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Records Retention for NH Municipal Tax Collectors
2016 NHTCA Spring Workshop
William Dow, CRM – Records Mgr./Dep. City Clerk Keene, NH
Today’s Agenda
What are the laws in NH relative to government records? What are records and what is records management? RSA 33-A: What is retention? disposition? What is a retention schedule? Managing disposition Some bits about electronic records Storage, policies, and other considerations for managing
your records Wrap up and Q&A
The Laws
RSA 41:59: Responsibilities of Selectmen
RSA 41:58 and 48:9: The Clerk as “Manager of the Records”
RSA 33-A: Retention and Disposition
RSA 33-A: NH Municipal Records Board
RSA 33-A: Municipal Record Committee
RSA 91-A: Right-to-Know
RSA 5:37: Replevin
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Who is Responsible for the Care, Management, Retention, and Disposition of Municipal Records?
City Aldermen or Council, Town Selectmen and Gov’t Body Officer
City or Town Clerk
Municipal Records Committee
RSA 41:59 -- Selectmen: “Care and Preservation”
The selectmen shall cause all books of public record belonging to the town to be well and strongly bound, and all papers and documents to be filed and arranged in an orderly manner convenient for reference and examination, and shall provide suitable fireproof safes or other means for their care and preservation, all at the expense of the town.
The Clerk as “Manager of the Records” All records, books, papers, vouchers and documents of every kind
which shall be in the hands of any officer, committee or board of officers of the city, not their individual property, which shall not be needed for their present use, shall be properly filed and deposited in the office of the city clerk, and shall be kept and preserved there by him as public records of the city (RSA 48:9).
“All books, records, papers, vouchers, and documents…of any officer, committee, or board of officers of the town, which are not needed…in the discharge of duty, shall be deposited in the office of the town clerk, and shall be there kept and preserved as public records of the town.” (RSA 41:58)
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RSA 33-A: NH Municipal Records Board State Municipal Records Board (MRB)
1600s – 1967: Policy: Keep all Records
1967 – 1976: Defined 44 records types in statute
1977 – 2005: 105 records types in Administrative Rules of MRB
2005+: 163 records types back into statute
MRB advisory to Secretary of State
2006+: Additional records types continue to be added to RSA 33-A, including consolidation of various records and retentions from other statutes.
NH Municipal Records Board
Powers and Duties: The board shall advise the secretary of state on standards and procedures for the effective and efficient management of municipal records…(for) the retention, preservation and disposition of municipal records. The board shall oversee the local government records management improvement program.
Consists of the following or their designees: State Archivist State Records Manager Director of the NH Historical Society State Librarian Presidents of the NHTCA, NHCTCA, and the Association of NH Assessors Registrar of Vital Records Secretary of State A municipal treasurer or finance director A professional historian A representative of the Association of New Hampshire Historical Societies A representative of DRA
The Board shall meet “not less than once very two calendar years”(RSA 33-A:4-a).
CHAPTER 33-ADISPOSITION OF MUNICIPAL RECORDS
Section 33-A:3-a. Disposition and Retention Schedule. The municipal records identified below shall be retained, at a minimum, as follows:
I. Abatements: 5 years.II. Accounts receivable: until audited plus one year.III. Aerial photographs: permanentlyIV. Airport inspections – annual: 3 yearsV. Airport inspections – daily, including fuel storage and
vehicles: 6 monthsVI. Annual audit report: 10 yearsVII. Annual reports, town warrants, meeting and deliberative
session minutes in towns that have adopted official ballot voting: permanently…
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RSA 33-A:3Municipal Record Committees
The municipal officers or their designee together with the clerk, treasurer, an assessor, and tax collector of each city or town shall constitute a committee to govern the disposition of municipal records pursuant to this chapter. Unless otherwise provided by a municipal ordinance, the committee shall designate the office responsible for the retention of each type of record created for the municipality.
