorded data or information relating to the conduct of the public’s business prepared, owned, used, received or retained by a public agency, or to which a public agency is entitled to receive a copy by law or contract under section 1-218, whether such data or information be handwritten, typed, tape-recorded, printed, Photostatted, photographed, or recorded by any other method.”

Non-Records

Non-Records have the same physical characteristics as record materials. The differences between a non-record and a record are:−The reasons for keeping the information

−How it is used

Record Series

A Record Series is a group of similar or related records that are normally used and filed as a unit, for determining a retention period.

All of the records that make up a record series must have the same retention period.

Records Retention Schedule

A Records Retention Schedule is a comprehensive list of record series which indicates the length of time each series is to be retained until it is reviewed for destruction or archival retention.

It also indicates retention in active and inactive storage areas.

Records Retention Schedules: General vs.

Agency-Specific

A General Records Retention Schedule lists record series titles, by subject or function, that apply to all agencies.

Records Retention Schedules: General vs. Agency-Specific (Cont.)

There are eight general records retention schedules:

S1: Administrative Records

S2: Personnel Records

S3: Fiscal Records

S4: Health Information Management Records

S5: Higher Education Records

S6: Electronic Data Processing Records

S7: Vocational-Technical School System Records

S8: Correctional Facilities Records

General Records Retention Schedule (S1)

www.cslib.org

www.cslib.org/publicrecords/retstate.htm

Records Retention Schedules: General vs. Agency-Specific (Cont.)

An Agency-Specific Records Retention Schedule lists those record series titles that are unique to that agency, or individual departments and units, within the agency.

Form RC-050: Records Retention Schedule

We will help you go from this…

To this.

Components of a Records Management Program

Records Inventory Records Retention Schedule Approvals Compliance

Records Inventory

Description Arrangement

e.g., by date, by subject, or by physical format

Date range Format Original vs. duplicate

The records inventory is the starting point for data collection. The records inventory should include the following information on the records:

Form RC-104: Records Inventory Worksheet

The inventory should include offices…,

Hallways…,

Attics…,

and File Rooms.

Records Analysis

Records Analysis is the process of evaluating the data acquired from the inventory to:

Determine the record series−Records used together to perform a function−Filed together as a unit (paper)

Establish uniform record series titles

How Long Do I Keep These Records?

Determine Value: Administrative Legal Fiscal Historical / Research

Administrative value: How long do I need to keep this record to do my job and for the agency to operate effectively?

Legal value: How long do I need to keep these records as evidence of legally enforceable rights of the state or the rights of individuals?

How Long Do I Keep These Records? (Cont.)

How Long Do I Keep These Records? (Cont.)

Fiscal value: How long do these records relate to the agency’s financial transactions?

Historical / Research value: Have these records been appraised to have long-term value?

Requirements that Govern the Retention of Records

Legal Requirements– Laws and Regulations– Statutes of Limitation

(please note there is no universal statute of limitation that governs the retention of all records)

Fiscal / Audit Requirements– Requirements apply to state and federal

audits

Records Retention Schedules: Preparing

Schedules Determine and list all records by record

series title

Evaluate all records in terms of legal, fiscal, administrative, and historical / research value

Prepare the Records Retention Schedule Worksheet (Form RC-050W)

Submit the form to the Office of the Public Records Administrator for review

Example of an RC-050W submitted by an agency

The title and description should accurately reflect what the record series is and what records it includes.

All records should be listed.

Records Retention Schedules:

Describing the RecordsA record series title and description must

accurately describe the records:– What was written:

“OTB Correspondence and Related Material” “Pari-Mutuel Correspondence and Related Material” “Casino Correspondence and Related Material”

– What it meant: Occupational Licensure Files (Lottery, Off-Track

Betting, Pari-Mutuel, and Casino)

Including, but not limited to application, correspondence, and supporting documentation for individual employees.

Records Retention Schedules:

Determining the Retention Period

A records retention schedule sets the minimum retention requirements

A records retention schedule does not mandate records destruction

If a record is not on an approved records retention schedule, an agency cannot dispose of the record

Example of an RC-050W submitted by an agency

The retention period must state how long the records are retained in the office, at an approved off-site facility, if necessary, and the total retention. It should also indicate when the “clock starts ticking.”

