Records Management: The Public Records Act, the Library of Virginia, and You Glenn Smith Records Management Analyst

What if… …your records management program was a book, movie or TV show, which one would it be?

What we’ll cover 1.Virginia Public Records Act 2.Understanding and using the schedules 3.Records destruction 4.Files Management & e-recs?

Why records management matters Protect rights of citizens Improve efficiency Reduce risk of litigation Ensure compliance

Virginia Public Records Act Designate a records officer Establish and maintain a records management program Destroy records and report to LVA COV § et seq.

What is a public record?... documents a transaction or activity... Regardless of physical form or characteristic is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business. COV §

What is not a record? Reference materials Administrative and personal correspondence Stationery, blank forms Copies

Records management is… Managing information... So that it may be efficiently accessed... By the people who need it... Without undue burden of time or cost.

What we’re covering 1.Virginia Public Records Act 2.Understanding and using the schedules 3.Records destruction 4.Files Management & E-recs?

Classifying records Record Series Related documents normally filed together General Schedule Common records created and maintained by localities and state agencies Specific Schedule Records unique to an agency that reflects its responsibilities

Series title Series description Series number Retention and disposition statement Schedule number & title

Series title Series description Series number Retention and cutoff event Disposition Schedule number & title

Look out for… Confidential records Series not identified on a schedule Format versus content

What about my ? Manage sent and received Public can request Accessible for full retention period

Benefits of using the schedules Save space and money Identify useful lifespan of records Assist in off-site storage decisions

36” x 58” = 2088 sq. inches or 14.5 sq. feet 14.5 sq. ft x $20/sf/month = 18” 16” 24” Office Systems Consultants, A Division of Webb Inc. 36” $ a month

What we’re covering 1.Virginia Public Records Act 2.Understanding and using the schedules 3.Records destruction 4.Files Management?

Records disposition

Documenting destruction Complete Approve Destroy Submit Complete Certificate of Records Destruction (RM-3 Form) Approving official signs Records officer signs Destroy records Person affirming destruction signs Mail original form to LVA

Each agency shall ensure that records created after July 1, are destroyed or discarded in a timely manner such records that contain identifying information... shall be destroyed within six months... Timeframe for records destruction COV §

(i) name (ii) date of birth (iii) social security number (iv) driver's license number (v) bank account numbers (vi) credit or debit card numbers The clauses…. COV § (vii) personal identification numbers (PIN) (viii) electronic identification codes (ix) automated or electronic signatures (x) biometric data (xi) fingerprints (xii) passwords

Destroying records with SSN Paper: Shred (  3/8”) Pulp Incinerate Back-up tapes and computer hard drives: Overwrite Degauss Physically destroy Magnetic media: Overwrite Expose to a magnetic field 17 VAC

What we’re covering 1.Virginia Public Records Act 2.Understanding and using the schedules 3.Records destruction 4.Files Management & E- recs!

Good Files Management is… determining how your files are most effectively arranged, categorized, stored, and accessed regardless of format (paper, electronic, film…) – an inventory is used to identify the number, title, description, physical location, custodial responsibility, and disposition of files held by an office(s).

Records Locator Inventory (RM-20 Form) Used to identify all records within a division or office Provides a quick look at what information is maintained where and how Is for agency/locality reference only Use the Volume Estimation Table in order to approximate volume of records

Files Management is also… Determining how your files are classified according to Library of Virginia (LVA) retention and disposition schedules Assessing the current plan -- determine if it is working and make any needed adjustments

Remember!! A good filing system is comprised exclusively of records and is not cluttered with convenience or reference copies

Electronic records challenges Media degradation and obsolescence Format obsolescence Cooperative effort between – Records management staff – Management – Legal counsel – Information technology department Major advantage = major liability – Ease of copying and modification

More challenges… Controlling accumulation and duplication Maintaining records in a way that will enable retrieval of all documents relevant to a transaction Ensuring that records are destroyed at the end of their retention period in order to avoid – Overloading systems – Indiscriminate dumping

What we covered 1.Virginia Public Records Act 2.Understanding and using the schedules 3.Records destruction 4.Files Management & E-records

Questions? Glenn Smith Records Management Analyst All forms and schedules, as well as additional resources, available at: