Local Government Records Just the Basics

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Local Government RecordsJust the Basics

• An introduction to records management,
  disposition and preservation for political
  subdivisions in Ohio.
• Pari J. Swift
• Local Government Records Archivist
• Ohio Historical Society

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Ohio Historical Society

• Workshop Goals
• Introduction into Records Retention
• Ensure that Ohio Laws are followed
• Save your office time
• Save your office storage space
• Save your office money

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Local Government Records

• Overview of the Ohio Historical Society and the
  Local Government Records Program
• Pertinent Definitions
• Records Commissions
• Records Retention Forms
• Storage Media Decisions

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Ohio Historical Society

• ORC 149.31
• The Ohio Historical Society, in addition to its
  other functions, shall function as the state
  archives administration for the state and its
  political subdivisions
• Acts as archival repository for state and local
  records of enduring historical value

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Ohio Historical Society

• OHS provides advice and assistance to state
  government and to 5200 local government entities.
• Counties
• Cities Villages
• Townships
• School Districts
• Special Taxing Districts Libraries

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Ohio Records Laws

• Provide the basis for a records program
• defines what a record is
• defines a public office
• defines local records commissions

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Ohio Records Law

• 149.011 (A)- (What is a Public Office)
• Public office includes any state agency, public
  institution, political subdivision, or any other
  organized body, office, agency, institution, or
  entity established by the laws or this state for
  the exercise of any function of government

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Public Records Law

• 149.011 (A)- (What is a Public Office)
• Performs a public service
• Supported by public funds
• An entity need not be operated by the state or a
  political subdivision to constitute a public
  office.

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Ohio Records Law

• 149.011 ORC (What is a record?)
• Records includes any document, device, or item,
  regardless of physical form or characteristic,
  created or received by or coming under the
  jurisdiction of any public office of the state or
  its political subdivisions, which serves to
  document the organization, functions, policies,
  decisions, procedures, operations, or other
  activities of the office.

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Ohio Records Law

• 149.011 ORC (What is a record)
• Stored on a fixed medium
• paper, computer, film, audio/video, etc.
• Created, received or sent under jurisdiction of a
  public office
• Serve to document the organization, functions,
  policies, decisions, procedures, operations, and
  other activities of the office.

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Ohio Records Law

• 149.351 ORC
• All records are the property of the public
  office concerned and shall not be removed,
  destroyed, mutilated, transferred, or otherwise
  damaged or disposed of, in whole or in part,
  except as provided by law or under the rules
  adopted by the records commission

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Records Commissions

• The ORC establishes Records Commissions for
  Counties (149.38), Municipalities (149.39),
  Townships (149.42) and School Districts (149.41),
  but not libraries and special districts.
• However, since Soil Water Districts fall under
  the definition of public office and therefore
  have responsibilities under the public records
  laws, it is important that they develop records
  commissions.
• Perhaps a smaller group created from Board
  members
• Typically includes someone familiar with fiscal
  matters

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Functions of Records Commissions

• Provide rules for retention and disposal of
  records
• Review retention schedules and disposal requests
• Provide that proper procedures are followed for
  scheduling and disposing of records
• Revise retention schedules as needed

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Record Commissions Meetings

• Meetings must be open to the public
• Public must be given notice that the meeting is
  going to occur
• Keep detailed minutes

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Retention Schedules

• Retention schedule- list of records an office
  creates with a corresponding retention period
  stating how long the record should be retained
• Record Series-file units or documents arranged in
  accordance with a filing system or maintained as
  a unit because they result from the same
  accumulation or filing process, the same
  function, or the same activity have a particular
  form

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Determining Retention Periods

• Administrative Value
• used by office or agency to carry out its duties
• based on how often or for how long a record is
  used
• would the program be in jeopardy upon the
  disposal of the record?
• Consult Office of Origin

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Determining Retention Periods

• Fiscal Value
• pertains to the receipt, transfer, payment,
  adjustment, or encumbrances of funds
• required for an audit
• Contact Auditor

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Determining Retention Periods

• Legal Value
• documents or protects rights or obligations of
  citizens or of the agency that created it
• retain until legal rights and obligations expire
• Contact Legal Counsel

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Determining Retention Periods

• Historical Value
• documents an agencys organization, policies,
  decisions, procedures, operations, and other
  activities
• contains significant information about people,
  places, or events
• secondary value source of information for
  persons other than the creator
• Example Property deeds
• Contact OHS LGRP

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Determining Retention Periods

• Retention Periods are determined and expressed in
  3 ways.
• Time (retain 3 years retain permanently)
• Event or Action (retain until audit report is
  released)
• Time and Event or Action (retain 3 years after
  case closed)
• Retention periods may be subdivided
• retain in office 3 years, then retain storage 6
  more years, then destroy