Records Retention Schedules:

Determining the Retention Period (Cont.)A records retention period must be clear

and concise:– What we’ve seen:

“5 years or until superseded, whichever” “Permanent – purged upon death” “Until form used”

– What it really meant: “Ten years after final grant report submitted” “Five years after the license expiration date” “No retention” (copy of issued certificate is not

retained)

Records Retention Schedules:

Determining the Retention Period (Cont.)“Permanent” means “Forever”

Only a very small number of records need to be kept forever!

Be prepared to defend why the retention should be “permanent:”

R̶Statute or regulationR̶Significant historical / research valueR̶“Just in case” is not acceptable

Approved Form RC-050 for Teachers’ Retirement Board (page 1 of 2)

Approved Form RC-050 for Teachers’ Retirement Board (page 2 of 2)

Records Retention Schedules: Things to Avoid

Don’t list each individual form

Don’t use professional or agency jargon

Don’t use abbreviations or acronyms (unless spelled out the first time used)

Don’t list record series already included on a general schedule

Form RC-050: Records Retention Schedule

www.cslib.org/publicrecords/retstate.htm

Results of Applying Records Retention Schedules

According to most studies, on average:

40% of records can be destroyed

25% of records can be transferred to a records center

5% of records are archival

30% of records remain in the office

Take a Break!

15 Minute Break

Please return promptly as we have much more to cover!

Refreshments can be purchased at the Cafeteria on the ground floor

Records Storage ON-SITE:

− Central Records Facility / Room

OFF-SITE:− Agency-operated Records Center− State Records Center− Commercial Records Center

Pursuant to CGS § 11-8, all records storage facilities must be approved by the Public Records Administrator

Example of a central records room (DEP)

Example of a central records room (DEP)

State Records Center

State Records Center Located in Rocky Hill at 198 West Street Monday – Friday, 8:00 a.m. to 4:00 p.m. Secured Facility Services include:

−Storage of Records−Records Retrieval, Re-file, and Interfile−Records Destruction

Currently all services are free of charge!

State Records Center: Looking out from the vault

State Records Center: Transferring Records

General Letter 2008-2: Transfer of Records to State Records Center and Approved Boxes for Records Storage

Complete the Records Center Storage List (Form RC-100)

Records should:−Correspond to an approved records retention

schedule−Be part of the same record series−Have the same destruction year

State Records Center: Transferring Records (Cont.)

E-mail the completed Records Center Storage List (Form RC-100) to recordsctr@cslib.org

Records Center Staff will contact you to schedule a shipment date

Form RC-100: Records Center Storage List

State Records Center:Approved Boxes

Only use approved boxes−1.0 cubic foot−Tested for durability−Stores both letter and legal-size records

You may purchase from vendor on state contract (#07PSX0044)

State Records Center:Packing the Box

Do not over-pack the box (30 lb. limit)

Damaged or over-packed boxes will not be accepted

Each box should contain records that have the same destruction year

State Records Center:Labeling the Box

Properly mark each box Use the short side (12”) of the box Leave a 6” by 2” space for staff use Print legibly

Example of an improperly labeled box

State Records Center: Delivering the Records

The agency will need to deliver and unload their records

Boxes are unloaded in order as listed on Form RC-100

A copy of Form RC-100 will be returned to the agency

Delivering the records

Checking the boxes against the RC-100

State Records Center: Reference Requests

Complete the Records Center Reference Request (Form RC-200)

E-mail, fax, or call-in your request

Form RC-200: Records Center Reference Request

State Records Center: Destroying Records

Records Center staff will contact the agency once the records have met the retention period

The agency must review and approve all records available for destruction

A signed copy of Form RC-100 will be returned to the agency

Destroyed Records Center Storage List (Form RC-100)

Records Disposal Authorization

Periodically review the records retention schedule to determine which records are eligible for destruction

Send completed Records Disposal Authorization (Form RC-108) to the Office of the Public Records Administrator

Destroy records when the signed form is returned, or arrange for transfer of designated historical records to the State Archives

Records Disposal Authorization Things to

Remember Statutes: Criminal Intent

−CGS § 1-240−CGS § 53-153

Commercial Storage−Still have to ask for permission to destroy−Conduct regular audits

Form RC-108: Records Disposal Authorization

Need to dispose of

record

Is record listed on

a general

schedule?

