DOCUMENT RESUME

ED 342 370 IR 015 402

TITLE Records Legislation for Local Governments.INSTITUTION New York State Education Dept., Albany. State

Archives and Records Administration.PUB DATE 91NOTE 12p.; For additional documents in this series, see IR

015 399 and IR 015 401.PUB TYPE Guides - General (050) --

Legal/Legislative/Regulatory Materials (090)

EDRS PRICE MF01/PC01 Plus Postage.DESCRIPTORS Access to Information; Government Publications;

Information Storage; *Local Government; *LocalLegislation; *Policy Formation; Program Development;*Records Management

ABSTRACTThis information leaflet provides local governments

with guidelines and suggestions for writing an ordinance, resolution,or local law to establish a records management program. Such aprogram is an over-arching, continuing, administrative effort whichmanages recorded information from initial creation to finaldisposition. It includes systematically disposing of obsoleterecords; setting up filing and indexing systems; using moderncomputer technology in information creation, manipulation, andstorage; storing inactive records securely and cost efficiently;microfilming selected paper records for security, ease of access,space consideration, and preservation of important information;overseeing the creating and use of forms, correspondence, and otherrecorls; and identifying, appraising, and preserving records ofarchival value. The advantages of a records management program aredescribed, and benefits of records management legislation arediscussed. Suggestions are provided for the components of records1Pgis1ation, including program statement, objectives, elements, andresponsibility. The State Archives Eine Records Administration contactaddress and telephone number for further information are listed.(DB)

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Records Legislationfor LocalGovernments

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THE UNIVERSITY OF THE STATE OF NEW YORK

Regents of The University

MARTIN C. BARELL, Chancellor. B.A., LA.. LL.BR. CARLOS CARBALLADA, Vice Chancellor, BS

WILLARD A. GENRICH, LL.B.EMLYN I. GRIFFITH, A.B., J.DJORGE L. BATISTA, B.A., J.DLAURA BRADLEy CHODOS, B.A., M.ALOUISE P. MAITEONI, B.A., M.A., PhDJ. EDWARD MEYER, B.A., LL.BFLOYD S. LINTON, A.B., M.A., M.P.A.MIMI LEVIN LIEBER, WA., M ASHIRLEY C. BROWN, B.A., M.A., Ph.DNORMA GLUCK, B.A., M.S.W.ADELAIDE L. SANFORD, B.A., M.A., P.D.WALTER COOPER, B.A., Ph.DCARL T. HAYDEN, A.B., J.D.DIANE ONEILL MCGIVERN, B.S.N., M.A., PH D.

President of The University and Commissioner of EducationTHOMAS SOBOI.

Executive Deputy Commissioner of EducationTHOMAS E. SHELDON

Deputy Commissioner for Cultural EducationCAROLE F. HUXLEY

MuttontownRochesterBuffaloRomeBronxVischer FerryBaysideChappaquaMiller PlaceManhattanAlbanyManhattanHollisRochesterElmiraStaten Island

Assistant Commissioner for Archives and Records AdministrationLARRY J. HACKMAN

Director, External Programs DivisionBRUCE W. DEARSTYNE

Chief, Local Government Records BureauROBERT W. ARNOLD III

The State Education Department does not discriminate on the basis of age,color, religion, creed, disability, marital status, veteran status, national origin,race, gender or sexual orientation in the educational programs and activitieswhich it operates. Portions of this publication can be made available in a vari-ety of formats, including braille, large print or audio tape, upon request.Inquiries concerning this policy of equal opportunity and affirmative actionshould be refemd to the Department's Affirmative Action Officer, NYS Edu-cation Department, 89 Washington Avenue, Albany, NY 12234.

