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RECORDS MANAGEMENT UPDATE

RECORDS MANAGEMENT UPDATE. Meaning of “Records Management”. "Records management" means the systematic application of management techniques to the creation, utilization, maintenance, retention,

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RECORDS MANAGEMENT UPDATE

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  1. RECORDS MANAGEMENTUPDATE Vivica Smith Pierre, Spring 2011

  2. Meaning of “Records Management” "Records management" means the systematic application of management techniques to the creation, utilization, maintenance, retention, preservation, and disposal of records for the purpose of reducing costs and improving efficiency of records keeping. "Records management" includes management of filing and microfilming equipment and supplies; filing and information retrieval systems; files, correspondence, reports, and forms management; historical documentation; micrographics; retention programming; and vital records protection.

  3. Meaning of “Records” "Records" means all documents, papers, letters, books, drawings, maps, plats, photographs, magnetic or optical media, microfilm, microphotograph, motion picture film, or other document or any other material, regardless of physical form or characteristic, generated or received under law or in connection with the transaction of official business, or preserved by an agency or political subdivision because of other informational or legal value. This term shall not be construed to include library and museum material developed or acquired and preserved solely for reference or exhibition purposes, extra copies maintained for convenience in reference or stocks of standard publications, or processed documents.

  4. Is RM a negative or positive experience? • Time constraint • Saves space • Staff development needed • Collaboration” – “I’d like to hear and see what others are doing in the interim?” Vivica Smith Pierre, Spring 2011

  5. Electronic Mail (E-mail) Sample: Louisiana State Archives Policy Electronic Mail (E-mail) Retention http://www.sos.louisiana.gov/Portals/0/archives/pdf/la_archives_e-mail_policy.pdf Purpose: The purpose of this policy is to ensure that electronic mail is maintained in accordance with approved records retention policies, accepted record keeping practices and laws as required by LA.R.S. Title 44. Policy: Electronic Mail (E-mail) is not a record series for retention scheduling purposes. Rather, the retention of E-mail must be based on content, not on media type, artificial duration (i.e. 90 days) or on storage limitations. E-mail should be retained for the same duration as other records of similar content included in a given record series on an approved retention schedule.

  6. Why? “Administrative value” “Historical value” and “Preserve institutional memory” “Legal hold” or “legal value” “Permanent” “Vital” “Active” or “inactive”

  7. Meaning of “Vital Record” "Vital records" means any record essential to either or both the resumption or continuation of operations, to verification or re-creation of the legal and financial status of government in the state, or to the protection and fulfillment of obligations to citizens of the state.

  8. Meaning of “Destruction” "Destruction" means to destroy by shredding, burning, or other suitable means of obliteration.

  9. Meaning of “Disposal” "Disposal" means destruction in any manner approved by the environmental authority; or, transfer into the custody of the repository at the University of Louisiana at Lafayette (Archives/Special Collections). Note: Archives/Special Collections at the University keeps “permanent records” only once records become “non-active” as spelled out in your department/unit approved RM schedule. On-site RM facility/records center NOT provided.

  10. Where do I find more RM information? • La. State Archives, Records Management Section Handbook (see http://www.sos.louisiana.gov/Portals/0/archives/pdf/rm-appendices.pdf Vivica Smith Pierre, Spring 2011

  11. The Louisiana Constitution says: • The basic premise of the Title 44 Public Records Law is that all records, of all public agencies and quasi-public entities, that perform governmental functions, are subject to inspection. But remember what Article XII, Section 3 of the Louisiana Constitution (as amended) says: • “No person shall be denied the right to...examine public documents, except in cases established by law.”

  12. What’s New? • - Records Retention Schedule Development • - Records Retention Schedule  MS Word: SSARC-930(new).doc Sample: SSARC-930(new)-sample.pdf  NEW

  13. Forms: La. State Archives Records Management Handbook • Appendix B Forms Page 5 • Records management formshttp://www.sos.louisiana.gov/tabid/625/Default.aspx • Forms and documents in fillable Adobe PDF, Microsoft Excel or Microsoft Word

  14. RECORDS DISPOSAL Request for Authority to Dispose of Records pdf Form:  SSARC-930.pdf  Sample: SSARC-930-Sample.pdf Request for use of Expedited Disposal Request Process for Converted Documents Form pdf Form SSARC-930e.pdf Certificate of Destruction pdf Form: SSARC-933.pdf Sample: SSARC-933-Sample.pdf Vivica Smith Pierre, Spring 2011

