State Library and Archives of Florida

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Session 2

• The Life Cycle of Records

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The Life Cycle of Records
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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

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Records Inventory

• Locate and evaluate records
• Identify records eligible for disposition
• Evaluate storage needs
• Identify vital and electronic records

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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

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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

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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.

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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 agencys individual
  schedules

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Retention Requirements

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

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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

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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

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• GS1-SL
• General Schedule for State and Local Government
  Agencies

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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

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GS1-SL

• Revisions to Record SeriesTitles and Item Numbers

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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)

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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

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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

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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)

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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)

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• GS1-SL
• Record Series
• Description Revisions

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Description Revisions

• 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 agencys 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 publicationsare not
  included in this series.

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Description Revisions

• 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
  valueTransitory 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.

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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

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• Retention Revisions

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Retention Length speficied

• Anniversary
• Calendar
• Fiscal
• Triggering events
• OSA (Obsolete, Superseded, or Administrative
  Value is lost)
• Permanent

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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

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Archival Records

• What makes a record archival?
• Informational value
• Evidential value
• Historical value
• Intrinsic value

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Retention Length Changes
Record Series Retention Length
Fee/Service Schedules(Item 271) 3 fiscal years
Injury Records (Item 188) 5 calendar years
Inspection Reports Fire Extinguisher (Item 219) 1 anniversary year or life of equipment, whichever is sooner
Permits Confined Space Entry (Item 284) 1 anniversary year after cancellation of permit
Personnel Records (duplicate copies) (Item 19 and 162) OSA
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• GS1-SL
• New Record Series/
• Schedule Items

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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

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New record Series

• Grant Files Unfunded Applications (Item
  349)grant applicants 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

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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

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• GS1-SL
• Combines Similar
• Record Series

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Combined Record Series

• Combined as two series

Equipment Maintenance/Usage Records (GS1-L-104)
Vehicle Maintenance/Usage Records (GS1-L-53)
Equipment Usage Records (GS1-S-104)
Vehicle Logs (GS1-S-224)
Maintenance Records Equipment (GS1-S-21)
Maintenance Records Vehicles (GS1-S-53)
Equipment/Vehicle Maintenance Records (Item
104) Equipment/Vehicle Usage Records (Item
224)
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Combined Records Series

• 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

Federal andState Income/EmploymentTax
Forms/Reports(Item 157)
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Combined Record Series
Final Orders Records(GS1-L-67)
Final Orders(GS1-S-74)
Final Orders Index(GS1-S-75)
Final Orders List(GS1-S-67)
Final Orders Supporting Documents (GS1-S-76)

• Combined series

Final OrdersRecords (Item 67)
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Combined Record Series
Attendance Records Leave(GS1-L-116)
Attendance Records Leave Index(GS1-L-18)
Attendance and Leave Records(GS1-S-116)
Leave Transaction Reports (GS1-S-18)

• Combined series

Attendance and LeaveRecords (Item 116)
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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 agencys receipts and disbursements

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Combined Record SeriesFinancial 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 disbursementsand 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.

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Combined Record Series Disbursements
Accounts Payable Records Accounts Payable Supporting Documents
Checks Cancelled Checks Stubs
Withdrawal slips Expenditure reports (detail)
General Ledgers Supporting Documents Invoices (disbursements)
Journal transactions (disbursement) Journals Voucher / Vouchers Journal (disbursement)
Receiving reports Refund requests (refund records) (disbursements)
Vouchers Individual Agency Warrants
DISBURSEMENT RECORDS DETAIL(Item 340)
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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.

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Combined Record Series Receipt/Revenue
Accounts Receivable Records Accounts Receivable Supporting Documents
Bad check records Balance sheets
Cash collection records Cash register tapes
Deposit/Transfer slips General Ledgers Supporting Documents
Invoices (receipt) Journal transactions (receipt)
Journals Voucher / Vouchers Journal (disbursement) Journal (receipt)
Receipt Books Cash Refund requests (refund records) (receipt)
RECEIPT/ REVENUE RECORDS DETAIL(Item 365)
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Removed Record Series

• Public library records are covered by GS15,
  General Schedule for Public Libraries.

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• New GS1-SL
• Guides

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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

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Index and Cross References
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Microsoft Excel Spreadsheet

• Microsoft Excel spreadsheet available online
• http//dlis.dos.state.fl.us/recordsmgmt/GS1compar
  ison.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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The GS1-SL can be downloaded from our Web
sitehttp//dlis.dos.state.fl.us/RecordsManagers/
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Individual Retention Schedules

• The State Library and Archives, with
  information submitted on Form LS5E-105REff.1-01,
  Records Retention Schedule and its own research
  into the legal fiscal, historical and
  administrative value of the record series, shall
  create an official Records Retention Schedule.
  Once approved by the State Library and
  Archives, the Records Retention Schedule becomes
  the official retention for the record series of
  the submitting agency.
• Rule 1B-24.003(7), F.A.C.

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Individual Retention Schedules
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Individual Retention Schedules

• Step 1 Fill out a Retention Schedule Request
  Form
• Form is available on our Web site at
  http//dlis.dos.state.fl.us/recordsmgmt/publicatio
  ns.cfm
• Complete one form for each record series
• Schedule numbers sequential and assigned by the
  State Library and Archives

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Individual Retention Schedules

• Step 2 Submit to the State Library and Archives
• Records Analysts and Archivists review for legal,
  fiscal, administrative, and archival value
• Records Analysts may contact agency for
  clarification
• Records Analysts will notify agency of approval
  or disapproval of schedule

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Individual Retention Schedules

• Step 3 Approval/Disapproval
• Agency RMLO will receive form and signed
  approval/disapproval page
• Approval page will have final approved version of
  the schedule and retention
• Once approved, can only be used by submitting
  agency
• Agency should retain schedule permanently
  (GS1-SL, Item 45)

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Disposition
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Records Disposition

• A public record may be destroyed or otherwise
  disposed of only in accordance with retention
  schedules established by the State Library and
  Archives of Florida.

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Disposition

• Why dispose of records?
• Cost avoidance
• Free up office space
• Prevent unnecessary office purchases
• Reduce research time
• Allow room for new records
• Preservation of historical records

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Disposition

• Documentation is required by Rule
  1B-24.003(10), F.A.C.
• Required information
• Schedule
• Item number
• Record series title
• Inclusive dates
• Cubic feet

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Untimely Disposals

• Common Reasons
• Natural disasters
• Poor storage
• Human error
• Manmade disasters

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Untimely Disposals

• What to do?
• Notify the Records Custodial immediately
• Document the disposition
• Take photographs if possible
• Write an explanation
• Retain the information permanently

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Exercise

1. Determine record series
2. Find retention for record copy
3. Determine disposition date

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• Charlie Crist, Governor
• Kurt S. Browning, Secretary of State
• Florida Department of State
• State Library and Archives of Florida
• This publication has been funded under the
  provisions of the Library Services and Technology
  Act, from the Institute of Museum and Library
  Services, administered by the Florida Department
  of State, State Library and Archives of Florida.