Employees & Public RecordsWhat every public employee
needs to know
July 25, 2007
The Laws
Public Records Management
Public Records LawsORS 192 & 357
Secretary of StatePublic Records Administrator
State ArchivistAuthorizes Destruction
Advises and Assists
Public Records LawRetention & Disposition
“‘Public record’ includes, but is not limited to, a document, book, paper, photograph, file, sound recording or machine readable electronic record, regardless of physical form or characteristics, made, received, filed or recorded in pursuance of law or in connection with the transaction of public business, whether or not confidential or restricted in use.” ORS 192.005 (5)
Public Records LawAccess
“’Public record’ includes any writing containing information relating to the conduct
of the public’s business, including but not limited to court records, mortgages, and deed
records, prepared, owned, used or retained by a public body regardless of physical form or
characteristics.” – ORS 192.410 (4)
Public Meetings Law
“The Oregon form of government requires an informed public aware of the deliberations and decisions of governing bodies and the information upon which such decisions were made. It is the intent of ORS 192.610 to 192.690 that decisions of governing bodies be arrived at openly.” - ORS 192.620
What the Laws Include
None of these laws distinguish between home or office
AND
They are all inclusive (i.e. “regardless of physical form or characteristics”)
Retention SchedulesKnowing what to keep and what
to throw away
Records Retention Schedules
Types of Records Retention Schedules
A records retention schedule, approved by the State Archives, is your legal authorization to destroy
public records
General Schedules are retention schedules that are written so that many individuals may use them, regardless of the agency or department that they work for. (OAR 166-150, 166-200, 166-300)
Special Schedules are written for records that are unique to a particular government agency or department and can only be used by that agency or department.
• Administrative needs of the agency
• Fiscal requirements of the agency
• Legal requirements of the agency
• Long term research value (Historical)
Appraisal Values of Records
OAR 166-200-0040(2) Budget Committee Meeting Records Records documenting the proceedings of the committee responsible for reviewing the annual budget proposals of city departments prior to city council review, as described in Oregon's Public Meetings Law (ORS 192.610 to 192.710). Records often include minutes, agendas, exhibits, staff reports, tape recordings, and related documents. Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records) permanently
(b) Retain audio or visual recordings 1 year after minutes prepared and approved
(c) Retain other records and exhibits not pertinent to minutes 5 years
General Schedule Example
Using the Schedule
Retentions apply regardless of physical format, so...
Photos, maps, drawings, reports, e-mail, excel spreadsheets, correspondence, audio tapes, video tapes, DVD’s, CD’, etc.
Are ALL subject to retention, if it fits the definition of a public record
Electronic Records
Electronic Records and E-mail
Electronic Records - Any information recorded in a form that requires a machine to process
E-mail – Efficient communication tool, commonly found in the workplace. Its informal nature creates a business challenge
Goal - Like paper records, preserve ONLY for as long as it is needed to accurately document agency functions
Awareness
How do we get an agency’s attention?
ExperienceState Accident Insurance Fund (SAIF)City of Beaverton vs. NIKE Corp.
EducationVideo and Manual
Approach
Change behavior and viewpoint
Create an environment of accountability
Give agencies the necessary tools to accomplish the above
Policies and Procedures
Core Elements of a Good PolicyAppropriate Use StatementAccess to employee computers and
accounts; Privacy NoticeRetention of E-RecordsPolicy AwarenessTraining Compliance
Technology
Storage and PreservationSaving to hard drive is not a solutionSecurity back-ups & long-term storage are not the same thing
SoftwareShould assist in proper management of e-records
Technological ObsolescenceMigration Plans
Technology
Written policies & procedures, addressing use, access & retention a MUST!
Should only be used IF agency can capture & retain information sent & received using these technologies
Alternative Communication Devices Instant Messaging PDAs Chat Rooms Blogs
Retaining E-Records
Methods for Retaining E-records E-filing SystemPrint and FileHybrid
*Note for e-mail: Messages that need to be saved for a long period of time (i.e. more than 1 year) should be exported from the e-mail system and stored in a more reliable and stable system (e.g. printed or within a records management application).
Filing Systems
Create a filing system that is the same for both electronic and paper records
Keep your filing system simple, logical and easy to implement; otherwise, it will not be used effectively
Before
Barcode_temp
deaccession letters
destruction letters
destructions
EXCEL DOCS
excell forms
FORMS
labels
Mid Town Storage
Misc Letters
My Pictures
RC Guide
RC PICTURES
RC UPDATE
Records Center Construction
Security Depository
time sheets
transmittal letters
Archives locator
Assessment Jan28-98
Conversion
Evac Route 1
Evac Route 2
Garten Month Dest
locations available Old
locations available
Main Records Center
map
Mark pos. review
Master List
PERSupdate
Pos.Rev.Questionnaire
RC LOANS 1994-98
RC LOANS 1999
RC LOANS 2000
RC LOANS 2001
RC LOANS 2002
RC LOANS 2003
RC LOANS 2004
RC LOANS 2005
‘Filing System’
After
Special Projects
Deaccession Letters
Destruction Letters
Destructions
labels
Mid Town Storage
My Pictures
RC Guide
RC PICTURES
RC UPDATE
Records Center Construction
time sheets
transmittal letters
Assessment Jan28-98
Evac Route 1
Evac Route 2
locations available Old
locations available
Main Records Center
map
Mark pos. review
Master List
Pos.Rev.Questionnaire
RC LOANS 1994-98RC LOANS 1999
RC LOANS 2000
RC LOANS 2001
RC LOANS 2002
RC LOANS 2003
RC LOANS 2004RC LOANS 2005
Barcode
Administrative
Forms
Records Disposition
Inventory Control
RC LOANS
Budget
Personnel
Filing System
Deacessions
Deaccession Authorizations
Destruction Authorizations
Destruction Receipts
File Structure
Deaccessions
Destructions
Records Disposition
Destruction Request Letters
Destruction Authorizations
Garten Destruction Receipts
Deacession Request Letters
Deacession Authorizations
1 year
75 years
4 years
1 year
Permanent TL’s– 2 years after transfer to State Archives, destroy
Non-Permanent TL’s – 10 years after final disposition, destroy
ERMS Work Flow
Document Created
User Prompt 1
Does Records need to be saved?Yes
No – Record is not retained
User Prompt 2
Which file do you want to save it to?
Deaccessions
Destructions
Records Disposition
Destruction Request Letters
Destruction Authorizations
Garten Destruction Receipts
Deacession Request Letters
Deacession Authorizations
1 year
75 years
4 years
1 year
Permanent TL’s– 2 years after transfer to State Archives, destroy
Non-Permanent TL’s – 10 years after final disposition, destroy
ERMS Work Flow
Destruction Request Letters1
year
Document is placed in proper folder
System Administrator is prompted when document is ready for destruction
Document is accessible until final disposition
By placing in folder, document is assigned proper retention & disposition by ERMS
Summary
E-Records Management
The E-mail System is a mode of transmission, not a type of record
The e-mail message is the record
Implement a systematic filing system
Apply records retention to all e-records
ConclusionWritten policies & procedures that address use, access & retention are a MUST in the electronic world
Train your employees on your policies
Ensure that you use your retention schedule and that the management of your public records is systematic & routine
Continuously & systematically monitor for compliance to policies & procedures
For More Information…
Archives Division - Information Resource Management Unit
Phone: (503) 373-0701E-mail: [email protected]: http://arcweb.sos.state.or.us