RSA 5:37 – Replevin
5:37. Records Not to be Damaged or Destroyed. All records made or received by or under the authority of or coming into the custody, control, or possession of public officials of this state in the course of their public duties are the property of the state and shall not be mutilated, destroyed, transferred, removed, or otherwise damaged or disposed of, in whole or in part, except as provided by law.Source. 1987, 353:1, eff. July 24, 1987
What do we mean byRecords Management?
A method or plan for:
Retention Arranging or organizing records (retention)
Making records accessible (RTK) and preserving confidentiality
Reformatting if necessary
Disposition Eliminating “unnecessary” records (retention)
Conserving or preserving records
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Value of Good Records Management
There are three basic reasons why every municipality and records official needs an effective records management program:1. To perform its legal mandates and
responsibilities. Local, state and federal laws, the judicial system,
and taxpayers all rely on us to manage public records properly
Value of Good Records Management
2. To store records in the most efficient and cost-effective manner possible. If you are storing boxes in your office that you do
not need there, your office is wasting workspace and losing money.
3. To ensure public access to the documented history of government. Proper archiving of public records provides long-
term accountability for offices, documentary history of local government, valuable research information for the public, and protects the rights and property of our citizens.
What is a Record?
“…any document, book, paper, manuscript, drawing, photograph, map, sound recording, video recording, electronic record, microform, or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.” – RSA 5:29 Exceptions: library materials, working copies,
duplicate copies, publications Tangible (or fixed) record of an action or decisions, or
processes leading to an action or decision. Conversion of dynamic information about actions or
decisions to a retrievable static state.
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Governmental Records RSA 91-A:1, III defines
governmental record as:
Any information created, accepted or obtained by a public body or a public agency
In any format, received in or out of a meeting
In furtherance of the public body, board or agency’s official function
ElectronicGovernmental Record Government records created or
maintained in electronic form shall be kept and maintained for the same retention or archival periods as their paper counterparts (RSA 91-A:4, III-a)
Electronic Governmental Record Electronic Government Records may
include, but are not limited to:Documents stored in a computer or server
E-mail and their attachments
Voice mail
PDF documents
Instant messages; and
Electronic photos (digital)
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Municipal Records
Municipal = city, town, county or precinct
Municipal records = all records for the purpose of municipal business
This includes all: reports, minutes, tax records, ledgers, journals, checks, bills, receipts, warrants, payrolls, deeds and any other written or computerized material…designated by the (Municipal Records) Board (Chapter 33 – A Definition of Terms).
Municipal Records
RSA 33-A sets some required retention periods Replaces rules of former state Municipal Records
Board Local “Municipal Records Committee” is required
Retention schedules:For counties, cities and towns: RSA 33-AFor School Districts and School Boards: RSA
189:29-a
CHAPTER 33-ADISPOSITION OF MUNICIPAL RECORDS
Section 33-A:3-a. Disposition and Retention Schedule. The municipal records identified below shall be retained, at a minimum, as follows:
I. Abatements: 5 years.II. Accounts receivable: until audited plus one year.III. Aerial photographs: permanentlyIV. Airport inspections – annual: 3 yearsV. Airport inspections – daily, including fuel storage and
vehicles: 6 monthsVI. Annual audit report: 10 yearsVII. Annual reports, town warrants, meeting and deliberative
session minutes in towns that have adopted official ballot voting: permanently…
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Records Retention & Disposition“Retention is a fairly simple concept, but
applying it to the real world isn’t so simple to do.” Brian Burford, NH State Archivist
Records Retention Policy
Establishing a records retention policy will address two critical needs: 1. It will ensure that you retain records which are
essential to your business and required by law.
2. It will ensure that outdated or unnecessary documents are destroyed in a systematic, thoughtful way so that no one can infer that the organization is acting with bad intentions.
Source: “Creating Record Retention Policies: A Practical Guide,” NH LGC, January 2009. McCue and Sullivan.
Life-Cycle of a Record
CreationCorrespondence,
Reports, Directives,Maps
Distribution and UseDepartment Decision Making
DocumentationExternal Response
MaintenanceActive File and Retrieve
DispositionArchive orDestroy
StorageInactive
File and Retrieve
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What is a Retention Schedule?