IntroductionThis information leaflet provides local governments withguidelines and suggestions for writing an ordinance, reso-lution, or local law to establish a records managementprogram. A records management program is an over-arching, continuing, administrative effort that managesrecorded information from initial creation to final disposi-tion. It includes systematically disposing of obsoleterecords; setting up filing and indexing systems; usingmodern computer technology in information creation,manipulation, and storage; storing inactive recordssecurely and cost efficiently; microfilming selected paperrecords for security, ease of access, space consideration,and preservation of important information; overseeing thecreation and use of forms, correspondence, and otherrecords; and identifying, appraising, and preservingrecords of archival value.

Advantages of a RecordsManagement ProgramRecords document policies, decisions, and alternatives,and provide continuity with past operations. They illus-trate the evolution of government and its services such aslaw enforcement, health care, and public works. Recordsreflect the interaction between government and individu-als, document governmental activities, and protect the

rights of citizens. Good record keeping ensures open gov-

ernment, which promotes more confidence in public offi-cials and greater accountability in the use of public funds.

Programs to manage records provide several advantagesfor local government. They save government resourcesand, in turn, taxpayers' money. They ensure that files andrecords are systematically arranged in such a way thatminimal staff time is spent in costly searches for valuableinformation. They assist with the identification, retention,and availability of permanently valuable records.

An exemplary records management program is one that isanchored in enabling legislation. Such legislation firmlyestablishes the government's lasting commitment to anongoing systematic records program, and provides a firmlegal basis by which the records program may operate.

Benefits of RecordsManagement LegislationA records management program can and should be animportant part of local government. To effectively orga-nize and operate such a program, local legislation is essen-tial. Legislation creating a records management programcarries with it a number of benefits for government. Suchlegislation:

a encourages development of a strong program. Thestrongest efforts in New York and elsewhere in thenation are based on ordinances, resolutions, or locallaws, thus indicating that a records managementprogram is a necessary governmental function.

ensures that records management is an ongoing pro-gram and not just a one-time, temporary reaction torecords problems. That is, records management is acontinuing administrative function of governmentand not just a periodic housekeeping operation.Enacting legislation establishes the government'slasting commitment to the program and enhancesthe program's credibility.

provides a clear, legal basis for actions pertaining to

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records, and a clear definition of who is responsiblefor the varying aspects of the records managementprogram.

a demonstrates to all government employees the com-mitment to, as well as the significance and legalbasis of, the records program.

shows the public and taxpayers the serious intent of

the local government to maintain a continuingrecords management effort.

Writing Records LegislationNo prescribed format or uniform content exists forrecords ordinances, but the legislation should be clear andsufficiently detailed for the purposes it intends to accom-plish. It will be necessary to consult with the local govern-ment's counsel throughout the process of drafting therecords legislation. The staff of the SARA Local Govern-ment Records Bureau can provide advice about the con-tent and elements that should be included in the legisla-tion. Copies of records legislation developed in New Yorkare available from the Local Government Records Bureau.

Suggestcd Componentsof Records LegislationListed here are several essential components to include inthe legislation. Inclusion of these elements provides aclear understanding of legislative intent and programcontent.

Program statement. An initial statement should beincluded in the legislation establishing the recordsprogram, including text affirming it to be a continu-ing administrative funcfion of government. It shouldstate very dearly that it is the responsibility of allgovernment employees to contribute to the accom-plishment of the program objectives.

Program objectives. The objectives of the programshould be at least to:

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a. Facilitate the creation of usable records contain-ing accurate and complete information.

b. Save tax dollars through efficient administrationof information resources.

c. Prevent the creation of unnecessary records.

d. Make recorded information available and 'readilyaccessible when needed, thereby mirimizing timespent searching for files and documents.

e. Ensure the systematic legal disposition of obso-lete records.

f. Encourage the lasting survival of archival recordsthose identified as having sufficient legal,

administrative, fiscal, or historical value to war-rant their permanent retention.

Program Responsibility. The legislation must havea statement clarifying the administrative placementof the program. Will the records management pro-gram be placed under the aegis of the mayor arsupervisor? the county clerk? The legislation shouldclearly identify who will be responsible for the pro-gram. It should also spell out the records-relatedduties and responsibilities of department heads andother employees as appropriate.

