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11/18/2019
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Managing Public Records:Master Clerks Academy II
Presented by:Courtney Bailey
Records Analysis UnitGovernment Records Section
State Archives of North Carolina
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Objectives
• Review public records laws in North Carolina
• Discuss records management and retention schedules
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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.
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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.
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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 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 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 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 confidential from nonconfidential information in order to permit the inspection, examination, or copying of the public records, the public agency shall bear the 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 compiling a record that does not exist.
at reasonable times
purpose or motive for the request not required
as promptly as possible
agency bears cost of separating confidential from nonconfidential
agency not required to create/compile record
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Confidential Public Records
PUBLIC CONFIDENTIALPUBLIC
CONFIDENTIAL
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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.
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Public Records Destruction Regulation
07 NCAC 04M .0510METHODS OF DESTRUCTION
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Electronic Records
data and metadata are overwritten, deleted, and unlinked so the data and metadata may not be practicably reconstructed
Public Records Destruction Regulation
07 NCAC 04M .0510
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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
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Destructions Log
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Business Drivers forRecords Management
Compliance
EffectivenessEfficiency
Continuity
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http://archives.ncdcr.gov
http://archives.ncdcr.gov/government/retention‐schedules/local‐government‐schedules
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2019 General Records Schedule
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Search
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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 metadataassociated with electronic records, EVEN IF THEY COULD BE DESTROYED LEGALLY UNDER THE RETENTION RULES
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What trumps DI?
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Reference ValueEstablish 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.
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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
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Historical Value
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Historical Value DefinedHistorical 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?
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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.
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E-mail to boss requesting leave
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Tweet from a residentrequesting pot hole repair
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Blog about a new agency program
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Board meeting agendaposted to town website
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Text message requestinglight bulb replacement
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Content, not format
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Schedule Updates Planned for January 2020
•Agricultural Extensions
•County Management
•Local Education Agencies
•Municipalities
•Regional Councils of Government
•Tourism Development Authorities
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Local Program Records Schedule
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Local General Schedule2020 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
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Local General Schedule2020 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)
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Future Schedule Updates
https://ncrecords.wordpress.com/2019/01/14/new‐retention‐schedule‐model‐for‐north‐carolina‐local‐governments/
•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
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Request for Changein Records Schedule
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Request for Disposal of Unscheduled Records
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Be careful what you share
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Don’t keep everything
1. Space2. Findability3. Confidential/sensitive information4. Legal risk
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Separate professional and personal documents
PROFESSIONAL PERSONAL
Annual report Grocery list
Staff memoranda Text to spouse
Budget submission Paycheck withholding
Professional Personal
PersonalProfessional
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Stop seeing double
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Identify record owner
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File Plans
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Triggers and Filing
• HR: Personnel Record• Admin: Maintenance Request• Budget: Annual Budget• HR: Personnel File• Legal: Memorandum of Understanding
Taking into consideration the trigger that begins the retention clock, what’s the best way to file these records?
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Maintenance Request
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Annual Budget
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Personnel File
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MOU
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Benefits of Records Management
• Controlled records growth• Cost savings• Improved office efficiency• Essential records protection• Compliance with legal
requirements• Preservation of records with
enduring value
• Public Records & Confidentiality for Local Government in NC
• Microfilming Minutes
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WordPress blog
ncrecords.wordpress.com
Records Management AnalystsRaleigh Office
Asheville Office
Mark Holland, [email protected](919) 814‐6908
Courtney [email protected](919) 814‐6918
Josh [email protected](919) 814‐6914
Whitney Ray [email protected](919) 814‐6907
Colin [email protected](919) 814‐6915
Emily Sweitzer [email protected](919) 814‐6910
Jason Woolf ([email protected])(828) 296‐7230 x224
archives.ncdcr.gov
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