A pre-determined schedule for keeping a record from the time of its creation until its disposition. Planned steps in a schedule may include transfer from creating Agency to the [town clerk], reformatting (such as microfilming or scanning), addressing confidential records, and disposition.
Division of Archives and Records Management, Procedure Manual, 2008
What is a retention schedule?
It describes a particular set of records or type of records created by a government unit.
It displays the retention period or length of time a record must be kept.
It may list the legal cite(s) or maintain each record series or how to dispose of.
A Retention Schedule is your map for legal authorization to destroy governmental (public) records
NH Records Retention Schedule for Municipal Records: RSA 33-A Definition of Terms
Authority Granted
Municipal Committees
Disposition and Retention Schedule
Disposition Schedule
Municipal Records Board
Powers and Duties of Board
Microfilming
Electronic Records
Exception
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Can we accept the law at “surface value”? NO! (Therefore, use your Municipal Records Committee)
Abatements: 5 years City Attorney or Town Counsel: legal actions against the municipality
are permanent records (also including BTLA)
Motor vehicle permits – void, unused: until audited plus 1 year Whose audit?
Legal Considerations A single record may be subject to a variety of
laws and regulations.
Statutes of limitations also are critical in determining record retention periods.
Record retention policies must recognize the special rules that apply when a lawsuit or administrative investigation is threatened or brought against the organization.
Source: “Creating Record Retention Policies: A Practical Guide,”
NH LGC, January 2009. McCue and Sullivan.
How a Municipal Records Committee should begin creating a retention schedule (management system):
Think about:
What types of records are createdMake a list of record groups (election records, vital
records, motor vehicle registration, licenses, etc.), then list record types within each group
Who makes each type of record?
Why is each type of record created?
Determine appropriate disposal method, if records may be eliminated
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Who creates the record and why? Adopt a policy for each
type of record: Description How long it needs to be kept
(the longest of all the needs you considered)
What is the “trigger date”? What is the proper method
of disposition? Special considerations
(restrictions, reformatting) These policies are called
retention schedules
Look for Existing Rules
Research if retention schedules are already specified for each type of record:Town ordinance
State statute
State administrative rule
Federal statute
Federal administrative rule
State, Federal or professional organizations
NH Records Retention Schedule for Municipal Records: RSA 33-A
The municipal records identifiedbelow shall be retained, at a minimum, as follows:
I. Accounts receivable: until audited plus 1 year.
II. Correspondence, administrative records –min. one year
III. Correspondence, transitory– retain as needed for reference
IV. Minutes of boards and committees: permanently
V. Personnel files: retirement or termination plus 50 years
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Municipal Record Committees
Does RSA 33-A apply to all the community’s records? No. Therefore… The municipal officers or their designee together with the clerk,
treasurer, an assessor, and tax collector of each city or town shall constitute a committee to govern the disposition of municipal records pursuant to this chapter. Unless otherwise provided by a municipal ordinance, the committee shall designate the office responsible for the retention of each type of record created for the municipality (RSA 33-A:3).
Remember: Shared responsibility = Shared liability
For records on your list not covered by law or regulation, decide how long you need them
List each type of record; note how long you need it Consider: administrative, legal, fiscal and historical
requirements
Q: How often do I go back to a file that we created… One week ago? A: Very often One month ago? A: Quite often Six months ago? A; Fairly often Two years ago? A: Sometimes Three years ago? A: Seldom Five years ago? A: Never
See what other NH communities are doing and/or look at model retention schedules for those records
Who Has Responsibility for Record Retention?
The “creator” of the record has responsibility for meeting retention requirements.
For interoffice or incoming records: If correspondence is from outside the government,
recipient of the record who is responsible for handling the message is responsible for retaining the record.
If correspondence is from inside the government, the creator (or reviser) of the record (or subsequent versions) is responsible for retaining the record.
Email: If there is a string of multiple replies between two or more people to the same message, only the last reply needs to be saved, but only if all of the replies and comments are captured in the final message.
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Responsibility for Retention
Is it Government Business?
