RECORDS MANAGEMENT UPDATE

RECORDS MANAGEMENTUPDATE

VIVICA SMITH PIERRE, SPRING 2011

Meaning of “Records Management”

"Records management" means the systematic application of management techniques to the creation, utilization, maintenance, retention,

preservation, and disposal of records for the purpose of reducing costs and improving efficiency of records keeping. "Records management" includes

management of filing and microfilming equipment and supplies; filing and information retrieval systems; files, correspondence, reports, and forms

management; historical documentation; micrographics; retention programming; and vital records protection.

Meaning of “Records”

"Records" means all documents, papers, letters, books, drawings, maps, plats, photographs, magnetic or optical media, microfilm,

microphotograph, motion picture film, or other document or any other material, regardless of physical form or characteristic, generated or received

under law or in connection with the transaction of official business, or preserved by an agency or political subdivision because of other informational

or legal value. This term shall not be construed to include library and museum material developed or acquired and preserved solely for reference or

exhibition purposes, extra copies maintained for convenience in reference or stocks of standard publications, or processed documents.

Is RM a negative or positive experience?

• Time constraint

• Saves space

• Staff development needed

• Collaboration” – “I’d like to hear and see what others are doing in the interim?”


Electronic Mail (E-mail) Sample: Louisiana State Archives Policy

Electronic Mail (E-mail) Retention

http://www.sos.louisiana.gov/Portals/0/archives/pdf/la_archives_e-mail_policy.pdf

Purpose:

The purpose of this policy is to ensure that electronic mail is maintained in accordance with approved records

retention policies, accepted record keeping practices and laws as required by LA.R.S. Title 44.

Policy:

Electronic Mail (E-mail) is not a record series for retention scheduling purposes. Rather, the retention of E-mail

must be based on content, not on media type, artificial duration (i.e. 90 days) or on storage limitations. E-mail

should be retained for the same duration as other records of similar content included in a given record series on

an approved retention schedule.

Why?

• “Administrative value”

• “Historical value” and “Preserve institutional memory”

• “Legal hold” or “legal value”

• “Permanent”

• “Vital”

• “Active” or “inactive”

Meaning of “Vital Record”

"Vital records" means any record essential to either or both the resumption or continuation of operations, to verification or re-creation of the legal

and financial status of government in the state, or to the protection and fulfillment of obligations to citizens of the state.

Meaning of “Destruction”

"Destruction" means to destroy by shredding, burning, or other suitable means of obliteration.

Meaning of “Disposal”

"Disposal" means destruction in any manner approved by the environmental authority; or, transfer into the custody of the repository at the University of Louisiana at Lafayette (Archives/Special Collections).

Note: Archives/Special Collections at the University keeps “permanent records” only once records become “non-active” as spelled out in your department/unit approved RM schedule. On-site RM facility/records center NOT provided.

Where do I find more RM information?

La. State Archives, Records Management Section Handbook (see http://www.sos.louisiana.gov/Portals/0/archives/pdf/rm-appendices.pdf


The Louisiana Constitution says:

The basic premise of the Title 44 Public Records Law is that all records, of all public agencies and quasi-public entities, that perform governmental functions, are subject to inspection.

But remember what Article XII, Section 3 of the Louisiana Constitution (as amended) says:

“No person shall be denied the right to...examine public documents, except in cases established by law.”

What’s New?

- Records Retention Schedule Development

- Records Retention Schedule MS Word: SSARC-930(new).doc Sample: SSARC-930(new)-sample.pdf NEW

Forms: La. State Archives Records Management Handbook

Appendix B Forms Page 5

Records management formshttp://www.sos.louisiana.gov/tabid/625/Default.aspx

Forms and documents in fillable Adobe PDF, Microsoft Excel or Microsoft Word

Request for Authority to Dispose of Records pdf Form: SSARC-930.pdf Sample: SSARC-930-Sample.pdf

Request for use of Expedited Disposal Request Process for Converted Documents Form pdf Form SSARC-930e.pdf

Certificate of Destruction pdf Form: SSARC-933.pdf Sample: SSARC-933-Sample.pdf


RECORDS DISPOSAL

NOTE: An approved retention schedule is NOT authority to dispose of records! - Records Retention Schedule MS Word: SSARC-932(new).doc

Sample: SSARC-932(new)-sample.pdf NEW

- Records Management Inventory Form pdf Form: SSARC-960.pdf MS Word: SSARC-960.doc

Your Participation Records Management Liaison (participation)

1) Please update the records management contact information (“records liaison for your department/unit) by April 9 of each academic year.

2) Please be certain that you and your department/unit have an Inventory of Records completed form.

3) Please be certain that you and your department/unit have an approved Retention Schedule.- Note: The records liaison submits all RM related forms to this office (RM 152), andthe Records Manager for the university sends it to the La. Secretary of State, Records Management Officer for his/her acceptance.

- Note: You maintain the approved forms (i.e. inventory, retention, and disposal Schedules) as documentation in your office. A copy of the approved retention schedule is maintained in Rm 152, Records Management, Dupre’ Library.

4) One RM staff development instruction will be provided each year, and “as needed.”


REVIEW:

Let’s Review:

Appendix A: Records Management & meaning of “record”

Appendix B – Forms

Appendix C Public Records (General) and

Selections from La. Revised Statute 44

“IMAGING”

Appendix D Imaging Policy

Imaging Exception Application Process

Imaging Exception Application Form MS Word: SSARC-970.doc Instructions: SSARC-970I.pdf

Imaged Records Series List Form MS Word: SSARC-972.doc

Agencies List Worksheet Form MS Word: SSARC-971.doc

Request for use of Expedited Disposal Request Process for Converted Documents Form pdf Form SSARC-930e.pdf


ARCHIVES/SPECIAL COLLECTIONS

On-site facility for “permanent/non-active records” (contact Dr. Bruce Turner/482-5702).

Off-campus Storage (e.g. Exec U Store/Records Management Facility). Microfilm (500 year storage media).

Records Box Storage Instructions pdf Form: Records_Storage_Instructions.pdf

Preservation issues, contact Dr. Bruce Turner, ULL Archives & Special Collections.


VITAL RECORDS

Damage Assessment for Records

Vital Records Damage Assessment Worksheet MS Word: SSARC-980.doc Instructionspdf Form: Instructions SSARC-980.pdf


WHAT’S MISSING?

• Contact the Records Management Librarian: Vivica Smith Pierre via 337 482-1171 or [email protected].

• Contact Assistant Dean, Archives & Special Collections,Dr. Bruce Turner via 337 482-5702, [email protected].


IMPORTANT UPDATES

Important Updates

The Louisiana Secretary of State (“SOS” Records Management Section has released its Imaging Exception Application process and related forms as of July 1, 2010. These forms can be found in the forms list provided above. In addition, the section is offering a new class on imaging and the imaging exception application process for interested agencies. Information on this new class can be found on our Training Page.

The LA SOS Records Management Section has changed records retention schedule form. The new records retention schedule form SSARC-932(NEW) went into effect on March 1, 2008.

Records Retention Schedule Update pdf: schedule_update.pdf

Training Schedule by the LA SOS Records Manage is posted,provided in Baton Rouge, there is a fee, check their website.

At ULL, RM will provide training “as needed/as requested” & one time each year schedule to be posted in the near future.


Have you confirmed that you and your department/unit have the following documentation:

1) Inventory Records

2) Approved Retention Schedule

3) Approved Disposal Schedule

4) Staff Development on the topic of Records Management Updates


Is there anything you would do differently?


CONCLUSIONS


References

Appendix E References