Getting Your House in Order: Basic Records Management Training for State Agency RMLOs Presented by the Connecticut State L...
Presenters <ul><li>Eunice G. DiBella, CRM </li></ul><ul><li>Public Records Administrator </li></ul><ul><li>Jeffrey E. Coll...
Connecticut State Library www.cslib.org
Agenda <ul><li>Basic Records Management Principals </li></ul><ul><li>Records Management in Connecticut </li></ul><ul><li>S...
Agenda  (Cont.) <ul><li>Records Disposition: </li></ul><ul><ul><li>Transferring Records to the State Records Center </li><...
Records   Management  in Connecticut <ul><li>The Connecticut State Library is the public records office for the State of C...
The Office of the Public Records Administrator <ul><li>The department of the Connecticut State Library that administers a ...
Background of Public Records <ul><li>1903: The first “Temporary Examiner of Public Records” appointed by the Connecticut G...
Statutory Responsibilities: State Library (Pursuant to  CGS  §11-8) <ul><li>Direct a records management program for state ...
Statutory Responsibilities: State Agencies (Pursuant to  CGS  §11-8a) <ul><li>Designate an agency employee to serve as Rec...
Records Management Liaison Officer (RMLO) <ul><li>Create guidelines for maintaining and using agency records </li></ul><ul...
<ul><li>Transfer records to the State Records Center </li></ul><ul><li>Coordinate the implementation of records technology...
www.cslib.org
www.cslib.org/publicrecords/opraforms.htm
Form RC-078: Records Management Liaison Officer Designation
Records Management <ul><li>Records Management  is the “systematic control of all organizational records during the various...
The Life-Cycle of Records <ul><li>Current:   Office </li></ul><ul><li>Semi-current:   In a records center or low activity ...
The Life-Cycle of Records CREATION  (or RECEIPT)   PROCESSING, DISTRIBUTION, USE, and  MAINTENANCE  DISPOSITION   DESTRUCT...
Public Records <ul><li>CGS  §1-200(5) defines  Public Records  as “any recorded data or information relating to the conduc...
Non-Records <ul><li>Non-Records  have the same physical characteristics as record materials.  The differences between a no...
Record Series <ul><li>A  Record Series  is a group of similar or related records that are normally used and filed as a uni...
Records Retention Schedule <ul><li>A  Records Retention Schedule  is a comprehensive list of record series which indicates...
Records Retention Schedules: General vs. Agency-Specific <ul><li>A  General Records Retention Schedule  lists record serie...
Records Retention Schedules: General vs. Agency-Specific  (Cont.) <ul><li>There are eight  general  records retention sche...
General Records Retention Schedule (S1)
www.cslib.org
www.cslib.org/publicrecords/retstate.htm
Records Retention Schedules: General vs. Agency-Specific  (Cont.) <ul><li>An  Agency-Specific Records Retention Schedule  ...
Form RC-050: Records Retention Schedule
We will help you go from this…
To this.
Components of a Records Management Program <ul><li>Records Inventory </li></ul><ul><li>Records Retention Schedule </li></u...
Records Inventory <ul><li>Description </li></ul><ul><li>Arrangement  </li></ul><ul><li>e.g., by date, by subject, or by ph...
Form RC-104: Records Inventory Worksheet
The inventory should include offices…,
Hallways…,
Attics…,
and File Rooms.
Records Analysis <ul><li>Records Analysis  is the process of evaluating the data acquired from the inventory to: </li></ul...
How Long Do I Keep These Records? <ul><li>Determine Value: </li></ul><ul><ul><li>Administrative </li></ul></ul><ul><ul><li...
<ul><li>Administrative value:  How long do I need to keep this record to do my job and for the agency to operate effective...
How Long Do I Keep These Records?  (Cont.) <ul><li>Fiscal value:  How long do these records relate to the agency’s financi...
Requirements   that   Govern the Retention of Records <ul><li>Legal Requirements </li></ul><ul><ul><li>Laws and Regulation...
Records Retention Schedules:  Preparing Schedules <ul><li>Determine and list all records by record series title </li></ul>...
Example of an RC-050W submitted by an agency The title and description should accurately reflect what the record series is...
Records Retention Schedules: Describing the Records <ul><li>A record series title and description must accurately describe...
Records Retention Schedules: Determining the Retention Period <ul><li>A records retention schedule sets the minimum retent...
Example of an RC-050W submitted by an agency The retention period must state how long the records are retained in the offi...
Records Retention Schedules: Determining the Retention Period (Cont.) <ul><li>A records retention period must be clear and...
Records Retention Schedules: Determining the Retention Period (Cont.) <ul><li>“ Permanent” means “Forever” </li></ul><ul><...
Approved Form RC-050 for Teachers’ Retirement Board  (page 1 of 2)
Approved Form RC-050 for Teachers’ Retirement Board  (page 2 of 2)
Records Retention Schedules:  Things to Avoid <ul><li>Don’t list each individual form  </li></ul><ul><li>Don’t use profess...
Form RC-050: Records Retention Schedule
www.cslib.org/publicrecords/retstate.htm
Results of Applying Records Retention Schedules <ul><li>According to most studies, on average: </li></ul><ul><li>40% of re...
