1. Records Management Basics
Kevin Callaghan, Director
Records Management Division
TN Secretary of State

2. Why are Records Important?
Legal Requirements – The agency is responsible for these Public Records. Records may only be destroyed according to the Records Disposition Authorization (RDA) that has been approved by the Public Records Commission.
Legal Repercussions - The State may face fines, penalties, and civil liability for improperly destroyed records. Individuals may face criminal liability under T.C.A. §
Citizens of the State of Tennessee are the owners of the records. These are Public Records and it is our responsibility to safeguard the public records.

3. The Basics What is a Record?
“‘Public record or records’ or ‘state record or records’ means all documents, papers, letters, maps, books, photographs, microfilms, electronic data processing files and output, films, sound recordings, or other material, regardless of physical form or characteristics made or received pursuant to law or ordinance or in connection with the transaction of official business by any governmental agency.” T.C.A. § (6)
The test for determining whether a record is public is “whether it was made or received pursuant to law or ordinance or in connection with the transaction of official business by any governmental agency.” Griffin v. City of Knoxville, 821 S.W. 2d 921, 924 (Tenn. 1991).

4. What is a Record? Records Non-Records Budget Documents
Payroll Documents
Contracts
Revenue Reports
Investigation files
Audit reports
Personnel files
Brochures
Reference Materials
Catalogs
Bulletins
Trade Journals
Manuals

5. What format are your records in?
Physical Records
Electronic Records
Paper
Microfilm
Microfiche
Videos
Photographs
Servers
Computer files
Documents on a collaborative workspace
CD/DVD

6. What is an RDA?
“Records Disposition Authorization” means the official document utilized by an agency head to request authority for the disposition of records. The Public Records Commission shall determine and order the proper disposition of state records through the approval of Records Disposition Authorizations T.C.A. § (8)

7. Types of RDAs Statewide RDA Specific RDA
Statewide RDA’s document records that state agencies have in common, such as fiscal, administrative, personnel, etc.
Specific RDA
This applies to records that are unique to a state agency’s operations and mission. The schedules identify records that the agency produces, collects, receives, or retains in carrying out its special functions.

8. Electronic Records

9. Electronic/Digital Format
Word Documents, PDF’s, TIFF images
Digital photos
Video (surveillance, mobile devices, & security cameras) Audio (tapes, voic , etc.)
& text message (correspondence)

10. Electronic Records are Public Records
Subject to Open Records Law and public records requests.
The format does not change the responsibilities of the agency in managing the record.
Proper retention and security must be maintained.

11. Storage

12. Maintaining Records in Agency
Advantages
Disadvantages
Quick access for business use
Easily available for audit, litigation, or record request purposes
Increases need for physical space
Expensive to store in agency by sq. ft.
Multiple copies and extra copies are often generated
Originals are handled often
Security risks if not properly stored

13. Onsite Storage
Records series that are referred to more than once per month are generally considered active and should be kept in the office, close to where they will be accessed.
Consider environmental and security concerns when looking for an appropriate storage site within your facility.
Ideal environmental conditions are consistent, with minimum fluctuation in temperature and humidity, and include areas that are:
Temperature maintained in the 65–70° range
Humidity maintained at 40% +/- 5%
Protected from fire by the installation of smoke detectors, water sprinklers, and fire extinguishers
Free of vermin and insects
Far from water pipes
Not in a flood zone or other natural disaster area

14. Storing Paper Records Advantages Disadvantages
Does not require special technology aside from photocopier
Lower cost by storing records offsite or at State Records Center
Increases need for physical space
Excessive deterioration of original
Results in image degradation

15. Electronic Storage Disadvantages Advantages
Reduces need for physical space
Reduces wear and tear on originals
Facilitates indexing, searching, and retrieval
Allows for multiple access points
Recreates high-quality user copies with no image degradation
Requires software or hardware to access
Requires continuous monitoring and eventual or periodic migration and conversion
Faces software and hardware obsolescence
Necessitates time-consuming metadata creation
Requires expensive equipment to create and maintain
Standards are not universally accepted
Modification or corruption are potential authentication issues

16. Dangerous Media Storage Practices – Do Not Use
Flash/Thumb Drives – These items are fragile, easily misplaced, subject to malware, and no security to prevent unauthorized access.
CD’s/DVD’s – While disks are convenient they are easily damaged, contain no security, lose data, do not meet requirements for long term retention.
Removable/Portable Hard Drives – The appropriate use is temporary storage for transfer of data to secure server environment. Portable drives are also subject to malware, physical damage, data loss due to handling or environment.