Definitions. Definitions are a key component of thelegislation. Of particular interest is a definition ofrecords that are to be covered by the legislation. Onepossibility is to use the definition in Section 57.17 ofthe Arts and Cultural Affairs Law. However written,this definition should be broad enough to include allrecords, regardless of physical form or characteristic.Other definitions may include the terms retentionperiod, records retention and disposition schedule,records management officer, records advisoryboard, and archival records. These and other defini-tions should follow, or at least be compatible with,definitions in the Arts and Cultural Affairs Law andRegulations of the Commissioner of Education.

Program elements. Essential program elementsmust be set forth within the legislation. The generalelements of a records management/archival admin-istration program include

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a. surveying existing records to determine whichones may be transferred to inactive storage. Inac-tive storage is for those records no longerrequired for the conduct of current business, butwhose retention periods have not expired. A sur-vey will determine which records are worthy ofpermanent retention as well as those obsoleterecords which may be disposed of. Guidelinesand procedures governing the disposition ofrecords are listed in State Archives' RecordsRetention and Disposition Schedules. The legisla-tion should include a statement indicating thatthe records program will adhere strictly to theArchives' Schedules.

b. planning for the use of modern technology, includ-ing computers and microfilm, which can be a greatbenefit to the local government. An assessment ofoffice requirements is an important aspect of plan-ning for technological advances. Not every gov-ernment will benefit from automation in the sameway. The size and financial situation of the localgovernment must be taken into consideration.

c. organizing files and records so that pertinentinformation can be readily retrieved by officialsor the public. Information should be indexed,described, and accessible.

d. developing procedures regarding records man-agement and archival practices. An internal pro-cedures manual for use by all office personnelshould be developed to provide guidelines forthe handling of records, including how they arefiled, where they are located, whether or notindices exist, and when inactive records may beremoved from the office.

Records Management Officer. Another importantaspect of the local government records legislation isprovision for the Records Management Officer anddefinition of duties for the position. Designation of arecords officer allows for the coordination of theprogram and the development of an integratedrecords management system. The position ofRecords Management Officer should be specified inthe legislation and given responsibility and authori-

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ty to work with other local officials at all levels in thedevelopment and maintenance of the records man-agement program. Note: Section 57.19 of the LocalGovernment Records Law requires local govern-ments to designate a Records Management Officerand outlines his/her responsibilities.

Records Advisory Board. Creation of a RecordsAdvisory Board and designation of its role in arecords management program should also be pro-vided for in tne legislation. Support bv the RecordsAdvisory Board is particularly crucial when therecords program is in its initial stages. The advice ofkey people selected from throughout the local gov-ernment can make the difference in the degree ofsuccess the records program attains.

Records Management Plan. The legislation shouldauthorize the development of both long- and short-term records management plans to guide develop-ment and operation of the records management pro-gram. Planning is important because it enablesmanagers to establish direction and control, ensuresthat everyone involved had a common understand-ing of program purposes and goals, permits effec-five marshaling of resources, and helps ensure thatthe program proceeds smoothly.

Records Disposal Approval Process. The legislationshould, if possible, indicate which local governmentofficials must provide approval before records aredestroyed and make provision that a list of allrecords destroyed be entered periodically into theminutes of the governing body or otherwise be per-manently recorded.

More InformationThe State Archives and Records Administration has addi-tional leaflets on topics such as the role of the RecordsManagement Officer and the Records Advisory Board inthe records management program.

The Local Government Records Bureau is charged withproviding advisory services to all local governments inthe State with the exception of New York City. Servicesinclude publications, articles, presentations, and recordsretention and disposition schedules, as well as adviceabout microfilming, storage facilities, and automation. Forfurther information, please contact:

Local Government Records Bureau (SARA)Room 10A63 CECAlbany, NY 12230

(518) 474-6926

1 1 A$44154

41410

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New York State Archives and Records AdministrationLocal Government Records BureauThe State Education Department

Cultural Education Center Albany, New York 12230

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