Managing Public Records: Master Clerks Academy II Presented by: - PDF document

11/18/2019 Managing Public Records: Master Clerks Academy II Presented by: Courtney Bailey Records Analysis Unit Government Records Section State Archives of North Carolina 1 Objectives • Review public records laws in North Carolina • Discuss records management and retention schedules LAW RM 2 1

11/18/2019 NC General Statute 132 § 132-1. "Public records" defined. Public records = 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. LAW RM 3 Public Records Requests § 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 unless otherwise specifically provided by law. As used herein, "minimal cost" shall mean the actual cost of reproducing the public record or public information. LAW RM 4 2

11/18/2019 Public Records Request: Inspection § 132-6(a) Every custodian of public records shall permit any record in the custodian's custody to be inspected and examined at reasonable times and at reasonable times under reasonable supervision by any person, and shall, as promptly as possible, furnish copies thereof upon payment of any fees as may be prescribed by law. As used herein, "custodian" does not mean an agency that holds the public records as promptly as possible of other agencies solely for purposes of storage or safekeeping or solely to provide data processing. § 132-6(b) No person requesting to inspect and examine public records, or to obtain copies thereof, shall be required to disclose the purpose or motive for the purpose or motive for the request not required request. § 132-6(c) No request to inspect, examine, or obtain copies of public records shall be denied on the grounds that confidential information is commingled with the requested nonconfidential information. If it is necessary to separate agency bears cost of separating confidential from nonconfidential information in order to permit the inspection, examination, or copying of the public records, the public agency shall bear the confidential from nonconfidential cost of such separation. § 132-6.2(e): Nothing in this section shall be construed to require a public agency to respond to a request for a copy of a public record by creating or agency not required to compiling a record that does not exist. create/compile record LAW RM 5 Confidential Public Records PUBLIC CONFIDENTIAL PUBLIC CONFIDENTIAL LAW RM 6 3

11/18/2019 Confidential Records • Personal identifying information • Personnel records • Blueprints for public buildings G.S. 132-11: Notwithstanding any other provision of law, all restrictions on access to public records shall expire 100 years after the creation of the record. LAW RM 7 Public Records Destruction Regulation 07 NCAC 04M .0510 METHODS OF DESTRUCTION LAW RM 8 4

11/18/2019 Public Records Destruction Regulation 07 NCAC 04M .0510 Electronic Records data and metadata are overwritten, deleted, and unlinked so the data and metadata may not be practicably reconstructed LAW RM 9 Public Records Destruction Regulation 07 NCAC 04M .0510 Confidential Records the data, metadata, and physical media are destroyed in such a manner that the information cannot be read or reconstructed under any means LAW RM 10 5

11/18/2019 Destructions Log LAW RM 11 Business Drivers for Records Management Continuity Compliance Efficiency Effectiveness LAW RM 12 6

11/18/2019 http://archives. ncdcr.gov/ government/ retention‐ schedules/ local‐government‐ schedules http://archives.ncdcr.gov LAW RM 13 LAW RM 14 7

11/18/2019 2019 General Records Schedule LAW RM 15 Search LAW RM 16 8

11/18/2019 Audits, Litigation Holds, and Public Records Requests Remember: If there’s a lawsuit (or even a possible lawsuit) or an ongoing audit or public records request, you may be required to retain records, including the metadata associated with electronic records, EVEN IF THEY COULD BE DESTROYED LEGALLY UNDER THE RETENTION RULES LAW RM 17 What trumps DI? LAW RM 18 9

11/18/2019 Reference Value Establish and enforce internal policies setting minimum retention periods for records with the disposition instruction “destroy in office when reference value ends.” Without the establishment of these policies, the office is not authorized by the Department of Natural and Cultural Resources to destroy these records. LAW RM 19 Transitory Records • Reference copies • Routing slips and transmittal sheets • Tickler, follow up, or suspense copies of correspondence, provided they are extra copies of the originals • Duplicate copies • Catalogs, trade journals, and other publications that are received from other Government agencies, commercial firms, or private institutions LAW RM 20 10