17. Destruction

18. Destruction
The method of destruction depends on criteria described in the Records Disposition Authorization.
Those that are deemed confidential, private, or sensitive will be shredded for a fee by Richards & Richards to ensure that the information is protected.
Records not requiring confidential destruction may be recycled.
Any records may be confidentially destroyed on request.
Confidential records destruction services are also available for offices not using the Richards & Richards storage services.

19. Destruction: Certificates
The agency Records Officer is expected to review their agency’s records and determine which ones are due for destruction.
When records are destroyed in agency, a Certificate of Records Destruction form must be filled out and submitted to Records Management.
Non-records such as copies do not need to be documented on a CRD.
Working papers and temporary records can be documented on CRD’s.

20. Destruction: Certificates
The Certificate of Destruction documents the destruction date, record series, RDA number, date range for the records, volume destroyed, and destruction method.
Records Management maintains all of the CRD’s and uses this information to monitor the record destruction process to ensure compliance with RDA requirements and statewide policies.
Records Officers can also use the CRD’s to track their own agency’s destruction, which will assist them with records assessments and records holding reports.

22. The Importance of Working with the Division Records Coordinator and Records Officer

23. A Records Coordinator…
Knows business processes of division
Assists Records Officers in obtaining information for the revisions or creation of an RDA
Assists Records Officer with the records holding report
Represents a division within the agency

24. Records Officer Will Help With Organization
How to get Organized -
Identify your records
Identify your divisions
Most records start from a form
Identify your record locations

25. Why Get Organized? Reduced Volume Reduced Costs
Improved Accountability of Public Funds
Reduced liability risks by keeping records according to retention schedule

26. Records Holding Report
This report provides important data for the Records Management Division, including but not limited to active and inactive records storage and disposal projections. This gives a snapshot of record growth and reduction and can help with future storage place planning. In addition, the agency can use the Records Holding Report to determine overall cost for the management of the agency.
The annual holdings are for fiscal year beginning July 1st through June 30th of the following year. The form should be filled out by each agency reflecting the totals from all divisions and field offices. The agency’s Records Officer reviews the report for its accuracy before submitting to the Records Management Division.

27. How to start & What is needed..
Paper Records -
Starting Value taken from previous year report
Indicate number of records created. (Values placed in RDA form may help.)
Records Destroyed – utilize your certificates of destruction and reports.
Transferred – To the records center or Library & Archives
Ending Value
Media Categories -
Microfilm rolls & Microfiche
Cartridge & Tape Storage
CD’s & DVD’s
Magnetic & Optical Disks
Server Storage – Primary method
Submitting the Report –
Compile all data per division
Submit the data to the Records Officer
The Records Officer will compile the data as an agency and submit the entire report to Records Management Division

28. Per Rule 1210-1-3 (3) – Records Holding Report
Per Rule (3) – Records Holding Report. Each agency shall prepare and submit annually to the Records Management Division a Records Holding Report. The Records Management Division shall review all Records Holding Reports, and compare a composite report for the Public Records Commission.
Authority: T.C.A §

29. Records Assessment Purpose:
This assessment is in place to measure how an agency is managing its records and to help identify which RDA(s) are being used and the volume of records per RDA. The information gathered can help you build information for your Records Holding Report. Additionally, it assists the state agencies in identifying common areas for improvement which can be used to develop strategies to help improve records management practices on a case by case basis.

30. Prepping for an Assessment
Methodology –
Records Officer will coordinate with each division as to which RDA(s) are being used
Records Analyst will schedule visits and assist the records officer in prepping
Preparation –
Records Officer will map out record locations and communicate the difference between originals, copies, and references
Records Analyst will load information regarding locations and division names into assessment application
Execution –
Records Officer will accompany Records Analyst as assessment is conducted
Records Analyst will document records locations, volume, and what RDA(s) are assigned to the records

31. What exactly will we be looking for and doing?
We are looking in, any places that house your records; drawers, filing cabinets, file rooms, cubicles, and offices
We will be opening drawers
We don't want to check the files or look at them individually
If you have something personal in a drawer we do not need to look in that drawer, just inform the analyst
Remember the information gathered will be made available to you for your Records Holding Report

32. Remember…
Records are not to be destroyed without an RDA according to T.C.A. §
Destruction Procedures. No record or records shall be scheduled for destruction without the unanimous approval of the voting members of the Public Records Commission. Approval for the destruction scheduling from the Commission is received through the RDA process. All agencies shall destroy records using state approved procedures.
Records Management is available to assist you by advising on the development, utilization, retention, disposition, and destruction of records.