1 From Filing Cabinet to Desktop and Network: Records Management in N.C. State Government Ed...
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Transcript of 1 From Filing Cabinet to Desktop and Network: Records Management in N.C. State Government Ed...
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From Filing Cabinet to Desktop and From Filing Cabinet to Desktop and Network: Records Management in Network: Records Management in
N.C. State GovernmentN.C. State GovernmentEd SouthernEd Southern
Government Records BranchGovernment Records Branch
N.C. Office of Archives and HistoryN.C. Office of Archives and History
Department of Cultural ResourcesDepartment of Cultural Resources
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Good Business PracticeGood Business Practice
The Basic Mission: Acquire, Preserve, The Basic Mission: Acquire, Preserve, Organize, Make AvailableOrganize, Make Available
Identify vital recordsIdentify vital records Accountability to citizensAccountability to citizens Transfer inactive recordsTransfer inactive records More efficient operationsMore efficient operations Improve customer serviceImprove customer service Save moneySave money
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North Carolina State LawsNorth Carolina State Laws
NCGS 121NCGS 121
– Archives and History ActArchives and History Act
NCGS 132NCGS 132
– Public Records LawPublic Records Law
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NCGS 121NCGS 121
121-4(2)121-4(2)– Assigns records management responsibility to Assigns records management responsibility to
the Dept. of Cultural Resourcesthe Dept. of Cultural Resources 121-5(b)121-5(b)
– Regulates the destruction of public recordsRegulates the destruction of public records 121-5(c)121-5(c)
– Directs DCR to assist the other agenciesDirects DCR to assist the other agencies
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NCGS 132 – Content, Not MediaNCGS 132 – Content, Not Media
1(a) “Public record” or “public records” shall 1(a) “Public record” or “public records” shall mean all documents, papers, letters, maps, books, mean all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, other tapes, electronic data-processing records, artifacts, or other documentary material, artifacts, or other documentary material, regardless of physical form or characteristicsregardless of physical form or characteristics , , made or received pursuant to law or ordinance in made or received pursuant to law or ordinance in connection with the transaction of public business connection with the transaction of public business by any agency of North Carolina government or by any agency of North Carolina government or its subdivisions.its subdivisions.
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NCGS 132NCGS 132
1(b) The public records and public information 1(b) The public records and public information compiled by the agencies of North Carolina compiled by the agencies of North Carolina government or its subdivisions are the property of government or its subdivisions are the property of the people. Therefore, it is the policy of this State the people. Therefore, it is the policy of this State that the people may obtain copies of their public that the people may obtain copies of their public records and public information free or at minimal records and public information free or at minimal cost...cost...
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NCGS 132NCGS 132
132-6132-6– Directs agencies to index databasesDirects agencies to index databases– Allows agencies to charge fees for copiesAllows agencies to charge fees for copies
132-7132-7– Directs agencies to safeguard their recordsDirects agencies to safeguard their records
132-9132-9– Provides remedies for those denied access to Provides remedies for those denied access to
recordsrecords
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Things to Remember about the Things to Remember about the World of ComputersWorld of Computers
The dominant medium of a society tends to The dominant medium of a society tends to emphasize distribution of information over space emphasize distribution of information over space or over time---it does not usually do both well.or over time---it does not usually do both well.
The development of the networked computer (and The development of the networked computer (and telecommunications) has immeasurably increased telecommunications) has immeasurably increased the volume of information and the speed of the volume of information and the speed of communication.communication. ThisThis does not necessarily include does not necessarily include its transportability to the future.its transportability to the future.
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Things to Remember about the World of Computers Things to Remember about the World of Computers (Continued)(Continued)
Governments are legally obligated and Governments are legally obligated and operationally required to be interested in the operationally required to be interested in the transportability of data to the future, when the transportability of data to the future, when the data has long-term, archival, or permanent legal data has long-term, archival, or permanent legal value.value.
Electronic Records Depend on Software for Electronic Records Depend on Software for Content, Structure, Context, and MeaningContent, Structure, Context, and Meaning
Software and Hardware Change Rapidly - Software and Hardware Change Rapidly - Electronic Data Must Be MigratedElectronic Data Must Be Migrated
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Things to Remember about the World of Computers Things to Remember about the World of Computers (Continued)(Continued)
Context means: what, when, by whom, to Context means: what, when, by whom, to whom, where, how, why, what Mediawhom, where, how, why, what Media
Preservation of electronic records contexts Preservation of electronic records contexts is unstableis unstable
The danger for institutional memoryThe danger for institutional memory
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How do I manage my records?