  15. NOTE: An approved retention schedule is NOT authority to dispose of records! • Records Retention Schedule  MS Word: SSARC-932(new).doc Sample: SSARC-932(new)-sample.pdf  NEW • Records Management Inventory Form pdf Form: SSARC-960.pdf MS Word: SSARC-960.doc

  16. Your Participation • Records Management Liaison (participation) • 1) Please update the records management contact information (“records liaison for your department/unit) by April 9 of each academic year. • 2) Please be certain that you and your department/unit have an Inventory of Records completed form. • 3) Please be certain that you and your department/unit have an approved Retention Schedule.- Note: The records liaison submits all RM related forms to this office (RM 152), andthe Records Manager for the university sends it to the La. Secretary of State, Records Management Officer for his/her acceptance. • - Note: You maintain the approved forms (i.e. inventory, retention, and disposal Schedules) as documentation in your office. A copy of the approved retention schedule is maintained in Rm 152, Records Management, Dupre’ Library. • 4) One RM staff development instruction will be provided each year, and “as needed.” Vivica Smith Pierre, Spring 2011

  17. REVIEW: • Let’s Review: • Appendix A: Records Management & meaning of “record” • Appendix B – Forms • Appendix C Public Records (General) and • Selections from La. Revised Statute 44

  18. “IMAGING” • Appendix D Imaging Policy • Imaging Exception Application Process • Imaging Exception Application Form MS Word: SSARC-970.doc Instructions: SSARC-970I.pdf • Imaged Records Series List Form MS Word: SSARC-972.doc • Agencies List Worksheet Form MS Word: SSARC-971.doc • Request for use of Expedited Disposal Request Process for Converted Documents Form pdf Form SSARC-930e.pdf Vivica Smith Pierre, Spring 2011

  19. ARCHIVES/SPECIAL COLLECTIONS • On-site facility for “permanent/non-active records” (contact Dr. Bruce Turner/482-5702). • Off-campus Storage (e.g. Exec U Store/Records Management Facility). • Microfilm (500 year storage media). • Records Box Storage Instructions pdf Form: Records_Storage_Instructions.pdf • Preservation issues, contact Dr. Bruce Turner, ULL Archives & Special Collections. Vivica Smith Pierre, Spring 2011

  20. VITAL RECORDS • Damage Assessment for Records • Vital Records Damage Assessment Worksheet MS Word: SSARC-980.doc   Instructionspdf Form: Instructions SSARC-980.pdf Vivica Smith Pierre, Spring 2011

  21. What’s Missing? • Contact the Records Management Librarian: Vivica Smith Pierre via 337 482-1171 or vpierr1@louisiana.edu. • Contact Assistant Dean, Archives & Special Collections,Dr. Bruce Turner via 337 482-5702, bturner@louisiana.edu. Vivica Smith Pierre, Spring 2011

  22. IMPORTANT UPDATES • Important Updates • The Louisiana Secretary of State (“SOS” Records Management Section has released its Imaging Exception Application process and related forms as of July 1, 2010.  These forms can be found in the forms list provided above.  In addition, the section is offering a new class on imaging and the imaging exception application process for interested agencies.  Information on this new class can be found on our Training Page. • The LA SOS Records Management Section has changed records retention schedule form.  The new records retention schedule form SSARC-932(NEW) went into effect on March 1, 2008.  • Records Retention Schedule Update pdf: schedule_update.pdf • Training Schedule by the LA SOS Records Manage is posted,provided in Baton Rouge, there is a fee, check their website. • At ULL, RM will provide training “as needed/as requested” & one time each year schedule to be posted in the near future. Vivica Smith Pierre, Spring 2011

  23. Have you confirmed that you and your department/unit have the following documentation: • Inventory Records • Approved Retention Schedule • Approved Disposal Schedule • Staff Development on the topic of Records Management Updates Vivica Smith Pierre, Spring 2011

  24. Is there anything you would do differently? Vivica Smith Pierre, Spring 2011

  25. conclusions Vivica Smith Pierre, Spring 2011

  26. References • Appendix E References

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