Take a Break! <ul><li>15 Minute Break </li></ul><ul><li>Please return promptly as we have much more to cover! </li></ul><u...
Records Storage <ul><li>ON-SITE: </li></ul><ul><ul><li>Central Records Facility / Room </li></ul></ul><ul><li>OFF-SITE: </...
Example of a central records room (DEP)
Example of a central records room (DEP)
State Records Center
State Records Center <ul><li>Located in Rocky Hill at 198 West Street </li></ul><ul><li>Monday – Friday, 8:00 a.m. to 4:00...
State Records Center: Looking out from the vault
State Records Center: Transferring Records <ul><li>General Letter 2008-2:  Transfer of Records to State Records Center and...
State Records Center: Transferring Records  (Cont.) <ul><li>E-mail the completed  Records Center Storage List  (Form RC-10...
Form RC-100: Records Center Storage List
State Records Center: Approved Boxes <ul><li>Only use approved boxes </li></ul><ul><ul><li>1.0 cubic foot </li></ul></ul><...
State Records Center: Packing the Box <ul><li>Do not over-pack the box  (30 lb. limit) </li></ul><ul><li>Damaged or over-p...
State Records Center: Labeling the Box <ul><li>Properly mark each box </li></ul><ul><li>Use the short side (12”) of the bo...
Example of an improperly labeled box
State Records Center: Delivering the Records <ul><li>The agency will need to deliver and unload their records </li></ul><u...
Delivering the records
Checking the boxes against the RC-100
State Records Center: Reference Requests <ul><li>Complete the  Records Center Reference Request  (Form RC-200) </li></ul><...
Form RC-200: Records Center Reference Request
State Records Center: Destroying Records <ul><li>Records Center staff will contact the agency once the records have met th...
Destroyed Records Center Storage List (Form RC-100)
Records Disposal Authorization <ul><li>Periodically review the records retention schedule to determine which records are e...
Records Disposal Authorization  Things to Remember <ul><li>Statutes: Criminal Intent </li></ul><ul><ul><li>CGS   § 1-240 <...
Form RC-108: Records Disposal Authorization
Need to dispose of record Is record listed on a general schedule? Is record listed on an agency schedule? Contact the agen...
Connecticut State Archives <ul><li>The Connecticut State Archives is: </li></ul><ul><ul><li>Buildings </li></ul></ul><ul><...
BUILDINGS  (Connecticut State Library)
BUILDINGS  (Van Block Facility)
RECORDS
STAFF  (Assistant State Archivist Bruce P. Stark)
Background of State Archives <ul><li>1855: Connecticut State Library began acquiring state public records </li></ul><ul><l...
What is an Archival Record? <ul><li>Government records possess archival or enduring value if they contain information whic...
www.cslib.org
www.cslib.org/archives/FAIndexes
How to Transfer Records to the State Archives <ul><li>Contact the State Archivist (work through your RMLO) </li></ul><ul><...
Memorandum of Transfer (p. 1 of 2)
Memorandum of Transfer (p. 2 of 2)
Connecticut State Documents at the Connecticut State Library
Who wants my agency documents? Whether in paper or electrons,  We do!
WHY we do it? It’s the Law (& there are a couple.)   Sec. 11-4a. Commissions and agencies to file reports with librarian. ...
Why we  really do it? It’s fun!! & Important, too
Before we made Connecticut our Staycation Destination we were just ….
 
Hunting & Gathering
From your file   cabinets … To our stacks
Why we  really do it? It’s fun!! & Important, too
 
Access Preservation
 
Connecticut State Depository Program Each item will be accessible through our catalog by author, agency, title, subject or...
Connecticut State Documents Depository Library Network
www.cslib.org
www.cslib.org
 
 
 
 
 
 
Connecticut Digital Archive <ul><li>“ Archives” electronic Connecticut state publications in a secure repository: the OCLC...
 
 
Document Selection Stephen Rice
 
 
How can you help us? READ THE BROCHURE!!!! <ul><li>Send  17  copies of all print publications to: </li></ul><ul><ul><li>Co...
How can you help us? READ THE BROCHURE!!!! <ul><li>Send an e-mail to  [email_address]  to notify us when you post or remov...
<ul><li>Connecticut Uniform Electronic Transactions Act  as codified in  CGS   §1-266  to 1-286  </li></ul><ul><li>Regulat...
Electronic Transactions: Definitions <ul><li>CGS   §1-267  (7) “ Electronic record  means a record created, generated, sen...
<ul><li>CGS   §  1-282. “ Creation and retention of electronic records and conversion of written records by governmental a...
<ul><li>CGS   §  1-283. “ Acceptance and distribution of electronic records by governmental agencies. Interoperability. Re...
Managing E-mail: Essential Elements <ul><li>Policies and Procedures </li></ul><ul><li>Records Retention Schedules </li></u...
Managing E-mail: State Policies <ul><li>General Letter 98-1:  Electronic and Voice Mail: A Management and Retention Guide ...
www.cslib.org/publicrecords/opraforms.htm#guidelines
www.cslib.org/publicrecords/email.htm
Managing E-mail: Retention Guidelines <ul><li>Transitory (non-record)  messages are casual and routine communications simi...
