Managing Public Records: Master Clerks Academy II Presented by: - - PDF document

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Managing Public Records: Master Clerks Academy II Presented by: - - PDF document

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11/18/2019 Managing Public Records: Master Clerks Academy II Presented by: Courtney Bailey Records Analysis Unit Government Records Section State Archives of North Carolina 1 Objectives Review public records laws in North Carolina

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Managing Public Records: Master Clerks Academy II

Presented by: Courtney Bailey Records Analysis Unit Government Records Section State Archives of North Carolina LAW RM

Objectives

  • Review public records laws in North

Carolina

  • Discuss records management and

retention schedules

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LAW RM

NC General Statute 132

§ 132-1. "Public records" defined. Public records = all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or

  • ther tapes, electronic data-processing records,

artifacts, or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions.

LAW RM

Public Records Requests

§ 132-1(b) The public records and public information compiled by the agencies of North Carolina government or its subdivisions are the property

  • f the people. Therefore, it is the policy of this

State that the people may obtain copies of their public records and public information free or at minimal cost unless otherwise specifically provided by law. As used herein, "minimal cost" shall mean the actual cost of reproducing the public record or public information.

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LAW RM

Public Records Request: Inspection

§ 132-6(a) Every custodian of public records shall permit any record in the custodian's custody to be inspected and examined at reasonable times and under reasonable supervision by any person, and shall, as promptly as possible, furnish copies thereof upon payment of any fees as may be prescribed by law. As used herein, "custodian" does not mean an agency that holds the public records

  • f other agencies solely for purposes of storage or safekeeping or solely to

provide data processing. § 132-6(b) No person requesting to inspect and examine public records, or to

  • btain copies thereof, shall be required to disclose the purpose or motive for the

request. § 132-6(c) No request to inspect, examine, or obtain copies of public records shall be denied on the grounds that confidential information is commingled with the requested nonconfidential information. If it is necessary to separate confidential from nonconfidential information in order to permit the inspection, examination, or copying of the public records, the public agency shall bear the cost of such separation. § 132-6.2(e): Nothing in this section shall be construed to require a public agency to respond to a request for a copy of a public record by creating or compiling a record that does not exist.

at reasonable times purpose or motive for the request not required as promptly as possible agency bears cost of separating confidential from nonconfidential agency not required to create/compile record

LAW RM

Confidential Public Records

PUBLIC CONFIDENTIAL PUBLIC CONFIDENTIAL

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Confidential Records

  • Personal identifying information
  • Personnel records
  • Blueprints for public buildings

G.S. 132-11: Notwithstanding any other provision of law, all restrictions on access to public records shall expire 100 years after the creation of the record.

LAW RM

Public Records Destruction Regulation

07 NCAC 04M .0510 METHODS OF DESTRUCTION

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LAW RM

Electronic Records

data and metadata are

  • verwritten, deleted, and unlinked

so the data and metadata may not be practicably reconstructed

Public Records Destruction Regulation

07 NCAC 04M .0510

LAW RM

Public Records Destruction Regulation

07 NCAC 04M .0510 Confidential Records

the data, metadata, and physical media are destroyed in such a manner that the information cannot be read or reconstructed under any means

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LAW RM

Destructions Log

LAW RM

Business Drivers for Records Management

Compliance Effectiveness Efficiency Continuity

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LAW RM

http://archives.ncdcr.gov http://archives. ncdcr.gov/ government/ retention‐ schedules/ local‐government‐ schedules

LAW RM

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LAW RM

2019 General Records Schedule

LAW RM

Search

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LAW RM

Audits, Litigation Holds, and Public Records Requests

Remember:

If there’s a lawsuit (or even a possible lawsuit) or an ongoing audit or public records request, you may be required to retain records, including the metadata associated with electronic records, EVEN IF THEY COULD BE DESTROYED LEGALLY UNDER THE RETENTION RULES

LAW RM

What trumps DI?

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LAW RM

Reference Value

Establish and enforce internal policies setting minimum retention periods for records with the disposition instruction “destroy in office when reference value ends.” Without the establishment

  • f these policies, the office

is not authorized by the Department of Natural and Cultural Resources to destroy these records.

LAW RM

Transitory Records

  • Reference copies
  • Routing slips and transmittal sheets
  • Tickler, follow up, or suspense copies of

correspondence, provided they are extra copies

  • f the originals
  • Duplicate copies
  • Catalogs, trade journals, and other publications

that are received from other Government agencies, commercial firms, or private institutions

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LAW RM

Historical Value

LAW RM

Historical Value Defined

Historical records document significant events, actions, decisions, conditions, relationships, and similar developments. These records have administrative, legal, fiscal, or evidential importance for the government or its citizens. Two criteria for determining historical value are inherent interest and extraordinary documentation:

  • Inherent interest
  • Extraordinary documentation

SANC has further elaborated selection criteria that help distinguish records with historical value:

  • Do they protect the rights and property of citizens?
  • Do they have a long-term impact on citizens?
  • Do they document the core functions of an agency?
  • Do they document high-level decision-making that shapes an

agency’s policies or initiatives?

