ARMA Charlotte - Piedmont Educational Seminar 2007

1. ARMA Charlotte - Piedmont Educational Seminar 2007 Managing Public Records Law and Practice In North Carolina Government Records Branch Division of Historical Resources Department of Cultural Resources

2. North Carolina Dept. of Cultural Resources (DCR) - Government Records Branch The primary mission of the Government Records Branch is to provide and administer records management services to state and local government agencies and state supported institutions of higher education in accordance with North Carolina General Statutes Chapters 121 and 132.

3. Government Records Branch Archives and History Act Chapter 121 G.S. § 121-4 – Powers and duties of DCR G.S. § 121-5(a) – State Archival Agency Designated G.S. § 121-5(b) – Destruction of “Public Records” Regulated G.S. § 121-5(c) – Assistance to Public Officials G.S. § 121-5(d) – Preservation of Permanently Valuable Records

4. Government Records Branch Public Records Chapter 132 G.S. § 132-3 – Destruction of Public Records Regulated G.S. § 132-8 – Assistance by and to DCR G.S. § 132-8.1 – RM Program Administered by DCR G.S. § 132-8.2 – Selection and Preservation of Essential Records

5. Government Records Branch Services Offered to Public Agencies Records Management Consultations (phone, email, on-site) Records Management Workshops and Presentations Publish Records Retention and Disposition Schedules Document Microfilming Services Publish Guidelines for Managing Public Records Operate State Records Center (Raleigh)

6. Public Records Law What is a public record? G.S. § 132-3 “Public Records” defined. “Public record” or “public records” shall mean all documents, paper, letter, 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. Storage media does not determine whether or not information (data) is a public record.

7. Public Record Law Who has a right to access public records? • G.S. § 132-6(a) • Can the records custodian ask you why you want to see the records? • G.S. § 132-6(b) • What if the records contain confidential information? • G.S. § 132-6(c) • What about historical or fragile records? • G.S. § 132-6(f) • Must copies of computer records also be made available? • G.S. § 132-6.1

8. Public Record Law In what format must I provide copies? • G.S. § 132-6.2(a) • Can I charge a fee to make copies? • G.S. § 132-6.2(b) • What if I don’t create or compile the records requested? • G.S. § 132-6.2(e) • How should public records be kept (stored)? • G.S. § 132-7 • What action can a person take if I deny copies? • G.S. § 132-9

9. Public Record Law • How do I dispose of records I no longer need? • G.S. § 132-3(a) and G.S. § 121-5(b) • What about confidential records? • Trade Secrets: G.S. § 132-1.2 • Legal Council Communications: G.S. § 132-1.1(a) • Public Enterprise Billing Information: G.S. § 132-1.1(c) • Physician-Patient Privilege: G.S. § 8-53.3 and G.S. § 8-53.4 • Banking Commission: G.S. § 53-99, § 53-125, § 53-42, § 150B-39, and G.S. § 53-243.16 • Saving and Loan Commission: G.S. § 54B-63 and G.S. § 54B-262

10. Public Record Law • …confidential records continued. • North Carolina Savings Institutions Commission: G.S. § 54C-60 • Credit Unions: G.S. § 54-109.105 • Certain Law Enforcement Records: G.S. § 132-1.4 • General Assembly Records: G.S. § 120-130, 131 and 132 • Industrial Commission: G.S. § 97-25 • Saving and Loan Commission: G.S. § 54B-63 and G.S. § 54B-262 • State Building Commission: G.S. § 143-135.26 and G.S. § 143-129

11. Public Record Law • …confidential records continued. • Hospital Patient Medical Records: G.S. § 131E-97 • Prescriptions: G.S. § 90-85.36(a) • State (Individual) Tax Returns: G.S. § 105-259 • Division of Motor Vehicle (DMV): G.S. § 20-43.1 • Utilities Commission Records: G.S. § 62-324 • Student Records: G.S. § 115C-402 • Voter Registration Records: G.S. § 163-82.4 • Public Security Information: G.S. § 132-1.7 • 911 Emergency Database: G.S. § 132-1.5