No. Okay to Delete immediately. Yes. Determine category of record
Is message from inside the government?
Is message from outside the government?
Correspondence arrives
Responsibility for Retention
If message is from inside the government?
Recipient did not change it Recipient did change it
Recipient can delete
Originator responsible for retention
Recipient is responsiblefor retention of changed record
Guidance: “Creator” of record or amended record is responsible for retention
Responsibility for Retention
If message is from outside the government
Recipient is responsible for retention, unless…
…Forwarded – unaltered – to anothergovernment employee for action.
Then, recipient taking actionis responsible for retention.
Guidance: Correspondence should be retained by the person who received the message and acted on it. If someone else is responsible for handling the action, and the correspondence is forwarded, without alteration, to that individual for action then the “new” recipient is responsible for retention of the incoming correspondence and subsequent versions.
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Disposition
Ensures that records needed for legal, fiscal, or administrative use will not be destroyed prematurely.
Determines when records may be transferred to inactive storage or to another repository for permanent storage.
Assists with making reformatting decisions
Allows records that are no longer useful to be destroyed legally.
Helps reduce the space and equipment necessary for filing records, thus saving money.
Provides information to develop a vital records protection plan.
Releases electronic storage space.
Ensures the preservation of records with historical value.
Managing Disposition: Identifying and Locating Your Records
A records inventory is the primary source of information – not just for the creation of retention schedules – but for vital records protection, indexing systems, reports and forms management, and records storage.
In conducting the inventory, you will identify records as a records series, a group or unit of related documents or information that is normally filed or kept together because they relate to a particular subject or function, result from the same activity, or document a particular transaction or activity.
Managing Disposition
Records Inventories can be time-consuming. Therefore, it is best to make active records your priority.
Use a consistent form.
Find all files in storage equipment and areas. (All formats and media).
Ask questions until it is clear what the file is, why it is kept, who uses it, and how long it should be kept.
“How” to conduct an inventory is outside of the scope of this presentation, but if you don’t know what you own, how can you determine what can be disposed?
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Disposition options:
Permanent retention on paper
Re-formatting to microfilm
Transfer of custody
Destruction
Permanent Retention
Acceptable formats:Microfilm
Paper
Considerations:Use and access
Storage
Permanent Retention
If a record is determined to be PERMANENT: You can only destroy these records if you MICROFILM the
original records.
If you digitize permanent records, they MUST be converted to microfilm before the paper is destroyed.
If permanent records are created and exist only in electronic form, they MUST be converted to microfilm or paper before the electronic storage or file format becomes obsolete.
Digital records are NOT recognized as a permanent format to preserve information.
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Permanent Retention: Microfilm
If municipal records are disposed of by microfilming, two films shall be produced.One film shall be retained by the municipality
in a fireproof container and properly labeled.
One shall be transferred to a suitable location for permanent storage (RSA 33-A:5).
Transfer of Custody“Warning, Will Robinson, Warning!”
Be careful Agreements in place on
ownership, access and retention
Related considerations:Moving challenges Renovations Duplication by
departments
What records to destroy
When to destroy records
Destruction Methods
Non-confidential (recycle)
Confidential (shred, pulp, incinerate, chemical disintegration)
Documentation
Destruction
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Unauthorized Destruction: Penalty
Any natural person who violates this section shall be guilty of a misdemeanor and any other person shall be guilty of a felony. (RSA 41:68)
A person is guilty of a misdemeanor who knowingly destroys any information with the purpose to prevent such information from being inspected or disclosed in response to a request under(RSA 91-A).
Authorized Destruction Establishes Credibility, Authenticity Why?
Acceptance by the public as authentic (trust) Admissibility in Court
How? Adopt policies and adhere to them Limit chances of alteration, deterioration, loss
Which would you rather say to the press or a citizen?: “I don’t have that record.” “I can’t find that record.” “That record had a 5-year retention period, and we disposed of it
in January, 2010.”
A few bits about electronic records…
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Electronic Records
"Electronic record'' means information that is created or retained in a digital format (RSA 5:29).