Managing E-mail: Retention Guidelines  (Cont.) <ul><li>Transitory Records:  delete at will </li></ul><ul><ul><li>Convey in...
 
Managing E-mail: Retention Guidelines  (Cont.) <ul><li>Less than Permanent Records:  follow the retention period for the e...
Managing E-mail: Retention Guidelines  (Cont.) <ul><li>Permanent or Permanent / Archival Records: </li></ul><ul><ul><li>Mu...
Managing E-mail: Filing and Classification <ul><li>Most e-mail systems are not filing systems </li></ul><ul><li>Files crea...
We are Here to Help! <ul><li>Training Opportunities </li></ul><ul><li>Presentations to Agencies </li></ul><ul><li>On-site ...
Connecticut State Library Office of the Public Records Administrator (860) 757-6540 www.cslib.org
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2008 RMLO Training Session

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Training session for Connecticut state agency records management liaison officers (RMLOs).

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  • 2008 RMLO Training Session

    1. 1. Getting Your House in Order: Basic Records Management Training for State Agency RMLOs Presented by the Connecticut State Library Legislative Office Building September 9, 2008 © 2008 Connecticut State Library
    2. 2. Presenters <ul><li>Eunice G. DiBella, CRM </li></ul><ul><li>Public Records Administrator </li></ul><ul><li>Jeffrey E. Collins </li></ul><ul><li>Public Records Archivist </li></ul><ul><li>Lizette Pelletier </li></ul><ul><li>Public Records Archivist </li></ul><ul><li>Mark Jones, Ph.D. </li></ul><ul><li>State Archivist </li></ul><ul><li>Nancy Lieffort </li></ul><ul><li>Reference Librarian </li></ul><ul><li>Julie Schwartz </li></ul><ul><li>Unit Head, Government Information and Reference Services </li></ul>
    3. 3. Connecticut State Library www.cslib.org
    4. 4. Agenda <ul><li>Basic Records Management Principals </li></ul><ul><li>Records Management in Connecticut </li></ul><ul><li>State Agency Responsibilities: </li></ul><ul><ul><li>Records Management Liaison Officer (RMLO) </li></ul></ul><ul><ul><li>Records Retention Schedules </li></ul></ul><ul><ul><li>Records Storage </li></ul></ul>
    5. 5. Agenda (Cont.) <ul><li>Records Disposition: </li></ul><ul><ul><li>Transferring Records to the State Records Center </li></ul></ul><ul><ul><li>Transferring Records to the State Archives </li></ul></ul><ul><ul><li>Transferring Documents to the State Library and the Connecticut Digital Archive </li></ul></ul><ul><li>Electronic Signatures and Managing E-mail </li></ul><ul><li>Quiz </li></ul>
    6. 6. Records Management in Connecticut <ul><li>The Connecticut State Library is the public records office for the State of Connecticut </li></ul><ul><li>Authority for this program is granted to the Connecticut State Library in Connecticut General Statutes §11-8 and §11-8a </li></ul>
    7. 7. The Office of the Public Records Administrator <ul><li>The department of the Connecticut State Library that administers a public records program for state agencies and municipalities </li></ul><ul><li>Administers the State Archives </li></ul><ul><li>Operates the State Records Center </li></ul><ul><li>Administers a grant program for local government records in accordance with CGS § 11-8i thru 11-8n </li></ul>
    8. 8. Background of Public Records <ul><li>1903: The first “Temporary Examiner of Public Records” appointed by the Connecticut General Assembly </li></ul><ul><li>1911: The General Assembly creates the post of permanent “Examiner of Public Records” as assistant to the State Librarian </li></ul><ul><li>1956: The first state records retention, storage, and disposal program for state agencies is established </li></ul><ul><li>1958: The State Records Center is opened </li></ul><ul><li>1967: The position of “Examiner of Public Records” is renamed to “Public Records Administrator” </li></ul>
    9. 9. Statutory Responsibilities: State Library (Pursuant to CGS §11-8) <ul><li>Direct a records management program for state government </li></ul><ul><li>Approve and operate records storage facilities </li></ul><ul><li>Identify and preserve essential state records </li></ul>
    10. 10. Statutory Responsibilities: State Agencies (Pursuant to CGS §11-8a) <ul><li>Designate an agency employee to serve as Records Management Liaison Officer (RMLO) </li></ul><ul><li>Inventory records </li></ul><ul><li>Keep records retention schedules up-to-date </li></ul><ul><li>Transfer historical records to the State Archives </li></ul><ul><li>Dispose of records after written approval is granted </li></ul>
    11. 11. Records Management Liaison Officer (RMLO) <ul><li>Create guidelines for maintaining and using agency records </li></ul><ul><li>Inventory or supervise an agency records inventory </li></ul><ul><li>Prepare agency records retention schedules to be submitted to the Office of the Public Records Administrator </li></ul><ul><li>Review agency disposal authorizations and obtain approval to dispose of records </li></ul>
    12. 12. <ul><li>Transfer records to the State Records Center </li></ul><ul><li>Coordinate the implementation of records technology to ensure compliance with guidelines and regulations established by the Connecticut State Library </li></ul><ul><li>Maintain a control file of records retention schedules, disposal authorizations, and record transfers </li></ul><ul><li>Disseminate records management information to agency personnel </li></ul><ul><li>Appoint Assistant RMLOs as necessary </li></ul>Records Management Liaison Officer (RMLO) (Cont.)