12. Public Record Law • …confidential records continued. • Government Employee Personnel Records: G.S. § 160A-168 • The following information is open to inspection: • Name, age, date hired, current salary, date of most recent increase or decrease in salary, date of most recent promotion, demotion, transfer, suspension, separation or change in classification, and office currently assigned. • “Laws Relating to Confidential Records Held by North Carolina Government” • http://www.ah.dcr.state.nc.us/records/guides/confidential_public_rec_statutes_2006.pdf

13. Managing Public Records • What is a “Records Retention and Disposition Schedule”? • It serves as the inventory and schedule the Department of Cultural Resources is directed by G.S. § 121-5(b) and G.S. § 132-8 to provide local government agencies. • Do I need to have my schedule approved before I use it? • Yes, by the Department of Cultural Resources and in most cases by your governing board • Should I have all the records listed in my schedule? • No, the schedule is a list of record you could have. • What if I can’t find my records in the schedule? • Contact the Records Analyst assigned to your county.

14. Managing Public Records • What do I do with my permanent records? • Records scheduled as permanent in a retention schedule should be retained “forever”. They should be stored in a hardcopy (paper) format and/or transferred to microfilm. • May I scan and destroy my hardcopy (paper) records? • In most cases yes, original records can be purged once they have been scanned provided you have received authorization from my agency to destroy the records. • To assist local government with the planning and implementation of document imaging systems DCR has published “Digital Imaging System Guidelines”.

15. Managing Public Records • Will my scanned (digital) images be admissible in court? • Three things to consider: (1) records produced during normal course of business, (2) methods in place to ensure or enhance accuracy, (3) timeliness of the records. • To assist local government with the issues of legal admissibility and trustworthiness of electronic public records DCR has published, "North Carolina Guidelines for Managing Public Records Produced byInformation Technology Systems". • You may wish to consult your agency attorney, but some NC Statues to consider include: G.S. 8C Article 10 Rules 1001 to 1005 (North Carolina Evidence Code), G.S. 8-45.1(a) UPA Act, G.S. 153A-436 Photographic Reproductions of County Records, G.S. 66-322 Uniform Electronic Transaction Act

16. Managing Public Records • How do I destroy my records? • Follow guidelines found in N.C. Administrative Code, Title 7, Chapter 4, Subchapter M, Section .0510 • Do I have to destroy my records, computer storage is cheap? • No, state law doesn’t not require (with few exceptions) public records to be destroyed when their required retention period has been reached. However, the best practice is to destroy these records, regardless of format, unless they are still needed for administrative or legal reasons. • Can I give my records to a third party? • Before doing so contact the records analyst assigned to your county. Permanent records must be retained by either your office or the State Archives.

17. Managing Public Records • When can I delete my email? • “Email as a Public Record in North Carolina: Guidelines for its Retention and Disposition”

18. Helpful Links Government Records Branch Homepage: http://www.ah.dcr.state.nc.us/records/default.htm Guidelines for managing public records: http://www.ah.dcr.state.nc.us/records/guidelines.htm Local Records Unit (Government Records Branch): http://www.ah.dcr.state.nc.us/records/local.htm Electronic Commerce Division (Office of Secretary of State): http://www.secretary.state.nc.us/ecomm/ North Carolina General States: http://www.ncga.state.nc.us/gascripts/Statutes/StatutesTOC.pl North Carolina Administrative Code: http://reports.oah.state.nc.us/ncac.asp

19. Government Records Branch Contacts Asheville Office Jeff Futch (828) 274-6789 or jeff.futch@ncmai.net Raleigh Office Becky McGee-Lankford (919) 807-7365 or becky.mcgee-lankford@ncmail.net Laura Hensey (919) 807-7357 or laura.hensey@ncmail.net Doug Brown (919) 807-7364 or doug.brown@ncmail.net