Is record listed on

an agency

schedule?

Contact the agency RMLO who

will work with the Office of the Public Records Administrator

(OPRA) to schedule the

record

Is the retention

permane

nt?

Retain until the minimum retention

period has passed

Has the minimum retention

period passed?

Submit a Records Disposal

Authorization (Form RC-108) to OPRA for

review

Upon receipt of signed Form RC-108, destroy or transfer

records to State Archives as directed

No No

Yes Yes

No

No

Retain in agency or contact State Archivist for

appraisal and possible transfer to

State Archives

Yes

Records Disposal

Does the record

pertain to any pending case, claim or action?

NoRetain until

the case, claim, or action is resolved

Yes Yes

Connecticut State Archives

The Connecticut State Archives is:- Buildings- Records- Staff

BUILDINGS (Connecticut State Library)

BUILDINGS (Van Block Facility)

RECORDS

STAFF (Assistant State Archivist Bruce P. Stark)

Background of State Archives

1855: Connecticut State Library began acquiring state public records

1909: Connecticut State Library became the official State Archives

1984: General Assembly includes the post of State Archivist as part of the State public records program

What is an Archival Record?

Government records possess archival or enduring value if they contain information which satisfies one or more of the following:

− Documents the evolution of organization, policies, and practices

− Documents obligations, claims, or petitions− Documents State legal and legislative history− Contains information which is used by

researchers for reasons other than those for which the records were created, e.g., commercial or cultural reasons

Archival records may be in any format, including paper, photographs, film, tapes, disk, and video.

www.cslib.org

www.cslib.org/archives/FAIndexes

How to Transfer Records to the State Archives

Contact the State Archivist (work through your RMLO)

Arrange for physical transfer

Complete the Memorandum of Transfer

State Archives staff can come to your agency to retrieve boxes

Memorandum of Transfer (p. 1 of 2)

Memorandum of Transfer (p. 2 of 2)

Connecticut State Documents at the Connecticut State Library

Who wants my agency documents?

Whether in paper or electrons,

We do!

 Sec. 11-4a. Commissions and agencies to file reports with librarian. Each commission, task force or committee appointed by the Governor or the General Assembly, or both, and required to report its findings and recommendations, and each state agency which submits a report to the General Assembly or any committee of the General Assembly, shall submit its report to the clerks of the Senate and the House of Representatives, and shall file with the State Librarian as many copies of such report as the commission, task force, committee or agency and the librarian jointly deem appropriate, and one copy with the Office of Legislative Research.

      (1959, P.A. 419; P.A. 87-64.)

      History: P.A. 87-64 deleted reference to "temporary" commissions, extended reporting and filing requirements to task forces and state agencies which report to the general assembly or a committee of the general assembly, and required one copy of report to be filed with office of legislative research.

The 1977 Connecticut General Assembly established (Public Act 77-561) a depository library system to improve the accessibility of Connecticut State Agency Documents. That law [ C.G.S. 11-9(b)-(d)] requires each state agency to provide copies of its publications to the Connecticut State Library. The CSL then distributes the documents to designated libraries in the state and the Library of Congress. While most libraries in Connecticut have some Connecticut documents these depositories hold considerably more. Public Act 07-227 included electronic or other intangible forms

WHY we do it?It’s the Law (& there are a

couple.)

Why we really

do it?

It’s fun!!& Important, too

Before we made Connecticut our Staycation Destination we were just ….

Hunting

&

Gathering

From your file cabinets…

To our stacks

Why we really

do it?

It’s fun!!

& Important, too

AccessPreservation

Each item will be accessible through our catalog by author,agency, title, subject or keyword. The catalog record is also supplied to reQuest, the statewide library catalog, and to WorldCat, a worldwide library database that includes over 58 million records.