    13. 13. www.cslib.org
    14. 14. www.cslib.org/publicrecords/opraforms.htm
    15. 15. Form RC-078: Records Management Liaison Officer Designation
    16. 16. Records Management <ul><li>Records Management is the “systematic control of all organizational records during the various stages of their life cycle: from their creation or receipt, through their processing, distribution, maintenance and use, to their ultimate disposition.”* </li></ul><ul><li>*p. 585 “Information and Records Management,” 4th Ed., McGraw-Hill Robek, Brown, Stephens, 1996. </li></ul>
    17. 17. The Life-Cycle of Records <ul><li>Current: Office </li></ul><ul><li>Semi-current: In a records center or low activity storage facility </li></ul><ul><li>Permanent: Office or an archival facility </li></ul><ul><li>Records having no long-term value are destroyed after agency receives permission from the Office of the Public Records Administrator via Records Disposal Authorization (Form RC-108). </li></ul>
    18. 18. The Life-Cycle of Records CREATION (or RECEIPT) PROCESSING, DISTRIBUTION, USE, and MAINTENANCE DISPOSITION DESTRUCTION or LONG-TERM (ARCHIVAL) RETENTION
    19. 19. Public Records <ul><li>CGS §1-200(5) defines Public Records as “any recorded data or information relating to the conduct of the public’s business prepared, owned, used, received or retained by a public agency, or to which a public agency is entitled to receive a copy by law or contract under section 1-218, whether such data or information be handwritten, typed, tape-recorded, printed, Photostatted, photographed, or recorded by any other method.” </li></ul>
    20. 20. Non-Records <ul><li>Non-Records have the same physical characteristics as record materials. The differences between a non-record and a record are: </li></ul><ul><ul><li>The reasons for keeping the information </li></ul></ul><ul><ul><li>How it is used </li></ul></ul>
    21. 21. Record Series <ul><li>A Record Series is a group of similar or related records that are normally used and filed as a unit, for determining a retention period. </li></ul><ul><li>All of the records that make up a record series must have the same retention period. </li></ul>
    22. 22. Records Retention Schedule <ul><li>A Records Retention Schedule is a comprehensive list of record series which indicates the length of time each series is to be retained until it is reviewed for destruction or archival retention. </li></ul><ul><li>It also indicates retention in active and inactive storage areas. </li></ul>
    23. 23. Records Retention Schedules: General vs. Agency-Specific <ul><li>A General Records Retention Schedule lists record series titles, by subject or function, that apply to all agencies. </li></ul>
    24. 24. Records Retention Schedules: General vs. Agency-Specific (Cont.) <ul><li>There are eight general records retention schedules: </li></ul>S5: Higher Education Records S6: Electronic Data Processing Records S7: Vocational-Technical School System Records S8: Correctional Facilities Records S1: Administrative Records S2: Personnel Records S3: Fiscal Records S4: Health Information Management Records
    25. 25. General Records Retention Schedule (S1)
    26. 26. www.cslib.org
    27. 27. www.cslib.org/publicrecords/retstate.htm
    28. 28. Records Retention Schedules: General vs. Agency-Specific (Cont.) <ul><li>An Agency-Specific Records Retention Schedule lists those record series titles that are unique to that agency, or individual departments and units, within the agency. </li></ul>
    29. 29. Form RC-050: Records Retention Schedule
    30. 30. We will help you go from this…
    31. 31. To this.
    32. 32. Components of a Records Management Program <ul><li>Records Inventory </li></ul><ul><li>Records Retention Schedule </li></ul><ul><li>Approvals </li></ul><ul><li>Compliance </li></ul>
    33. 33. Records Inventory <ul><li>Description </li></ul><ul><li>Arrangement </li></ul><ul><li>e.g., by date, by subject, or by physical format </li></ul><ul><li>Date range </li></ul><ul><li>Format </li></ul><ul><li>Original vs. duplicate </li></ul>The records inventory is the starting point for data collection. The records inventory should include the following information on the records:
    34. 34. Form RC-104: Records Inventory Worksheet
    35. 35. The inventory should include offices…,
    36. 36. Hallways…,
    37. 37. Attics…,
    38. 38. and File Rooms.
    39. 39. Records Analysis <ul><li>Records Analysis is the process of evaluating the data acquired from the inventory to: </li></ul><ul><li>Determine the record series </li></ul><ul><ul><li>Records used together to perform a function </li></ul></ul><ul><ul><li>Filed together as a unit (paper) </li></ul></ul><ul><li>Establish uniform record series titles </li></ul>
    40. 40. How Long Do I Keep These Records? <ul><li>Determine Value: </li></ul><ul><ul><li>Administrative </li></ul></ul><ul><ul><li>Legal </li></ul></ul><ul><ul><li>Fiscal </li></ul></ul><ul><ul><li>Historical / Research </li></ul></ul>
    41. 41. <ul><li>Administrative value: How long do I need to keep this record to do my job and for the agency to operate effectively? </li></ul><ul><li>Legal value: How long do I need to keep these records as evidence of legally enforceable rights of the state or the rights of individuals? </li></ul>How Long Do I Keep These Records? (Cont.)
