Basic Records Management

What we’ll cover Virginia Public Records Act Definitions Understanding and using the LVA General Schedules The schedule cover page Identifying records series Records disposition Reporting records destruction to LVA Transferring permanent records to LVA

Virginia Public Records Act COV § et seq. Requires you to: Establish and maintain an active and continuing program for the economic and efficient management of records Destroy records at the end of established retention periods Report destruction of records to LVA

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. COV §

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 organization and/or resumption of operations following a disaster. These are records that you must have to stay in business, such as accounts receivable 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

Records management is… Providing the right information, at the right time, to the right people, effectively, and efficiently, at the lowest possible cost.

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.

“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 § shall be destroyed within six months of the expiration of the records retention period.” What is a “timely manner”? 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. Disposition of public records COV §

Why use the schedules? Identify records with long-term retention that can be moved off-site. Assist with making reformatting decisions. Ensure that files are not prematurely destroyed, but are not kept past their usefulness.

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.

Certificate of Records Destruction (RM-3 Form) Fill out the entire form, remembering to: Include schedule and records series numbers Provide inclusive date ranges Indicate method of destruction Ensure all three lines are signed and dated at bottom Submit original form to LVA

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.

Regulations Governing the Destruction of Public Records Containing Social Security Numbers 17VAC et seq. Paper records must be shredded, pulped, or incinerated. If shredding, must use a cross-cut shredder that reduces paper to a size no wider than 3/8 inches. 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. Vendors must be bonded.

Identifying archival records In the retention and disposition field of the schedule, look for: “Retain permanently in locality, or may be offered to the Archives, Library of Virginia.” If the disposition says “Retain permanently,” without mentioning transfer to the Archives, you must keep records on-site.

Transferring archival records Identify schedule and records series number Determine the volume of records and order acid free boxes Label boxes Fax or Records Transfer List and Receipt (RM- 17 Form) to your Records Analyst Create a folder listing of box contents Staff members arrange for pickup.

Final tips 1. Identify records series when records are created. Visibly label folders and boxes with schedule number, records series, and destruction date. 2. Do records destruction yearly and on a set schedule, such as the end of the academic, fiscal, or calendar year. 3. Regularly review the schedules online for changes.

Want more information? Virginia Public Records Management Manual / vprmm.pdf Locality General Schedules ocal/ index.htm Educational Special Interest Group (Ed-SIG) Listserv

Anita Vannucci (804) Contact information