W e s e n d cop iesto o th e r d ep o s itory lib ra r ies

th ro u g h o u t th e s ta te

W e se n d tw o co p iesto th e L ib rary o f C o n g re s ss

W e k e epo n e co p y in a

s e cu re d loca tion

W e k ee p o n eco p y fo r u se

a n d c ircu lation

P e r 11C G S 9b e t. s e q .,e a ch a g en cy s e n d s 17 cop ies

o f e a ch p u b lica tio n to th e S ta te L ib ra ry

Connecticut State Depository Program

Connecticut State Documents Depository Library Network

www.cslib.org

www.cslib.org

Connecticut Digital Archive

“Archives” electronic Connecticut state publications in a secure repository: the OCLC Digital Archive in Dublin, Ohio

All records and objects freely available through the Library catalog, the statewide union catalog, and WorldCat

Document Selection

Stephen Rice

How can you help us?READ THE BROCHURE!!!!

Send 17 copies of all print publications to:

Collection Management UnitAttention: Connecticut DocumentsConnecticut State Library231 Capitol AvenueHartford, CT 06106

How can you help us?READ THE BROCHURE!!!!

Send an e-mail to cda@cslib.org to notify us when you post or remove documents from the Web

HELP !

Connecticut Uniform Electronic Transactions Act as codified in CGS §1-266 to 1-286

Regulates electronic transactions and signatures

Includes e-mail in the definition of an electronic record

Electronic Transactions

Electronic Transactions: Definitions

CGS §1-267 (7) “Electronic record means a record created, generated, sent, communicated, received or stored by electronic means, including, but not limited to, facsimiles, electronic mail, telexes and Internet messaging.”

CGS §1-267 (8) “Electronic signature means an electronic sound, symbol or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record.”

CGS § 1-282. “Creation and retention of electronic records and conversion of written records by governmental agencies. Except as otherwise required by the State Librarian or the Public Records Administrator in accordance with sections 11-8 and 11- 8a, each governmental agency in this state shall determine whether, and the extent to which, it will create and retain electronic records and convert written records to electronic records.”

Electronic Transactions: Definitions (Cont.)

CGS § 1-283. “Acceptance and distribution of electronic records by governmental agencies. Interoperability. Regulations. (a) Except as otherwise provided in subsection (f) of section 1-277, each governmental agency in this state shall determine whether, and the extent to which, it will send and accept electronic records and electronic signatures to and from other persons and otherwise create, generate, communicate, store, process, use and rely upon electronic records and electronic signatures.”

Electronic Transactions: Definitions (Cont.)

Managing E-mail:Essential Elements

Policies and Procedures

Records Retention Schedules

Training

Software

Continuous Improvement / Updates

Managing E-mail:State Policies

General Letter 98-1: Electronic and Voice Mail: A Management and Retention Guide for State and Municipal Government Agencies−Defines e-mail and public records−Explains retention guidelines for e-mail

messages−Clarifies retention of voice mail

www.cslib.org/publicrecords/opraforms.htm#guidelines

www.cslib.org/publicrecords/email.htm

Managing E-mail:Retention Guidelines

Transitory (non-record) messages are casual and routine communications similar to a telephone conversation

Public records with a less than permanent retention period

Public records with a permanent or archival retention period

Managing E-mail:Retention Guidelines (Cont.)

Transitory Records: delete at will

Convey information of temporary importance

Includes convenience copies that are distributed for informational purposes

Often similar to oral communication

Managing E-mail:Retention Guidelines (Cont.)

Less than Permanent Records: follow the retention period for the equivalent hard copy record as specified in an approved retention schedule: Must be able to retrieve the record for the

minimum retention period required

Most records fall into this category

Includes routine correspondence

Managing E-mail:Retention Guidelines (Cont.)

Permanent or Permanent / Archival Records:

Must be retrievable for the life of the record

Maintain human-readable copy, e.g. paper or microfilm

Managing E-mail:Filing and Classification

Most e-mail systems are not filing systems

Files created by users are generally outside of the agency filing system

Filing and classification is specific to the user

We are Here to Help!

Training Opportunities Presentations to Agencies On-site Visits Records Storage at the State Records

Center Permanent Records Storage at the

State Archives Assistance with Developing Records

Retention Schedules Guidance and Support

Connecticut State Library

Office of the Public Records Administrator(860) 757-6540www.cslib.org