    42. 42. How Long Do I Keep These Records? (Cont.) <ul><li>Fiscal value: How long do these records relate to the agency’s financial transactions? </li></ul><ul><li>Historical / Research value: Have these records been appraised to have long-term value? </li></ul>
    43. 43. Requirements that Govern the Retention of Records <ul><li>Legal Requirements </li></ul><ul><ul><li>Laws and Regulations </li></ul></ul><ul><ul><li>Statutes of Limitation </li></ul></ul><ul><ul><ul><li>(please note there is no universal statute of limitation that governs the retention of all records) </li></ul></ul></ul><ul><li>Fiscal / Audit Requirements </li></ul><ul><ul><li>Requirements apply to state and federal audits </li></ul></ul>
    44. 44. Records Retention Schedules: Preparing Schedules <ul><li>Determine and list all records by record series title </li></ul><ul><li>Evaluate all records in terms of legal, fiscal, administrative, and historical / research value </li></ul><ul><li>Prepare the Records Retention Schedule Worksheet (Form RC-050W) </li></ul><ul><li>Submit the form to the Office of the Public Records Administrator for review </li></ul>
    45. 45. Example of an RC-050W submitted by an agency The title and description should accurately reflect what the record series is and what records it includes. All records should be listed.
    46. 46. Records Retention Schedules: Describing the Records <ul><li>A record series title and description must accurately describe the records: </li></ul><ul><ul><li>What was written: </li></ul></ul><ul><ul><ul><li>“ OTB Correspondence and Related Material” </li></ul></ul></ul><ul><ul><ul><li>“ Pari-Mutuel Correspondence and Related Material” </li></ul></ul></ul><ul><ul><ul><li>“ Casino Correspondence and Related Material ” </li></ul></ul></ul><ul><ul><li>What it meant: </li></ul></ul><ul><ul><ul><li>Occupational Licensure Files (Lottery, Off-Track Betting, Pari-Mutuel, and Casino) </li></ul></ul></ul><ul><ul><ul><li>Including, but not limited to application, correspondence, and supporting documentation for individual employees. </li></ul></ul></ul>
    47. 47. Records Retention Schedules: Determining the Retention Period <ul><li>A records retention schedule sets the minimum retention requirements </li></ul><ul><li>A records retention schedule does not mandate records destruction </li></ul><ul><li>If a record is not on an approved records retention schedule, an agency cannot dispose of the record </li></ul>
    48. 48. Example of an RC-050W submitted by an agency The retention period must state how long the records are retained in the office, at an approved off-site facility, if necessary, and the total retention. It should also indicate when the “clock starts ticking.”
    49. 49. Records Retention Schedules: Determining the Retention Period (Cont.) <ul><li>A records retention period must be clear and concise: </li></ul><ul><ul><li>What we’ve seen: </li></ul></ul><ul><ul><ul><li>“ 5 years or until superseded, whichever” </li></ul></ul></ul><ul><ul><ul><li>“ Permanent – purged upon death” </li></ul></ul></ul><ul><ul><ul><li>“ Until form used” </li></ul></ul></ul><ul><ul><li>What it really meant: </li></ul></ul><ul><ul><ul><li>“ Ten years after final grant report submitted” </li></ul></ul></ul><ul><ul><ul><li>“ Five years after the license expiration date” </li></ul></ul></ul><ul><ul><ul><li>“ No retention” (copy of issued certificate is not retained) </li></ul></ul></ul>
    50. 50. Records Retention Schedules: Determining the Retention Period (Cont.) <ul><li>“ Permanent” means “Forever” </li></ul><ul><ul><li>Only a very small number of records need to be kept forever! </li></ul></ul><ul><ul><li>Be prepared to defend why the retention should be “permanent:” </li></ul></ul><ul><ul><ul><li>Statute or regulation </li></ul></ul></ul><ul><ul><ul><li>Significant historical / research value </li></ul></ul></ul><ul><ul><ul><li>“ Just in case” is not acceptable </li></ul></ul></ul>
    51. 51. Approved Form RC-050 for Teachers’ Retirement Board (page 1 of 2)
    52. 52. Approved Form RC-050 for Teachers’ Retirement Board (page 2 of 2)
    53. 53. Records Retention Schedules: Things to Avoid <ul><li>Don’t list each individual form </li></ul><ul><li>Don’t use professional or agency jargon </li></ul><ul><li>Don’t use abbreviations or acronyms (unless spelled out the first time used) </li></ul><ul><li>Don’t list record series already included on a general schedule </li></ul>
    54. 54. Form RC-050: Records Retention Schedule
    55. 55. www.cslib.org/publicrecords/retstate.htm
    56. 56. Results of Applying Records Retention Schedules <ul><li>According to most studies, on average: </li></ul><ul><li>40% of records can be destroyed </li></ul><ul><li>25% of records can be transferred to a records center </li></ul><ul><li>5% of records are archival </li></ul><ul><li>30% of records remain in the office </li></ul>
