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? 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. Pulaski County Courthouse 1989

What is not a record? Reference materials Administrative and personal correspondence Personal materials Stationery, blank forms, and publications for distribution Copies of policy and procedure manuals 1. reference texts, magazine and newspaper articles, textbooks, presentation handouts, extra copies of official records, etc. 2. meeting times, lunch dates, staff association memos, FYI memos, spam, etc 3. errand lists, bills, checkbooks, personal letters and/or photos, etc

Why Records Management is important to the Commonwealth Minimize litigation risks Ensure federal, state, and regulatory compliance Safeguard vital information All valid reasons to introduce sound records management practices in the office. As you will see some of these have more impact than others.

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

You may use all of these schedules You may use all of these schedules. You may NOT use the 31 locality schedules (double digit, instead of triple). http://www.lva.virginia.gov/agencies/records/sched_state/index.htm

Example page from General Schedule Number 101.

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. “Destroy in compliance with No. 8 on the schedule cover page.”

Virginia Public Records Act What does this mean for you? 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 §18.2-186.3 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. The bottom line is – you’re required by law to destroy records.

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. This also applies to copies of records. If you have destroyed a record according to the retention schedule, but someone has a copy saved in their email, on a USB, on a personal computer, etc. you must produce that record. It’s important to destroy all copies of a record at the end of the retention period.

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. Schedules apply to reformatted and born digital records, as well. Let’s talk about reformatting and then we’ll look at one of your most common born digital records – e-mail. Copies of originals as evidence You must be able to access your records during the entire length of the retention period. Which may be many years. Therefore you may have to migrate files as time passes to new formats. Or if you upgrade your system, you will have to ensure that there is backward compatibility so that the older images can still be accessed.

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. Note that ImageNow documents are stored in two locations.

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. We have our Inbox open on our desktop all day, but it’s easy to forgot that the Sent mail are the records you are creating.

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 One way to preserve your email is to print them. Be sure all the following information is included.

E-mail tips 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 This is a public record, so include the same information you would in a letter: name, title, agency, phone number. Most people will look to your last email for your contact info before going to your business card This email could be requested as part of a FOIA action, so keep in mind that others may see this You don’t need to keep all 10 emails in a conversation. Keep the last email. Be sure to reattach attachments, since these are records as well. Save your opening greetings or “how was your weekend” comments for the first line of your email. It will be easier to find and retrieve email when the subject line is useful. This is a public record. Be smart about what you say! When sensitive issues need to be discussed, a face-to-face conversation or telephone call may be a better communication choice than e-mail.

Identifying destruction dates 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. LVA is the Library of Virginia

Form available in Word online: type in the top information and name of RO, save and reuse form. Use series title as listed on schedule. May include additional information, but not confidential. Do not attach detailed lists to form Volume can be estimate. Include electronic records destruction, too

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. Effective December 2008. You’re also required to destroy certain records in certain ways.

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 Examples include Agency head correspondence and minutes of meetings from boards required to COV or VAC

Transferring archival records Identify schedule and series number Determine volume of records Order acid free boxes Label boxes Create a folder listing of box contents This is slightly different than the procedures for the SRC. Be sure to indicate on the form whether the records are going to the Archives or the SRC. Label boxes: Name of the agency or locality Administrative subdivision Records series title and dates Contents of the box, meaning the name or number of the first and last files in the box Box number

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

Box 9: Archives, Imaging Services, or SRC Box 17: Do not use a SRC bar code Box 10: Identify restrictions. Records will be closed 75 years

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 VPRA lays out the guidelines for establishing LVA as RM source as well as what is required of Commonwealth RM FOIA governs the rights to public access of records as well as what cannot be disclosed Originals as Evidence allows you to reformat records legally

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 rsdavis@vcu.edu ) 

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 ImageNow@vcu.edu 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 srheinit@vcu.edu , recycling hotline at (804) 827-7777 or contact the FMD Customer Services Center at (804) 828-9444 http://www.vcu.edu/recycling/contactus.html