Electronic records…designated on the disposition schedule…to be retained for more than 10 years shall be transferred to paper, microfilm, or both (RSA 33-A).
Electronic records designated on the disposition schedule to be retained for less than 10 years may be retained solely electronically if so approved by the record committee of the municipality responsible for the records. The municipality is responsible for assuring the accessibility of the records for the mandated period (RSA 33-A).
What about Electronic Records?
It makes no difference whether the record is Painted on a cave wall Etched on clay tablets Chiseled in granite slabs Written on animal skins (vellum) Digital Microfilm
The medium does not matter, it’s the information that counts
Choose the appropriate medium for the retention schedule, not the other way around
Consider accessibility (both short term and long term)
Electronic File-Naming Conventions Not easy to reach consensus using manual methods Need to find – and dispose of – e-files Best Practice – At a minimum, include date, record
series, and record group or subgroup Example: 20140815_Tax Collector_Tax Receipts
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Electronic “Governmental” Records
RSA 33-A: Records with less than 10 year retention may be in electronic format, all other records must be placed on paper or microfilm But must still be “accessible” to public under RSA 91-
A:4, III-a, so may need paper/microfilm/alternative
RSA 91-A:4, III-b – when is electronic record “deleted”? After it has been initially and legally deleted (i.e., no
longer readily accessible to public body itself)
Corruption and Loss of Digital Information
Physical degradation of storage media
Obsolescence of storage media
Migration failure
Metadata
Backups, crawling and snapshots
Human factors
Format: Optical Media Life Expectancyhttp://www.archives.gov/records-mgmt/initiatives/temp-opmedia-faq.html
CD/DVD experiential life expectancy is 2 to 5 years even though published life expectancies are often cited as 10 years, 25 years, or longer…any specific medium may experience a critical failure before its life expectancy is reached…the quality of your storage environment may increase or decrease the life expectancy of the media. It is recommended to test optical media at least every two years to assure your records are still readable. Source: NARA.
Comparison: Silver-polyester based microfilm (500 years). Source: Oregon State Archives.
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Is conversion to an electronic format a solution to your paper piles?
Technology will become obsolete quite rapidly
Who will provide the money and time to convert to new format?
Will you keep old technology so that you can “read” the records?
Is emulation (translator software) a solution?
Will you be able to “certify”that the migrated or emulated record is a “true copy”?
Misc. Records Management Matters
Storage, Labeling, Preservation Environment,
Policies
Some typical issues (which communities may experience)
No process for transfer of custody (especially problematic when someone leaves the organization)
Improper labeling and boxing of records for storage
Not knowing what you have and/or where it is (tracking)
No process to authorize records destruction
Need to recognize that there is a cost associated with storage and disposition – and plan for it!
Keeping records in storage beyond their retention period is a waste of money and resources.
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Establish a Transfer of Custody Process
Develop a process for custodial acceptance of records and transfer form. Required under RSA 33-A:3-a, CXV
Work with Municipal Records Board and staff for buy-in
Transfer form must identify: department of origin, responsible staff, record series, subgroup and retention period/date.
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Foldering issues For long-term
storage, remove paper clips, rubber bands
No Scotch tape
No vinyl binders
Use archival folders
How do you store the records?
Records longevity depends upon their inherent composition and on controlling: Format
Environment
Storage Furnishings
Storage Containers
Security
Disaster Planning and Recovery
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Storage shelving
Metal shelving:42” w x 16” or 32” d
18 gauge or lower Height: 5 – 10 feet, with 3
– 4 inches off the floor and 1 ½ feet between the cartons on the top shelves and sprinklers
Consider floor weight-load capacity
Records storage: use proper boxes
Records storage: use proper boxes
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Records box Standard size archive box, 9.75”H x 12”W x 15”D
Double-sided Purchased under state contract $2.00
Staples Economy Storage Boxes Catalogue price 10”H x 12”W x 15”D $1.50
Banker’s Box (Staples), letter size, string and button closure 10”H x 12”W x 24”D $11.00
Label Boxes
Date & Description of Documentation:
11/02/04 CAST BALLOTS (FEDERAL ELECTION) Department: CITY CLERK __________________________ Retention Period: 22 MONTHS
Date to be Destroyed: SEPTEMBER 2, 2006
Disposition Authority (RSA, Mur., etc.):RSA 33-A:3-a XXXVI
Describe contents
Identify owner of record
Include retention period and citation
Indicate disposition date Not just “year”
Label Your Records Box
Department:City Clerk
Description:Removed Voter Registration Forms
Date:September 1, 2003
Disposal Date:September 1, 2010
Retention Cite:RSA 33-A:3-a. CXLI. 7 years
Disposal Method:Shred
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Records storage: dispose of the records when it is time to do so Send notice when cartons are
awaiting approval for destruction
Departments do not “give up” responsibility for their records when the records are moved off site
Who is responsible for oversight and cost of disposal?