    57. 57. Take a Break! <ul><li>15 Minute Break </li></ul><ul><li>Please return promptly as we have much more to cover! </li></ul><ul><li>Refreshments can be purchased at the Cafeteria on the ground floor </li></ul>
    58. 58. Records Storage <ul><li>ON-SITE: </li></ul><ul><ul><li>Central Records Facility / Room </li></ul></ul><ul><li>OFF-SITE: </li></ul><ul><ul><li>Agency-operated Records Center </li></ul></ul><ul><ul><li>State Records Center </li></ul></ul><ul><ul><li>Commercial Records Center </li></ul></ul><ul><li>Pursuant to CGS § 11-8, all records storage facilities must be approved by the Public Records Administrator </li></ul>
    59. 59. Example of a central records room (DEP)
    60. 60. Example of a central records room (DEP)
    61. 61. State Records Center
    62. 62. State Records Center <ul><li>Located in Rocky Hill at 198 West Street </li></ul><ul><li>Monday – Friday, 8:00 a.m. to 4:00 p.m. </li></ul><ul><li>Secured Facility </li></ul><ul><li>Services include: </li></ul><ul><ul><li>Storage of Records </li></ul></ul><ul><ul><li>Records Retrieval, Re-file, and Interfile </li></ul></ul><ul><ul><li>Records Destruction </li></ul></ul><ul><li>Currently all services are free of charge! </li></ul>
    63. 63. State Records Center: Looking out from the vault
    64. 64. State Records Center: Transferring Records <ul><li>General Letter 2008-2: Transfer of Records to State Records Center and Approved Boxes for Records Storage </li></ul><ul><li>Complete the Records Center Storage List (Form RC-100) </li></ul><ul><li>Records should: </li></ul><ul><ul><li>Correspond to an approved records retention schedule </li></ul></ul><ul><ul><li>Be part of the same record series </li></ul></ul><ul><ul><li>Have the same destruction year </li></ul></ul>
    65. 65. State Records Center: Transferring Records (Cont.) <ul><li>E-mail the completed Records Center Storage List (Form RC-100) to [email_address] </li></ul><ul><li>Records Center Staff will contact you to schedule a shipment date </li></ul>
    66. 66. Form RC-100: Records Center Storage List
    67. 67. State Records Center: Approved Boxes <ul><li>Only use approved boxes </li></ul><ul><ul><li>1.0 cubic foot </li></ul></ul><ul><ul><li>Tested for durability </li></ul></ul><ul><ul><li>Stores both letter and legal-size records </li></ul></ul><ul><li>You may purchase from vendor on state contract (#07PSX0044) </li></ul>
    68. 68. State Records Center: Packing the Box <ul><li>Do not over-pack the box (30 lb. limit) </li></ul><ul><li>Damaged or over-packed boxes will not be accepted </li></ul><ul><li>Each box should contain records that have the same destruction year </li></ul>
    69. 69. State Records Center: Labeling the Box <ul><li>Properly mark each box </li></ul><ul><li>Use the short side (12”) of the box </li></ul><ul><li>Leave a 6” by 2” space for staff use </li></ul><ul><li>Print legibly </li></ul>
    70. 70. Example of an improperly labeled box
    71. 71. State Records Center: Delivering the Records <ul><li>The agency will need to deliver and unload their records </li></ul><ul><li>Boxes are unloaded in order as listed on Form RC-100 </li></ul><ul><li>A copy of Form RC-100 will be returned to the agency </li></ul>
    72. 72. Delivering the records
    73. 73. Checking the boxes against the RC-100
    74. 74. State Records Center: Reference Requests <ul><li>Complete the Records Center Reference Request (Form RC-200) </li></ul><ul><li>E-mail, fax, or call-in your request </li></ul>
    75. 75. Form RC-200: Records Center Reference Request
    76. 76. State Records Center: Destroying Records <ul><li>Records Center staff will contact the agency once the records have met the retention period </li></ul><ul><li>The agency must review and approve all records available for destruction </li></ul><ul><li>A signed copy of Form RC-100 will be returned to the agency </li></ul>
    77. 77. Destroyed Records Center Storage List (Form RC-100)
    78. 78. Records Disposal Authorization <ul><li>Periodically review the records retention schedule to determine which records are eligible for destruction </li></ul><ul><li>Send completed Records Disposal Authorization (Form RC-108) to the Office of the Public Records Administrator </li></ul><ul><li>Destroy records when the signed form is returned, or arrange for transfer of designated historical records to the State Archives </li></ul>
    79. 79. Records Disposal Authorization Things to Remember <ul><li>Statutes: Criminal Intent </li></ul><ul><ul><li>CGS § 1-240 </li></ul></ul><ul><ul><li>CGS § 53-153 </li></ul></ul><ul><li>Commercial Storage </li></ul><ul><ul><li>Still have to ask for permission to destroy </li></ul></ul><ul><ul><li>Conduct regular audits </li></ul></ul>
    80. 80. Form RC-108: Records Disposal Authorization
