1. Office of Secretary of State Brian Kemp Records Management Amelia Winstead Government Services Coordinator Records & Information Management Services Georgia Archives Data Collection Conference September 2010

2. Office of Secretary of State Brian Kemp  Goal of RM is to ensure that records are properly retained for legal, compliance and business purposes, and properly disposed of when no longer needed.  Part of larger profession of Information Management. What is Records Management?

3. Office of Secretary of State Brian Kemp Requirements for Records Management Georgia Records Act (O.C.G.A. §50-18-90 et seq.) Requires each agency to:  Create and maintain adequate and proper documentation to protect the legal and financial rights of the government and its citizens  To protect records from removal, damage or loss  To establish and maintain a records management program and designate a records manager  To develop retention schedules for agency records and destroy records only in accordance with those schedules

4. Office of Secretary of State Brian Kemp Retention of records: Government Records Schedules http://sos.georgia.gov/archives/who_are_we/ri ms/retention_schedules/default.htm Georgia Records Act requires each government agency to adopt a retention schedule and mandates the Secretary of State to issue a common schedule. Requirements for Records Management

5. Office of Secretary of State Brian Kemp Georgia Open Records Act (GORA) (O.C.G.A. §50-18-70 et seq) Requires each agency to:  Allow the public to inspect and take a copy of any open public record in the custody of the agency – in all media  Establish and enforce reasonable rules governing access to the public record Requirements for Records Management

6. Office of Secretary of State Brian Kemp Other considerations: State & Federal Laws Administrative Procedures Rules Federal Regulations International Standards (ISO) Requirements for Records Management

7. Office of Secretary of State Brian Kemp Together these recordkeeping requirements establish a framework in which agency must:  Know what information & records it creates and maintains  Know how long to keep information  Manage information in ALL media and formats  Establish policy & procedure for the management of information Compliance

8. Office of Secretary of State Brian Kemp The basics.... What is a Record? Why are Records important? What is a Records Series? What is a Retention Schedule? Let’s Get Started

9. Office of Secretary of State Brian Kemp Records management is the control of recorded information Recorded information is any and all information created, received, maintained, or used by an organization in accordance with its mission, operations, and activities What is a Record?

10. Office of Secretary of State Brian Kemp All documents, papers, letters, maps, books, tapes, photographs, computer based or generated information, or similar material prepared and maintained or received in the course of the operation of a public office or agency. What is a Record?

11. Office of Secretary of State Brian Kemp A record series is a group of records that may be treated as a unit for purposes of designation, description, management, or disposition. Record series reflect the natural organization of groups of records and their relationships to each other. What is a Records Series?

12. Office of Secretary of State Brian Kemp A list of records series maintained by all or part of an organization together with the period of time that each records series is to be kept. What is a Retention Schedule?

13. Office of Secretary of State Brian Kemp Types of retention schedules:  Common Schedules: retention schedules for records common to all agencies, such a payroll records or personnel records.  Agency Specific Schedules: retention schedules for records unique to a single agency. What is a Retention Schedule?

14. Office of Secretary of State Brian Kemp Retention schedules are the legally required retention periods for which the records shall be maintained under normal business conditions. By statute, “Approved retention schedules, once approved, shall be authoritative, shall be directive, and shall have the force and effect of law” (O.C.G.A. § 50-18- 92(a)). Litigation, audit, or special department requirements may require the maintenance of the records for a longer period of time. What is a Retention Schedule?

15. Office of Secretary of State Brian Kemp Retention of records: Local Government Records Schedules State Government Records Schedules and Agency Specific Records Schedules http://sos.georgia.gov/archives/who_are_we/ rims/retention_schedules/default.htm Retention Schedules

16. Office of Secretary of State Brian Kemp The fundamental rule for implementing retention schedules is that every record an agency creates (regardless of whether the records are kept in paper, microfilm, or electronic format) must either be identified by an agency specific schedule or a common schedule before disposal. There are no exceptions. Implementation

17. Office of Secretary of State Brian Kemp Next Steps... 1.Implementation Policy & Procedure 2.When to implement schedules. 3.What is disposition? 4.Destruction of records Implementation

18. Office of Secretary of State Brian Kemp Role of Policy Enterprise policy Agency policy Division policy Records management, records creation, records maintenance, records disposition Program Development

19. Office of Secretary of State Brian Kemp Disposition: Disposition is the action taken with the records following the end of the retention. What is Disposition?

20. Calculating Destruction Dates: Year CreatedRetention PeriodRetention Count Eligible Destruction Date Calendar Year (Jan. 1, 1986 – Dec. 31, 1986) 198610 years 1987. 1988. 1989. 1990, 1991, 1992, 1993, 1994, 1995, 1996 1/1/1997 Fiscal Year (July 1,2000- June 30, 2001) FY 20003 years FY2001 (07/2001- 06/2002) FY2002 (07/2002- 06/2003) FY2003 (07/2003- 06/2004) 7/1/2004 (FY 2005) Federal Fiscal Year (Oct 1, 2007- Sept 30, 2008) FFY20072 years FFY2008 (10/2008 – 09/2009) FFY2009 (10/2009- 09/2010) 10/1/2010 (FFY 2011) School Year (August 4, 2009-May 21, 2010) SY20091 yearSY2010 (09/2010- 08/2011) 9/1/2011 (SY2012) Disposition - Destruction

21. Office of Secretary of State Brian Kemp  Media matters  Paper – landfills, recycling, shredding  Microfilm – silver reclamation, remove from spool  Magnetic – overwriting, degaussing  Witnessing destruction Disposition - Destruction

22. Office of Secretary of State Brian Kemp Records & Information Management Services 678-364-3790 FAX 678-364-3860 State Records Center 404-756-4860 http://www.sos.ga.gov/archives/ Under ‘Most Popular’ click on Records Management Bookmark this site! Questions?