Space is needed for incoming inactive records
The option to return records scheduled for disposal to office of origin (if you “really need” them!)
Data Destruction Service Contract
Types of destruction services: On-Site: Locked containers, mobile shredders
Off-site: transferred to facility
Data destruction contractor must: Provide bonded employees Have insurance for financial loss Issue certified certificate of destruction
Maintain a Destruction Log
Destruction Log
City of Keene, NHDepartment: Revenue Collection
Record Series(What Destroyed)
End Date(When)
Who(Who Destroyed)
Authority Cite(Schedule and retention)
Tax receipts 12/31/2015 Jane Doe RSA 33-A:3-a6 years
1/01/2016
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Security
Physical security
Handling and use
Reformatting and/or duplication
Storage: Handling and Use Limit access Check-in, check-out records Require that patrons wash their hands or provide cotton
gloves (for some records, e.g., photos) Provide note paper for patrons’ use Keep papers in original order. Limit amount of records
used at one time Support books as necessary to minimize flexing Control copying
Handling and Use Monitor patrons No bags or personal
belongings in research room Books and paper can become
brittle and fragile with age Ink poses a serious risk – use
a pencil for taking noteshttp://www.youtube.com/watch?v=CwOrp6Q7kCE
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Environment:Storage Conditions Fire resistant structures Areas where temperature
and humidity are maintained
Areas that are appropriately lit
Areas with good ventilation and protection from insects and mold
Areas away from steam, water, and drain pipes
Areas free from windows Areas with clear aisle
space Areas with flooring above
grade
Environment: High temperatures increase the rate of chemical reactions, including deterioration.
As a general rule, the temperature in records storage areas should be maintained at 60 - 70 degrees F.
Maintain a stable temperature (+/- 5 degrees F).
Ideal temperatures for books & paper (60 degrees), photographic materials (50 degrees),and magnetic media (65 degrees).
Environment: Relative Humidity
High relative humidity (+60% RH) encourages mold growth, insects, and the warping of documents on paper.
Low RH, (-30%), causes desiccation and embrittlement. The optimum RH for books & paper (40 – 55%), photographic
materials (35%), and magnetic media (30%). Aim for an RH between 40% and 50%. Maintain a stable RH (+/- 5%).
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Environment:Temp & RH Dataloggers
Measure temperature, relative humidity and light intensity.
Use selectable sampling interval between 0.5 seconds to nine hours.
HOBO incorporates digital technology, making it smaller, less expensive, more accurate and more reliable than other recorders. Data is stored in digital format allowing for more convenient analysis, presentation and storage. ($110 - $180 plus $99 software.)
Summary
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Key Points
Records are created for the information they contain, documenting actions or decisions.
Be aware that there may be many rules dictating how you keep and make your records accessible.
Key points
Good records management is: The methodical arrangement and description of
records for efficient and economical access;
The elimination of records which no longer have administrative, legal, fiscal or historical value;
Proper conservation or preservation of records of lasting significance
In conclusion…
Public records are the foundation, the memory, and the protector of democracy in government
The preservation of valuable government records that protect the legal rights and heritage of our citizens is an important function of government
However, nonessential paperwork uses valuable storage space and adds financial burdens on our citizens
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Questions?
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