    81. 81. Need to dispose of record Is record listed on a general schedule? Is record listed on an agency schedule? Contact the agency RMLO who will work with the Office of the Public Records Administrator (OPRA) to schedule the record Is the retention permanent? Retain until the minimum retention period has passed Has the minimum retention period passed? Submit a Records Disposal Authorization (Form RC-108) to OPRA for review Upon receipt of signed Form RC-108, destroy or transfer records to State Archives as directed No No Yes Yes No No Retain in agency or contact State Archivist for appraisal and possible transfer to State Archives Yes Records Disposal Does the record pertain to any pending case, claim or action? No Retain until the case, claim, or action is resolved Yes Yes
    82. 82. Connecticut State Archives <ul><li>The Connecticut State Archives is: </li></ul><ul><ul><li>Buildings </li></ul></ul><ul><ul><li>Records </li></ul></ul><ul><ul><li>Staff </li></ul></ul>
    83. 83. BUILDINGS (Connecticut State Library)
    84. 84. BUILDINGS (Van Block Facility)
    85. 85. RECORDS
    86. 86. STAFF (Assistant State Archivist Bruce P. Stark)
    87. 87. Background of State Archives <ul><li>1855: Connecticut State Library began acquiring state public records </li></ul><ul><li>1909: Connecticut State Library became the official State Archives </li></ul><ul><li>1984: General Assembly includes the post of State Archivist as part of the State public records program </li></ul>
    88. 88. What is an Archival Record? <ul><li>Government records possess archival or enduring value if they contain information which satisfies one or more of the following: </li></ul><ul><ul><li>Documents the evolution of organization, policies, and practices </li></ul></ul><ul><ul><li>Documents obligations, claims, or petitions </li></ul></ul><ul><ul><li>Documents State legal and legislative history </li></ul></ul><ul><ul><li>Contains information which is used by researchers for reasons other than those for which the records were created, e.g., commercial or cultural reasons </li></ul></ul><ul><ul><li>Archival records may be in any format, including paper, photographs, film, tapes, disk, and video. </li></ul></ul>
    89. 89. www.cslib.org
    90. 90. www.cslib.org/archives/FAIndexes
    91. 91. How to Transfer Records to the State Archives <ul><li>Contact the State Archivist (work through your RMLO) </li></ul><ul><li>Arrange for physical transfer </li></ul><ul><li>Complete the Memorandum of Transfer </li></ul><ul><li>State Archives staff can come to your agency to retrieve boxes </li></ul>
    92. 92. Memorandum of Transfer (p. 1 of 2)
    93. 93. Memorandum of Transfer (p. 2 of 2)
    94. 94. Connecticut State Documents at the Connecticut State Library
    95. 95. Who wants my agency documents? Whether in paper or electrons, We do!
    96. 96. WHY we do it? It’s the Law (& there are a couple.)   Sec. 11-4a. Commissions and agencies to file reports with librarian. Each commission, task force or committee appointed by the Governor or the General Assembly, or both, and required to report its findings and recommendations, and each state agency which submits a report to the General Assembly or any committee of the General Assembly, shall submit its report to the clerks of the Senate and the House of Representatives, and shall file with the State Librarian as many copies of such report as the commission, task force, committee or agency and the librarian jointly deem appropriate, and one copy with the Office of Legislative Research.       (1959, P.A. 419; P.A. 87-64.)        History: P.A. 87-64 deleted reference to &quot;temporary&quot; commissions, extended reporting and filing requirements to task forces and state agencies which report to the general assembly or a committee of the general assembly, and required one copy of report to be filed with office of legislative research. The 1977 Connecticut General Assembly established (Public Act 77-561) a depository library system to improve the accessibility of Connecticut State Agency Documents. That law [ C.G.S. 11-9(b)-(d)] requires each state agency to provide copies of its publications to the Connecticut State Library. The CSL then distributes the documents to designated libraries in the state and the Library of Congress. While most libraries in Connecticut have some Connecticut documents these depositories hold considerably more. Public Act 07-227 included electronic or other intangible forms
    97. 97. Why we really do it? It’s fun!! & Important, too
    98. 98. Before we made Connecticut our Staycation Destination we were just ….
    99. 100. Hunting & Gathering
    100. 101. From your file cabinets … To our stacks
    101. 102. Why we really do it? It’s fun!! & Important, too
    102. 104. Access Preservation
    103. 106. Connecticut State Depository Program Each item will be accessible through our catalog by author, agency, title, subject or keyword. The catalog record is also supplied to reQuest, the statewide library catalog, and to WorldCat, a worldwide library database that includes over 58 million records.