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Determining Retention Periods

• Determine these values and retain for the
  appropriate time period
• These values are not static.
• Ex. Legal value in particular can change as laws
  change
• Set retention period to the longest value
• Sample Records Retention Schedules
• These are recommended retention periods, not
  mandated ones
• Base retention schedule on the record series that
  your District creates

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Retention Schedule (RC-2 form)

• Fill out information at the top of the form
• Complete columns
• schedule number
• record title and description (NO DATES!)
• retention period
• media type
• Submit to your records commission
• form must be signed and dated by records
  commission in an open meeting

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RC-2 Helpful Hints

• Sign Forms
• Responsible Official
• Records Commission Chairman
• Email should be scheduled according to content
• Do Not include Dates
• Include address and contact information on top of
  form

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Retention Schedule RC-2

• Form is forwarded to OHS, from OHS to Auditor of
  States Office (60 days each)
• Copy of form returned to you (original on file at
  OHS)
• Retention schedules can be revised at any time
• must go through same process and resubmit form

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Using a Retention Schedule RC-2

• Provides for ongoing disposal
• Prevents build up of unnecessary records
• Can be a legal asset
• proves that public records were destroyed in
  accordance with public records laws

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One Time Disposal RC-1

• Used to dispose of obsolete records
• Those no longer created or used
• Same format and information as RC-2
• except include dates for these records
• Must be submitted to Records Commission, OHS and
  Auditor of State
• same process as RC-2

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Disposing of Records

• After you have submitted and received back copies
  of the RC-1 and/or RC-2, you should determine
  exactly what records you can now dispose of
• These records should be listed on an RC-3,
  Certificate of Records Disposal
• OHS final opportunity to choose records of
  enduring historical value
• provides an administrative/legal record of
  exactly which records were disposed, when they
  were disposed, and that they were disposed
  according to retention schedules

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Certificate RC-3

• Complete the top of the form
• List records to be disposed of
• title (from retention schedule)
• schedule number (from retention schedule)
• RC approval date (from retention schedule)
• media type (from retention schedule)
• other media
• dates
• date of disposal (15 business days in advance)
• Have form signed by the responsible official

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Certificate RC-3

• Submit original form to OHS, keep copy in your
  files, send copy to records commission
• If there are records OHS wants to select for
  archival storage, we will contact you prior to
  the proposed date of disposal (network)
• If there are not records OHS wants to select, you
  will not be contacted or receive a copy of the
  form back
• You may send a self-addressed stamped postcard
  which we will date stamp and send back for
  verification that we received your forms
• OHS forwards the form to the Auditor of States
  Office

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RC-3 Helpful Hints

• Signed by Responsible Official
• Contact phone number
• Records Committee Approval date is that listed on
  RC-1 or RC-2 containing those records. Not the
  date the RC-3 was approved.
• If the records are being transferred to another
  media, list that in appropriate column
• Mail AT LEAST 15 working days prior to scheduled
  destruction

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Media Decisions

• Three media types you can use to store records
• Paper
• Microfilm/fiche
• Electronic
• Each media type has characteristics that make it
  more or less appropriate for certain kinds of
  records

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Format Characteristics
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Format Characteristics
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Media Decisions-paper

• Is enough storage space available and affordable?
• Requires no equipment to view records
• Only one user per record at any given time

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Media Decisions -- microfilm

• 9.01 ORC
• Microfilm must be certified as to its
  authenticity and completeness
• Must comply with ANSI standards for permanent
  photographic records
• duplicates must be stored in separate buildings
• Must have a microfilm reader so that records on
  film can be made accessible for inspection per a
  public records request

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Media Decisions -- microfilm

• Must have the ability to reproduce paper copies
  per a request for copies of public records
• Properly certified microfilm is acceptable under
  the code of evidence in court proceedings

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Media Decisions -- electronic

• Hardware and software dependency
• Non-proprietary formats
• .txt files, .tiff files
• Migrate periodically-Check for loss of
  information
• Set retention periods according to content of
  records, not the type of media it is retained on

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Electronic Records

• Ohio Electronic Records Committee (ERC)
• Guidelines for Managing Electronic Mail
• Revised Digital Imaging Guidelines
• Trustworthy Information Systems Handbook
• Guidelines for Managing Web Content
• Databases as Public Records Guidelines
• http//www.ohiojunction.net/erc

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LGRP Contact Information

• Pari J. Swift
• LGRP Archivist
• [phone]
• [phone] (fax)
• pswift_at_ohiohistory.org
• www.ohiohistory.org/resource/lgr
• www.ohiojunction.net/erc