From Filing Cabinet to Desktop and Network: Records Management in N.C. State Government

1
From Filing Cabinet to Desktop and Network
Records Management in N.C. State Government

• Ed Southern
• Government Records Branch
• N.C. Office of Archives and History
• Department of Cultural Resources

2
Good Business Practice

• The Basic Mission Acquire, Preserve, Organize,
  Make Available
• Identify vital records
• Accountability to citizens
• Transfer inactive records
• More efficient operations
• Improve customer service
• Save money

3
North Carolina State Laws

• NCGS 121
• Archives and History Act
• NCGS 132
• Public Records Law

4
NCGS 121

• 121-4(2)
• Assigns records management responsibility to the
  Dept. of Cultural Resources
• 121-5(b)
• Regulates the destruction of public records
• 121-5(c)
• Directs DCR to assist the other agencies

5
NCGS 132 Content, Not Media
1(a) Public record or public records shall
mean all documents, papers, letters, maps, books,
photographs, films, sound recordings, magnetic or
other 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.
6
NCGS 132
1(b) The public records and public information
compiled by the agencies of North Carolina
government or its subdivisions are the property
of 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...
7
NCGS 132

• 132-6
• Directs agencies to index databases
• Allows agencies to charge fees for copies
• 132-7
• Directs agencies to safeguard their records
• 132-9
• Provides remedies for those denied access to
  records

8
Things to Remember about the World of Computers

• The dominant medium of a society tends to
  emphasize distribution of information over space
  or over time---it does not usually do both well.
• The development of the networked computer (and
  telecommunications) has immeasurably increased
  the volume of information and the speed of
  communication. This does not necessarily include
  its transportability to the future.

9
Things to Remember about the World of Computers
(Continued)

• Governments are legally obligated and
  operationally required to be interested in the
  transportability of data to the future, when the
  data has long-term, archival, or permanent legal
  value.
• Electronic Records Depend on Software for
  Content, Structure, Context, and Meaning
• Software and Hardware Change Rapidly -
  Electronic Data Must Be Migrated

10
Things to Remember about the World of Computers
(Continued)

• Context means what, when, by whom, to whom,
  where, how, why, what Media
• Preservation of electronic records contexts is
  unstable
• The danger for institutional memory

11
How do I manage my records?
12

• With a Records Retention and Disposition
  Schedule

13
General Schedules

• All state agencies, local governments, and UNC
  System institutions
• Common records
• Official version on Government Records Branch
  website
• Printed copies may become obsolete
• http//www.ah.dcr.state.nc.us/records/

14
Program Records Schedule

• Not all records are common records
• Most state agencies will need a Program Records
  Schedule
• Describes records unique to an office

15
Reasons for an Electronic Records Policy

• Electronic records are subject to
• Public access, audit, and authenticity
  requirements
• Managerial responsibility for the
• Accuracy, completeness, authenticity, security,
  retention and preservation
• North Carolina Guidelines for Managing Public
  Records Produced by Information Technology
  Systems

16
E-Mail as a Public Record

• Managing, Using, and Preserving
• E-Mail

17
E-mail as a Burden

• Volume
• Larger Attachments
• Retirements, resignations is there a policy to
  transfer e-mail to a new account?
• System or software upgrades is there a defined
  procedure to transfer e-mail? All of it?
• Are users required to back up e-mail? Is the rule
  enforced?

18
What To Do with All That E-mail?

• Manage it as part of your normal business.
  Theres no other way around it.
• Utilize and follow your retention schedule. The
  schedule addresses all records, regardless of
  media.

19
How Long Should I Keep It?

• What is the retention for non-electronic records?
• Evaluate at the end of the retention period
• Consistency and timeliness in applying records
  schedules and guidelines

20
Short or Limited-Term Messages

• Less than 5 years
• Maintain in system for entire retention
• Evaluate if required and delete
• North Carolina Public Records with Short-Term
  Value http//www.ah.dcr.state.nc.us/records/
  guidelines.htmshort

21
Retention Over 5 Years

• Options
• Either in system or hard copy
• Determination factors
• Length of retention
• Cost of migrations-- What will be the cost of
  retaining the document on-line.
• Research value--Is there a great deal of
  reference to the document?

22
Permanent Records

• Where do you keep these records?
• In a system until a permanent copy is made
• Permanent records may be microfilmed or printed
  to paper
• Consult with Dept. of Cultural Resources
  regarding preservation in electronic formats

23
DCR and the Internet Archive

• Collaboration between Archives and History and
  the State Library
• Capture and preservation of websites
• The Internet Archive search engine, storage,
  infrastructure
• DCR digitization policy framework
• Ageing databases and their replacement

24
Archives the Institutional Memory

• To Repeatthe Basic Mission Acquire, Preserve,
  Organize, Make Available