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With a Records With a Records Retention and Retention and Disposition Disposition ScheduleSchedule
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General SchedulesGeneral Schedules
All state agencies, local governments, and All state agencies, local governments, and UNC System institutionsUNC System institutions
Common recordsCommon records Official version on Government Records Official version on Government Records
Branch websiteBranch website
– Printed copies may become obsoletePrinted copies may become obsolete– http://www.ah.dcr.state.nc.us/records/http://www.ah.dcr.state.nc.us/records/
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Program Records ScheduleProgram Records Schedule
Not all records are common recordsNot all records are common records Most state agencies will need a Most state agencies will need a
Program Records ScheduleProgram Records Schedule
– Describes records unique to an officeDescribes records unique to an office
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Reasons for an Electronic Records PolicyReasons for an Electronic Records Policy
Electronic records are subject to Electronic records are subject to – Public access, audit, and authenticity Public access, audit, and authenticity
requirementsrequirements Managerial responsibility for theManagerial responsibility for the
– Accuracy, completeness, authenticity, security, Accuracy, completeness, authenticity, security, retention and preservationretention and preservation
North Carolina Guidelines for Managing Public Records North Carolina Guidelines for Managing Public Records Produced by Information Technology SystemsProduced by Information Technology Systems
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E-Mail as a Public RecordE-Mail as a Public Record
Managing, Using, and PreservingManaging, Using, and Preserving
E-MailE-Mail
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E-mail as a BurdenE-mail as a Burden
Volume Larger Attachments Retirements, resignations: is there a policy to Retirements, resignations: is there a policy to
transfer e-mail to a new account?transfer e-mail to a new account? System or software upgrades: is there a defined System or software upgrades: is there a defined
procedure to transfer e-mail? procedure to transfer e-mail? AllAll of it? of it? Are users required to back up e-mail? Is the rule Are users required to back up e-mail? Is the rule
enforced?enforced?
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What To Do with All That What To Do with All That E-mail?E-mail?
Manage it as part of your normal business. Manage it as part of your normal business. There’s no other way around it.There’s no other way around it.
Utilize and follow your retention schedule. Utilize and follow your retention schedule. The schedule addresses all records, The schedule addresses all records, regardless of media. regardless of media.
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How Long Should I Keep It?How Long Should I Keep It?
What is the retention for non‑electronic What is the retention for non‑electronic records?records?
Evaluate at the end of the retention Evaluate at the end of the retention period period
Consistency and timeliness in applying Consistency and timeliness in applying records schedules and guidelinesrecords schedules and guidelines
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““Short” or “Limited-Term” Short” or “Limited-Term” MessagesMessages
Less than 5 yearsLess than 5 years Maintain in system for entire retentionMaintain in system for entire retention Evaluate if required and deleteEvaluate if required and delete North Carolina Public Records with Short-North Carolina Public Records with Short-
Term Value Term Value http://www.ah.dcr.state.nc.us/records/guidehttp://www.ah.dcr.state.nc.us/records/guidelines.htm#shortlines.htm#short
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Retention Over 5 YearsRetention Over 5 Years
Options:Options: Either in system or hard copyEither in system or hard copy
– Determination factorsDetermination factors» Length of retentionLength of retention» Cost of migrations-- What will be the cost Cost of migrations-- What will be the cost
of retaining the document on-line.of retaining the document on-line.» Research value--Is there a great deal of Research value--Is there a great deal of
reference to the document?reference to the document?
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Permanent RecordsPermanent Records
Where do you keep these records?Where do you keep these records?
– In a system until a permanent copy is madeIn a system until a permanent copy is made
– Permanent records may be microfilmed or Permanent records may be microfilmed or printed to paper printed to paper
– Consult with Dept. of Cultural Resources Consult with Dept. of Cultural Resources regarding preservation in electronic formatsregarding preservation in electronic formats
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DCR and the Internet ArchiveDCR and the Internet Archive
Collaboration between Archives and Collaboration between Archives and History and the State LibraryHistory and the State Library
Capture and preservation of websitesCapture and preservation of websites The Internet Archive: search engine, The Internet Archive: search engine,
storage, infrastructurestorage, infrastructure DCR digitization policy frameworkDCR digitization policy framework Ageing databases and their replacementAgeing databases and their replacement
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Archives: the Institutional MemoryArchives: the Institutional Memory
To Repeat…the Basic To Repeat…the Basic Mission: Acquire, Preserve, Mission: Acquire, Preserve, Organize, Make AvailableOrganize, Make Available