  • Do they summarize an agency’s activities?

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LAW RM

Activity

INSTRUCTIONS: You will receive a slip

  • f paper with a type of record listed on

it and pages from a retention schedule. Locate what record series this type of record would fall under. When everyone has had an opportunity to look at their schedule, you will be asked to read off the title of the standard, the records series, and the disposition instructions for your type of record.

LAW RM

E-mail to boss requesting leave

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Tweet from a resident requesting pot hole repair

LAW RM

Blog about a new agency program

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Board meeting agenda posted to town website

LAW RM

Text message requesting light bulb replacement

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Content, not format

LAW RM

Schedule Updates Planned for January 2020

  • Agricultural Extensions
  • County Management
  • Local Education Agencies
  • Municipalities
  • Regional Councils of Government
  • Tourism Development Authorities

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LAW RM

Local Program Records Schedule

LAW RM

Local General Schedule 2020 Amendments

  • Increase retention period to 5 years per

DES administrative code

– Longevity Pay – Payroll and Earnings Records – Shift Premium Pay – Tax Forms – Time Sheets, Cards, and Attendance Records – Travel Reimbursements – Unemployment Compensation Claims – Unemployment Compensation Reports

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LAW RM

Local General Schedule 2020 Amendments

  • Clarified non-building permits include free

business permits

  • Increased retention on Bond Closing Records to

be 6 years after final maturity

  • Added possibility to destroy withdrawn

annexation petitions

  • Put employee reasonable accommodations in

Civil Rights Case Records (and delete separate Reasonable Accommodations item)

  • Deleted Certification and Qualification Records

(already covered by Training and Education Records and Conferences and Workshops)

LAW RM

Future Schedule Updates

https://ncrecords.wordpress.com/2019/01/14/ new‐retention‐schedule‐model‐for‐north‐carolina‐local‐governments/

  • 2021 – County Social Service Agencies, County Veterans

Services, Law Enforcement Agencies, Public Libraries, Public Transportation Systems and Authorities

  • 2022 – Alcoholic Beverage Control Boards, County Boards
  • f Elections, County Tax Administrations, Local

Management Entities, DMH/DD/SAS Local Management Entities (LME), DMH/DD/SAS Provider Agencies

  • 2023 – County Registers of Deeds, Land Use and

Environmental Services Agencies, Public Hospitals, Water and Sewer Authorities and Sanitary Districts

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LAW RM

Request for Change in Records Schedule

LAW RM

Request for Disposal of Unscheduled Records

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LAW RM LAW RM

Be careful what you share

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Don’t keep everything

  • 1. Space
  • 2. Findability
  • 3. Confidential/sensitive information
  • 4. Legal risk

LAW RM

Separate professional and personal documents

PROFESSIONAL PERSONAL Annual report Grocery list Staff memoranda Text to spouse Budget submission Paycheck withholding Professional Personal Personal Professional

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Stop seeing double

LAW RM

Identify record owner

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LAW RM

File Plans

LAW RM

Triggers and Filing

  • HR: Personnel Record
  • Admin: Maintenance Request
  • Budget: Annual Budget
  • HR: Personnel File
  • Legal: Memorandum of Understanding

Taking into consideration the trigger that begins the retention clock, what’s the best way to file these records?

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LAW RM

Maintenance Request

LAW RM

Annual Budget

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Personnel File

LAW RM

MOU

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Benefits of Records Management

  • Controlled records growth
  • Cost savings
  • Improved office efficiency
  • Essential records protection
  • Compliance with legal

requirements

  • Preservation of records with

enduring value

  • Public Records & Confidentiality for

Local Government in NC

  • Microfilming Minutes

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WordPress blog

ncrecords.wordpress.com

Records Management Analysts

Raleigh Office Asheville Office

Mark Holland, Supervisor mark.holland@ncdcr.gov (919) 814‐6908 Courtney Bailey courtney.bailey@ncdcr.gov (919) 814‐6918 Josh Hager joshua.hager@ncdcr.gov (919) 814‐6914 Whitney Ray whitney.ray@ncdcr.gov (919) 814‐6907 Colin Reeve colin.reeve@ncdcr.gov (919) 814‐6915 Emily Sweitzer emily.sweitzer@ncdcr.gov (919) 814‐6910 Jason Woolf (jason.woolf@ncdcr.gov) (828) 296‐7230 x224

archives.ncdcr.gov 51 52