11/18/2019 Historical Value LAW RM 21 Historical Value Defined Historical records document significant events, actions, decisions, conditions, relationships, and similar developments. These records have administrative, legal, fiscal, or evidential importance for the government or its citizens. Two criteria for determining historical value are inherent interest and extraordinary documentation: • Inherent interest • Extraordinary documentation SANC has further elaborated selection criteria that help distinguish records with historical value: Do they protect the rights and property of citizens? • Do they have a long-term impact on citizens? • Do they document the core functions of an agency? • Do they document high-level decision-making that shapes an • agency’s policies or initiatives? Do they summarize an agency’s activities? • LAW RM 22 11

11/18/2019 Activity INSTRUCTIONS: You will receive a slip of paper with a type of record listed on it and pages from a retention schedule. Locate what record series this type of record would fall under. When everyone has had an opportunity to look at their schedule, you will be asked to read off the title of the standard, the records series, and the disposition instructions for your type of record. LAW RM 23 E-mail to boss requesting leave LAW RM 24 12

11/18/2019 Tweet from a resident requesting pot hole repair LAW RM 25 Blog about a new agency program LAW RM 26 13

11/18/2019 Board meeting agenda posted to town website LAW RM 27 Text message requesting light bulb replacement LAW RM 28 14

11/18/2019 Content, not format LAW RM 29 Schedule Updates Planned for January 2020 • Agricultural Extensions • County Management • Local Education Agencies • Municipalities • Regional Councils of Government • Tourism Development Authorities LAW RM 30 15

11/18/2019 Local Program Records Schedule LAW RM 31 Local General Schedule 2020 Amendments • Increase retention period to 5 years per DES administrative code – Longevity Pay – Payroll and Earnings Records – Shift Premium Pay – Tax Forms – Time Sheets, Cards, and Attendance Records – Travel Reimbursements – Unemployment Compensation Claims – Unemployment Compensation Reports LAW RM 32 16

11/18/2019 Local General Schedule 2020 Amendments • Clarified non-building permits include free business permits • Increased retention on Bond Closing Records to be 6 years after final maturity • Added possibility to destroy withdrawn annexation petitions • Put employee reasonable accommodations in Civil Rights Case Records (and delete separate Reasonable Accommodations item) • Deleted Certification and Qualification Records (already covered by Training and Education Records and Conferences and Workshops) LAW RM 33 Future Schedule Updates •2021 – County Social Service Agencies, County Veterans Services, Law Enforcement Agencies, Public Libraries, Public Transportation Systems and Authorities •2022 – Alcoholic Beverage Control Boards, County Boards of Elections, County Tax Administrations, Local Management Entities, DMH/DD/SAS Local Management Entities (LME), DMH/DD/SAS Provider Agencies •2023 – County Registers of Deeds, Land Use and Environmental Services Agencies, Public Hospitals, Water and Sewer Authorities and Sanitary Districts https://ncrecords.wordpress.com/2019/01/14/ new‐retention‐schedule‐model‐for‐north‐carolina‐local‐governments/ LAW RM 34 17

11/18/2019 Request for Change in Records Schedule LAW RM 35 Request for Disposal of Unscheduled Records LAW RM 36 18

11/18/2019 LAW RM 37 Be careful what you share LAW RM 38 19

11/18/2019 Don’t keep everything 1. Space 2. Findability 3. Confidential/sensitive information 4. Legal risk LAW RM 39 Separate professional and personal documents PROFESSIONAL PERSONAL Annual report Grocery list Staff memoranda Text to spouse Professional Personal Budget submission Paycheck withholding Professional Personal LAW RM 40 20

11/18/2019 Stop seeing double LAW RM 41 Identify record owner LAW RM 42 21