    104. 107. Connecticut State Documents Depository Library Network
    105. 108. www.cslib.org
    106. 109. www.cslib.org
    107. 116. Connecticut Digital Archive <ul><li>“ Archives” electronic Connecticut state publications in a secure repository: the OCLC Digital Archive in Dublin, Ohio </li></ul><ul><li>All records and objects freely available through the Library catalog, the statewide union catalog, and WorldCat </li></ul>
    108. 119. Document Selection Stephen Rice
    109. 122. How can you help us? READ THE BROCHURE!!!! <ul><li>Send 17 copies of all print publications to: </li></ul><ul><ul><li>Collection Management Unit </li></ul></ul><ul><ul><li>Attention: Connecticut Documents </li></ul></ul><ul><ul><li>Connecticut State Library </li></ul></ul><ul><ul><li>231 Capitol Avenue </li></ul></ul><ul><ul><li>Hartford, CT 06106 </li></ul></ul>
    110. 123. How can you help us? READ THE BROCHURE!!!! <ul><li>Send an e-mail to [email_address] to notify us when you post or remove documents from the Web </li></ul>HELP !
    111. 124. <ul><li>Connecticut Uniform Electronic Transactions Act as codified in CGS §1-266 to 1-286 </li></ul><ul><li>Regulates electronic transactions and signatures </li></ul><ul><li>Includes e-mail in the definition of an electronic record </li></ul>Electronic Transactions
    112. 125. Electronic Transactions: Definitions <ul><li>CGS §1-267 (7) “ Electronic record means a record created, generated, sent, communicated, received or stored by electronic means, including, but not limited to, facsimiles, electronic mail, telexes and Internet messaging.” </li></ul><ul><li>CGS §1-267 (8) “ Electronic signature means an electronic sound, symbol or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record.” </li></ul>
    113. 126. <ul><li>CGS § 1-282. “ Creation and retention of electronic records and conversion of written records by governmental agencies. Except as otherwise required by the State Librarian or the Public Records Administrator in accordance with sections 11-8 and 11- 8a, each governmental agency in this state shall determine whether, and the extent to which, it will create and retain electronic records and convert written records to electronic records .” </li></ul>Electronic Transactions: Definitions (Cont.)
    114. 127. <ul><li>CGS § 1-283. “ Acceptance and distribution of electronic records by governmental agencies. Interoperability. Regulations. (a) Except as otherwise provided in subsection (f) of section 1-277, each governmental agency in this state shall determine whether, and the extent to which, it will send and accept electronic records and electronic signatures to and from other persons and otherwise create, generate, communicate, store, process, use and rely upon electronic records and electronic signatures.” </li></ul>Electronic Transactions: Definitions (Cont.)
    115. 128. Managing E-mail: Essential Elements <ul><li>Policies and Procedures </li></ul><ul><li>Records Retention Schedules </li></ul><ul><li>Training </li></ul><ul><li>Software </li></ul><ul><li>Continuous Improvement / Updates </li></ul>
    116. 129. Managing E-mail: State Policies <ul><li>General Letter 98-1: Electronic and Voice Mail: A Management and Retention Guide for State and Municipal Government Agencies </li></ul><ul><ul><li>Defines e-mail and public records </li></ul></ul><ul><ul><li>Explains retention guidelines for e-mail messages </li></ul></ul><ul><ul><li>Clarifies retention of voice mail </li></ul></ul>
    117. 130. www.cslib.org/publicrecords/opraforms.htm#guidelines
    118. 131. www.cslib.org/publicrecords/email.htm
    119. 132. Managing E-mail: Retention Guidelines <ul><li>Transitory (non-record) messages are casual and routine communications similar to a telephone conversation </li></ul><ul><li>Public records with a less than permanent retention period </li></ul><ul><li>Public records with a permanent or archival retention period </li></ul>
    120. 133. Managing E-mail: Retention Guidelines (Cont.) <ul><li>Transitory Records: delete at will </li></ul><ul><ul><li>Convey information of temporary importance </li></ul></ul><ul><ul><li>Includes convenience copies that are distributed for informational purposes </li></ul></ul><ul><ul><li>Often similar to oral communication </li></ul></ul>
    121. 135. Managing E-mail: Retention Guidelines (Cont.) <ul><li>Less than Permanent Records: follow the retention period for the equivalent hard copy record as specified in an approved retention schedule: </li></ul><ul><ul><li>Must be able to retrieve the record for the minimum retention period required </li></ul></ul><ul><ul><li>Most records fall into this category </li></ul></ul><ul><ul><li>Includes routine correspondence </li></ul></ul>
    122. 136. Managing E-mail: Retention Guidelines (Cont.) <ul><li>Permanent or Permanent / Archival Records: </li></ul><ul><ul><li>Must be retrievable for the life of the record </li></ul></ul><ul><ul><li>Maintain human-readable copy, e.g. paper or microfilm </li></ul></ul>
    123. 137. Managing E-mail: Filing and Classification <ul><li>Most e-mail systems are not filing systems </li></ul><ul><li>Files created by users are generally outside of the agency filing system </li></ul><ul><li>Filing and classification is specific to the user </li></ul>
    124. 138. We are Here to Help! <ul><li>Training Opportunities </li></ul><ul><li>Presentations to Agencies </li></ul><ul><li>On-site Visits </li></ul><ul><li>Records Storage at the State Records Center </li></ul><ul><li>Permanent Records Storage at the State Archives </li></ul><ul><li>Assistance with Developing Records Retention Schedules </li></ul><ul><li>Guidance and Support </li></ul>
    125. 139. Connecticut State Library Office of the Public Records Administrator (860) 757-6540 www.cslib.org

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