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Session 2:

Session 2:. The Life Cycle of Records. The Life Cycle of Records. Objectives. Define and identify record series Discuss the general schedules, including the GS1-SL for State and Local Government Agencies Identify which record schedules to use in determining retention requirements

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Session 2:

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  1. Session 2: The Life Cycle of Records

  2. The Life Cycle of Records

  3. Objectives • Define and identify record series • Discuss the general schedules, including the GS1-SL for State and Local Government Agencies • Identify which record schedules to use in determining retention requirements • Discuss disposition methods and documentation requirements

  4. Records Inventory • Locate and evaluate records • Identify records eligible for disposition • Evaluate storage needs • Identify vital and electronic records

  5. Records Inventory • Record series title • Description • Describe the content, nature, and purpose of the records, • List types of documents and formats that are included • List any laws or rules regulating creation/retention • Inclusive dates • Types of formats • Identifying vital records • Physical location • Volume in cubic feet • Retention requirements • Record copy or duplicate

  6. Record Copy vs. Duplicate “Record (Master) Copy” means public records specifically designated by the custodial as the official record. Rule 1B-24.001(3)(i), F.A.C. • Determine who maintains the record copy • Not necessarily the original paper record • Can be microfilm, scanned image, or copy

  7. Record Copy vs. Duplicate “Duplicate Records” means reproductions of record (master) copies, prepared simultaneously or separately, which are designated as not being the official copy. Rule 1B-24.001(3)(j), F.A.C. • Duplicates may be disposed of without documentation except for records that have been microfilmed or scanned in accordance with Rule 6B-26, F.A.C., where the microfilm or electronic version will serve as the record copy. • If only duplicate exists, duplicate becomes record copy.

  8. Retention Schedules Two Types of Retention Schedules: • General Schedules • Cover most administrative records • Arranged alphabetically by Record Series Title • Most current version available on our Web Site • Individual Schedules • Applicable to program specific records of a particular agency • Series descriptions clearly indicate the program/activity that the records relate to • An agency may not use another agency’s individual schedules

  9. Retention Requirements “Records Retention Schedule” means a standard approved by the Division for the agency’s orderly retention, transfer, or disposition of public records… Rule 1B-24.001(3)(l), F.A.C. • Value of Records • Legal • Fiscal • Administrative • Historical

  10. General Schedules GS1-SL State and Local Government Agencies GS2 Law enforcement, Correctional Facilities and District Medical Examiners GS3 Election Records GS4 Public Hospitals, Health Care Facilities and medical Providers GS5 Universities and Community Colleges GS7 Public Schools Pre-K-12, Adult and vocational/Technical GS8 Fire Departments GS9 State Attorneys GS10 Public Defenders GS11 Clerks of Court GS12 Property Appraisers GS13 Tax Collectors GS14 Public Utilities GS 15 Public Libraries

  11. Retention Schedules Elements of a schedule • Records Series title: Briefly captures subject/function of the record series. • Item number: Unique identifier assigned to each record series. • Description: Explains the nature, content, and purpose of the records and how they are used. Indicated if records are of potential archival value. • Retention: Minimum period for which records must be retained before they are eligible for disposition, including record copy and duplicates

  12. GS1-SL General Schedule for State and Local Government Agencies

  13. GS1-SL Changes • Record Series titles • Item Numbers • Descriptions • Retention • New series • Combined and removed series • Added “dummy” items • Updated and expanded cross-references and indexes

  14. GS1-SL Revisions to Record SeriesTitles and Item Numbers

  15. Record Series Title Changes Surveillance Video Tapes Updated as Surveillance Recordings Minutes: Official Meetings (Handwritten/Audio/Visual Recordings) Updated as Minutes: Official Meetings (Preliminary/Audio Recordings/Video Recordings)

  16. Record Series Title Changes Code Enforcement Board Case Files Changed to Code Enforcement Hearing Case Files Mail: Undeliverable First Class Changed to Mail: Undeliverable/Returned

  17. Series Relevant Only to Local Government Records Permits: Signs (Local Government) Item #288 Personnel Records: Non-Florida Retirement System (Local Government)Item #162 Permits: Mining (Local Government) Item #287

  18. Item Numbers Titles and item numbers from the GS1-L were carried over to the GS1-SL whenever possible to minimize the impact on the largest group of users (local government agencies). Example: Annual Reports: Governing Body, Item #245 (GS-1L) Annual Reports: Governing Body, Item #253 (GS1-SL) Annual Reports: Governing Body, Item #245 (GS1-SL)

  19. Item Numbers Same item number existed in both schedules: Example: Access Control Records, Item #189 (GS1-L) Key and Badge Issuance Records, Item #189 (GS1-S) Access Control Records, Item #189 (GS1-SL)

  20. GS1-SL Record Series Description Revisions

  21. OLD Public Information Files …speeches and drafts, contact prints, negatives, enlargements from negatives and transparencies created as illustrations in agency publications or as visual displays of agency activities. NEW Public Information Files …documents an agency’s efforts to disseminate information to the public about its programs and services through such activities as speeches, presentations, exhibits, displays, etc. The series may include, but is not limited to, …or other items meant for public distribution. NOTE: Stocks of agency publications…are not included in this series. Description Revisions

