Employees & Public Records What every public employee needs to know

1. Employees & Public RecordsWhat everypublic employee needs to know July 25, 2007

2. The Laws

3. Public Records Management Public Records Laws ORS 192 & 357 Secretary of State Public Records Administrator State Archivist Authorizes Destruction Advises and Assists

4. “‘Public record’ includes, but is not limited to, a document, book, paper, photograph, file, sound recording or machine readable electronic record, regardless of physical form or characteristics, made, received, filed or recorded in pursuance of law or in connection with the transaction of public business, whether or not confidential or restricted in use.” ORS 192.005 (5) Public Records LawRetention & Disposition

5. Public Records LawAccess “’Public record’ includes any writing containing information relating to the conduct of the public’s business, including but not limited to court records, mortgages, and deed records, prepared, owned, used or retained by a public body regardless of physical form or characteristics.” – ORS 192.410 (4)

6. “The Oregon form of government requires an informed public aware of the deliberations and decisions of governing bodies and the information upon which such decisions were made. It is the intent of ORS 192.610 to 192.690 that decisions of governing bodies be arrived at openly.” - ORS 192.620 Public Meetings Law

7. None of these laws distinguish between home or office AND They are all inclusive (i.e. “regardless of physical form or characteristics”) What the Laws Include

8. Retention SchedulesKnowing what to keep and what to throw away

9. Records Retention Schedules A records retention schedule, approved by the State Archives, is your legal authorization to destroy public records Types of Records Retention Schedules General Schedules are retention schedules that are written so that many individuals may use them, regardless of the agency or department that they work for. (OAR 166-150, 166-200, 166-300) Special Schedules are written for records that are unique to a particular government agency or department and can only be used by that agency or department.

10. Appraisal Values of Records • Administrative needs of the agency • Fiscal requirements of the agency • Legal requirements of the agency • Long term research value (Historical)

11. General Schedule Example OAR 166-200-0040 (2) Budget Committee Meeting Records Records documenting the proceedings of the committee responsible for reviewing the annual budget proposals of city departments prior to city council review, as described in Oregon's Public Meetings Law (ORS 192.610 to 192.710). Records often include minutes, agendas, exhibits, staff reports, tape recordings, and related documents. Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records) permanently (b) Retain audio or visual recordings 1 year after minutes prepared and approved (c) Retain other records and exhibits not pertinent to minutes 5 years

12. Using the Schedule Retentions apply regardless of physical format, so... Photos, maps, drawings, reports, e-mail, excel spreadsheets, correspondence, audio tapes, video tapes, DVD’s, CD’, etc. Are ALL subject to retention, if it fits the definition of a public record

13. Electronic Records

14. Electronic Records and E-mail Electronic Records - Any information recorded in a form that requires a machine to process E-mail – Efficient communication tool, commonly found in the workplace. Its informal nature creates a business challenge Goal - Like paper records, preserveONLYfor as long as it is needed to accurately document agency functions

15. Awareness How do we get an agency’s attention? Experience State Accident Insurance Fund (SAIF) City of Beaverton vs. NIKE Corp. Education Video and Manual

16. Approach • Change behavior and viewpoint • Create an environment of accountability • Give agencies the necessary tools to • accomplish the above

17. Core Elements of a Good Policy Appropriate Use Statement Access to employee computers and accounts; Privacy Notice Retention of E-Records Policy Awareness Training Compliance Policies and Procedures

18. Storage and Preservation Saving to hard drive is not a solution Security back-ups & long-term storage are not the same thing Software Should assist in proper management of e-records Technological Obsolescence Migration Plans Technology

19. Technology Alternative Communication Devices Instant Messaging PDAs Chat Rooms Blogs Written policies & procedures, addressing use, access & retention aMUST! Should only be usedIFagency can capture & retain information sent & received using these technologies

20. Methods for Retaining E-records E-filing System Print and File Hybrid *Notefor e-mail: Messages that need to be saved for a long period of time (i.e. more than 1 year) should be exported from the e-mail system and stored in a more reliable and stable system (e.g. printed or within a records management application). Retaining E-Records

21. Create a filing system that is the same for both electronic and paper records Keep your filing system simple, logical and easy to implement; otherwise, it will not be used effectively Filing Systems

22. ‘Filing System’ time sheets RC LOANS 2002 Garten Month Dest Barcode_temp locations available Old RC LOANS 2003 Misc Letters excell forms locations available RC LOANS 2004 Main Records Center RC LOANS 2005 RC Guide EXCEL DOCS Pos.Rev.Questionnaire My Pictures destruction letters RC LOANS 1994-98 RC LOANS 1999 transmittal letters deaccession letters RC LOANS 2000 RC LOANS 2001 Security Depository FORMS Master List labels Mark pos. review PERSupdate destructions Before map Archives locator RC PICTURES Assessment Jan28-98 Mid Town Storage Conversion Evac Route 1 RC UPDATE Evac Route 2 Records Center Construction

23. Filing System Administrative Inventory Control Special Projects Barcode RC UPDATE Budget Main Records Center Assessment Jan28-98 Master List Records Center Construction locations available Old Forms locations available RC PICTURES labels RC LOANS My Pictures RC LOANS 1994-98 Personnel RC LOANS 1999 Mid Town Storage Mark pos. review RC LOANS 2000 Pos.Rev.Questionnaire RC LOANS 2001 RC LOANS 2002 time sheets Records Disposition RC LOANS 2003 RC LOANS 2004 RC Guide Deacessions RC LOANS 2005 Evac Route 1 Deaccession Letters Evac Route 2 transmittal letters map Deaccession Authorizations After Destructions Destruction Letters Destruction Authorizations Destruction Receipts

25. 1 year 1 year 75 years 4 years ERMS Work Flow Records Disposition Document Created Deaccessions User Prompt 2 Deacession Request Letters Which file do you want to save it to? Deacession Authorizations User Prompt 1 Destructions Does Records need to be saved? Yes No – Record is not retained Destruction Request Letters Destruction Authorizations Permanent TL’s – 2 years after transfer to State Archives, destroy Non-Permanent TL’s – 10 years after final disposition, destroy Garten Destruction Receipts

26. 1 year ERMS Work Flow Document is placed in proper folder By placing in folder, document is assigned proper retention & disposition by ERMS Destruction Request Letters System Administrator is prompted when document is ready for destruction Document is accessible until final disposition

27. E-Records Management The E-mail System is a mode of transmission, not a type of record The e-mail message is the record Implement a systematic filing system Apply records retention to all e-records Summary

28. Conclusion Written policies & procedures that address use, access & retention are aMUSTin the electronic world Train your employees on your policies Ensure that you use your retention schedule and that the management of your public records is systematic & routine Continuously&systematicallymonitor for compliance to policies & procedures

29. For More Information… Archives Division - Information Resource Management Unit Phone: (503) 373-0701 E-mail: mary.e.herkert@state.or.us Webpage: http://arcweb.sos.state.or.us