1. EFFECTIVE RECORDS MANAGEMENT PROGRAM Indiana Commission on Public Records Indiana SHRAB Conference April 13, 2010 Government Records Indianapolis, IN

2. EFFECTIVE RECORDS MANAGEMENT Retention and Disposition of Public Records Explanation of Retention Schedules Use of New CLGRS (County and Local Government Retention Schedule) Proper Use of Current Forms

3. What Are Public Records? Any writing, paper, report, study, map, photograph, card, tape recording, or other material that is created, received, retained, maintained, used or filed by a public agency and which is generated on paper, paper substitutes, photographic media, chemically based media, electronically stored data, or any other material, regardless of form or characteristics. IC 5-14-3-2 (9)

4. Retention and Disposition of Public Records Records Storage and Destruction in a Nutshell 1. Create the Records (Birth) 2. File the Records (Life) 3. Destroy the Records (End) or Keep them Permanently.

5. The Indiana Commission on Public Records was created by Public Law and our mission statement is to assist State and Local Governments in the efficient management of public records.

6. There are three basic reasons why every County and Local Records Official needs an effective Records Management Program. 1.To perform its legal mandates and responsibilities. State, Local and Federal laws, judicial system, and taxpayers all rely on us to manage public records properly. Value of Good Records Management

7. 2. To store records in the most efficient and cost-effective manner possible. If you are storing boxes in your office that you do not need there, your office is losing money and workspace. 3. To assure public access to the documentary history of Government. Proper archiving of public records provides long-term accountability for offices, documentary history of county/local government, and valuable research information for the public.

8. What Can You Do To Manage Your Records Effectively? 1. Become familiar with records retention schedules and how to read them. 2. Become familiar with records transfer, storage, and destruction procedures. 3. Teach what you learn about records management to others in your office.

9. The most important tool you will need in records management is your Retention Schedule – it is the foundation of a successful records management program. What does a Retention Schedule do? 1. Describes a particular set of records or type of record created by a government unit. 2. Displays the retention or length of time a record must be kept. 3. Lists the disposition instructions or how to dispose of or maintain each record series.

10. All county and local retention schedules are approved by the Indiana Oversight Committee on Public Records. These schedules may be used only after ADOPTION BY THE COUNTY COMMISSION ON PUBLIC RECORDS for your county. Any records not listed on these schedules may be destroyed only with permission of the COUNTY COMMISSION ON PUBLIC RECORDS and the INDIANA COMMISSION ON PUBLIC RECORDS.

11. County Retention Schedules Counties: General Retention Financial (COGRFIN) County Auditors' Retention Schedule (COARS) County Clerks: Miscellaneous Records (COCLK) County Coroner: General Retention Schedule (CCGRS) County Recorders (CORESCH) County Treasurers (COTRS) City/Town/District Retention Schedules Cities And Towns Above 5,000 Population General Retention (CTGRS) Towns Below 5,000 Population General Retention (TGRS) Special Districts General Retention Schedule (SDGRS) Township Trustee General Retention Schedule (TTGRS) Other Local Retention Schedules Public Libraries: General Retention Financial (LIGRFIN) Care Of Indiana Public School Records: A Record Creator's Guide Additional Retention Information Year to Year Destruction Schedule Judicial Records Retention Schedule

12. Retention Schedules are developed to assist County and Local Officials with managing the public records in their custody. These records are destined through a Retention Schedule for preservation or ultimate destruction. Depending on the Retention Schedule, the record can be stored temporarily and then destroyed, or it can be preserved permanently as an historic record, or transferred to your local Genealogical or Historical Society or possibly the State Archives. The timely transfer or destruction of unnecessary records help to create space for preservation and security of important legal and historical records, thereby improving public access and reducing the burden of record keeping in your county.

13. There are two types of Retention Schedules in use: 1. A General Retention Schedule, which has been called COGRFIN, and applies to all county and local units of government and the records they create that apply to most county/local offices, and 2. Office Specific Schedules, which apply only to particular offices and the unique records they create. Office Specific Schedules should not contain items covered by the General Retention Schedule. Office Specific Schedules are being revised to remove all items being transferred to the General Retention Schedule.

14. We have developed a new County/Local General Retention Schedule (CLGRS) for all offices, which will take the place of the COGRFIN. This Retention Schedule is divided into five (5) categories: 1. Administrative 2. Accounting and Finance 3. Personnel 4. Publications and Reports 5. Audio, Video and General Media Retention periods for some records are increased in length of time to be retained because current Indiana Code statute of limitations have been applied to all records on this schedule.

15. How Do I Get Rid of Records That Can Be Destroyed Notice of Destruction, State Form No. 44905 (Use if Retention Schedule is approved) or Request for Permission to Destroy or Transfer Certain Public Records, State Form No. 30505 (Use if Retention Schedule has not been approved or if there is a record not covered by an Approved Retention Schedule)

16. A public official may not mutilate, destroy, sell, loan, or otherwise dispose of any government record, except under a retention schedule or with the written consent of the commission (on public records). IC 5-15-5.1-1-14 It’s illegal to destroy public records if you do not have an approved records retention schedule or special written permission from ICPR. A public official may not mutilate, destroy, sell, loan, or otherwise dispose of any government record, except under a retention schedule or with the written consent of the commission (on public records). IC 5-15-5.1-1-14

17. Use of Current Forms Notice of Destruction, State Form 44905 This form is used as notification to destroy all records that are on an approved Retention Schedule, have been kept for the length of time required on this schedule, and are not a Permanent record. The beauty of the Retention Schedules and the Notice of Destruction is that you do not have to go through the County Commission of Public Records to get permission to destroy records that are on a Retention Schedule and have been kept for the required length of time.

18. Request for Permission to Destroy or Transfer Certain Public Records (PR-1), State Form 30505 Until a Retention Schedule has been approved for use by your office and adopted by your County Commission of Public Records, or if any record is not listed on an approved Retention Schedule, this record can only be destroyed by completing a Request for Permission to Destroy or Transfer Certain Public Records (PR-1), State Form 30505, and then obtaining approval of the County Commission of Public Records at their meeting.

19. This form, PR-1, is also used for the following: 1. Request to destroy previously microfilmed originals 2. Request to microfilm and destroy. 3. Request to transfer to:

20. Permanent Records If a record is determined to be PERMANENT, You can only destroy or transfer these records if you MICROFILM the original records. If you digitize Permanent records, or they are submitted electronically, they MUST also be converted to microfilm. Digital records are NOT recognized as Permanent format to preserve information.

21. Indiana Commission on Public Records Website www.in.gov/icpr/2359 Specific to County/Local Records Records Retention Schedules Example of County E-Mail Retention Policy (Bartholomew Co. Guide to Preservation and Destruction of Local Public Record Forms (for county/local records) County and Local Government Links General Records Management What is a Retention Schedule? Publications Laws Links Records Disaster Prevention and Reporting

22. In conclusion, the preservation of valuable government records that protect the legal rights and heritage of all Hoosiers is an important function of Government. However, nonessential paperwork uses valuable storage space and adds to financial burdens of our citizens.

23. By using your County Adopted Retention Schedules, you can determine what must be preserved and what should be discarded. Public Records are the foundation, the memory and the protector of democracy in Government !!!!!

24. We are always available to help you in any way we can to make your job easier concerning records management. Contact Beverly A. Stiers E-mail: bstiers@icpr.in.gov Phone: (317) 232-3661 Fax: (317) 233-1713