  22. OLD Transitory Messages …those records that are created primarily for the communication of information, as opposed to communications designed for the perpetuation of knowledge. Transitory messages do not set policy, establish guidelines or procedures, certify a transaction, or become a receipt. The informal tone of transitory messages might be compared to the communication that might take place during a telephone conversation or a conversation in an office hallway. Transitory messages would include, but would not be limited to: e-mail messages with short-lived or no administrative value, voice mail, self-sticking notes, and telephone messages. NEW Transitory Messages …records that are created primarily to communicate information of short-term value…Transitory message are not intended to formalize or perpetuate knowledge and do not set policy, establish guidelines or procedures, certify a transaction, or become a receipt. Description Revisions

  23. Descriptions • Clarified Personnel Records to include I-9 forms and benefit records • Clarified Minutes: Official Meetings, stating that minutes can be verbatim transcripts or minutes summarizing issues addressed, actions taken, and decision made • Clarified Minutes: Other Meetings, stating that these are meetings which are not official meetings as defined in s. 286.011(1), F.S. • Revised Budget Records to clarify that the final budget is the only permanent record

  24. Retention Revisions

  25. Retention Length speficied • Anniversary • Calendar • Fiscal • Triggering events • OSA (Obsolete, Superseded, or Administrative Value is lost) • Permanent

  26. “May have archival value” • Archival language removed from records that are permanent but not archival • State Agencies: Should contact the State Archives of Florida for Archival review • Local Agencies: Should ensure appropriate preservation of records

  27. Archival Records What makes a record archival? • Informational value • Evidential value • Historical value • Intrinsic value

  28. Retention Length Changes

  29. GS1-SL New Record Series/ Schedule Items

  30. New Record Series • False Alarm Records (Item #345)…records documenting false alarms and fees assessed for false alarm responses… • 911 Records: Logs (Item #377)…a daily listing of 911 telephone calls received… • Financial Disclosure Statements (Local Government) (Item #346)…personal financial information submitted to a local governing body by individuals appointed to local government office…. These records may have archival value…

  31. New record Series • Grant Files: Unfunded Applications (Item #349)…grant applicant’s unfunded grant applications… • Pension Records: Retirees (Item #359)…records documenting earned pension benefits, payments, actuarial information, and other records relating to participation in a pension plan by individual retired employees… • Pension Records: Plan/Fund (Item #358)…performance and activity reports of pension plans/funds…

  32. New Record Series • Staff Administration Records (Item #371)…documentation maintained in program offices, often by supervisors or program managers, to assist in managing office staff and monitoring personnel issues… • Subpoenas (Item #374)…subpoenas served on an agency or employee to provide specified records and/or testimony…

  33. GS1-SL Combines Similar Record Series

  34. Combined Record Series Combined as two series Equipment/Vehicle Maintenance Records (Item #104) Equipment/Vehicle Usage Records (Item # 224)

  35. W-2 Forms (GS1-L-157) W-4 Forms (GS1-L-158) W-9 Forms (GS1-L-178) 941-E Forms (GS1-L-161) 1096 Reports (GS1-L-314) 1099 Forms (GS1-L-159) 1099 Reports (GS1-L-160) 1099-Int Forms (GS1-L-315) Federal and State Tax Forms/Reports (GS1-S-157) Combined as Combined Records Series Federal andState Income/EmploymentTax Forms/Reports(Item #157)

  36. Combined Record Series Combined series Final OrdersRecords (Item # 67)

  37. Combined Record Series Combined series Attendance and LeaveRecords (Item # 116)

  38. Combined Record SeriesFinancial Records Disbursements Expenditures of money by an agency • Detail (Item #340) • Summary (Item #341) Receipt/Revenue Receipt/revenue collected by an agency Detail (Item #365) Summary (Item #366) Financial History Annual Summary (Item #347) Summary of an agency’s receipts and disbursements

  39. Combined Record Series:Financial Records Disbursement Records: DetailItem # 340 …records documenting specific expenditures or transfers of agency moneys for the procurement of commodities and services and other purposes. …and expenditure records for disbursements…and related documentation. Retention is based on s. 95.11(2), F.S. RETENTION: • Record copy. 5 fiscal years provided applicable audits have been released, OR 3 years after completion of applicable federal reporting or audit requirements, whichever is later.

  40. Combined Record Series: Disbursements DISBURSEMENT RECORDS: DETAIL(Item #340)

  41. Combined Record Series: Receipt/Revenue Receipt/Revenue Records: Detail Item #365 …records documenting specific receipts/revenues collected by an agency through cash, checks, electronic fund transfert (EFT), credit and debit cards, or other methods…. Retention is based on s. 95.11(2), F.S., Statute of Limitations on contracts, obligations, or liabilities. RETENTION: • Record copy. 5 fiscal years provided applicable audits have been released, OR 3 years after completion of applicable federal reporting or audit requirements, whichever is later.

  42. Combined Record Series: Receipt/Revenue RECEIPT/ REVENUE RECORDS: DETAIL(Item #365)

  43. Removed Record Series Public library records are covered by GS15, General Schedule for Public Libraries.

  44. New GS1-SL Guides

  45. Index and Cross References • Index • Alphabetical by Record Series Title • Numeric by Item Number • Cross references by subject or old Record Series Titles Attendance Records: Leave Attendance Records: Leave Index Attendance and Leave Records Leave Transaction Reports • See Attendance and Leave Records

  46. Index and Cross References

  47. Microsoft Excel Spreadsheet Microsoft Excel spreadsheet available online http://dlis.dos.state.fl.us/recordsmgmt/GS1comparison.xls • Shows changes by item number • Sort and search by GS1-L or GS1-S item numbers or record series titles

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