Employees & Public Records What every public employee needs to know July 25, 2007

The Laws

Public Records Management Public Records Laws ORS 192 & 357 Secretary of State Public Records Administrator State Archivist Authorizes Destruction Advises and Assists

Public Records Law Retention & 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 (5)

Public Records Law Access “’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 (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 to that decisions of governing bodies be arrived at openly.” - ORS

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 Schedules Knowing 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 , , ) 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 (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 to ). 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, , 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 Electronic Records - Any information recorded in a form that requires a machine to process – 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? Experience State Accident Insurance Fund (SAIF) City of Beaverton vs. NIKE Corp. Education Video 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 Policy Appropriate Use Statement Access to employee computers and accounts; Privacy Notice Retention of E-Records Policy Awareness Training Compliance

Technology Storage and Preservation Saving to hard drive is not a solution Security back-ups & long-term storage are not the same thing Software Should assist in proper management of e- records Technological Obsolescence Migration 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 MessagingPDAs Chat RoomsBlogs

Retaining E-Records Methods for Retaining E-records E-filing System Print and File Hybrid * Note for Messages that need to be saved for a long period of time (i.e. more than 1 year) should be exported from the 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 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 RC LOANS 1999 RC LOANS 2000 RC LOANS 2001 RC LOANS 2002 RC LOANS 2003 RC LOANS 2004 RC LOANS 2005 Barcode Administrative Forms Records Disposition Inventory Control RC LOANS Budget Personnel Filing System Deacessions Deaccession Authorizations Destruction Authorizations Destruction Receipts

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 Letters 1 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 System is a mode of transmission, not a type of record The message is the record Implement a systematic filing system Apply records retention to all e-records

Conclusion Written 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) Webpage: