records by wanghonghx


									   Session 2:

The Life Cycle of
The Life Cycle of Records
• 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
            Records Inventory
•   Locate and evaluate records
•   Identify records eligible for disposition
•   Evaluate storage needs
•   Identify vital and electronic records
               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
   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
      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.
         Retention Schedules
Two Types of Retention Schedules:
1) General Schedules
  •   Cover most administrative records
  •   Arranged alphabetically by Record Series Title
  •   Most current version available on our Web Site
2) 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 agency’s individual schedules
       Retention Requirements
“Records Retention Schedule” means a standard
  approved by the Division for the agency’s
  orderly retention, transfer, or disposition of
  public records…
                        Rule 1B-24.001(3)(l), F.A.C.

• Value of Records
  •   Legal
  •   Fiscal
  •   Administrative
  •   Historical
               General Schedules
GS1-SL State and Local Government Agencies
GS2    Law enforcement, Correctional Facilities and District Medical
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
           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
• 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
Schedule for
 State and
            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

Revisions to Record Series
 Titles and Item Numbers
   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)
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
 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
                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).

Annual Reports: Governing Body, Item #245 (GS-1L)
Annual Reports: Governing Body, Item #253 (GS1-SL)

Annual Reports: Governing Body, Item #245
             Item Numbers
  Same item number existed in both schedules:

Access Control Records, Item #189 (GS1-L)
Key and Badge Issuance Records, Item #189

Access Control Records, Item #189 (GS1-SL)
   Record Series
Description Revisions
        Description Revisions
              OLD                             NEW
   Public Information Files        Public Information Files
…speeches and drafts, contact    …documents an agency’s
prints, negatives,               efforts to disseminate
enlargements from negatives      information to the public about
and transparencies created as    its programs and services
illustrations in agency          through such activities as
publications or as visual        speeches, presentations,
displays of agency activities.   exhibits, displays, etc. The
                                 series may include, but is not
                                 limited to, …or other items
                                 meant for public distribution.

                                 NOTE: Stocks of agency
                                 publications…are not included
                                 in this series.
           Description Revisions
                 OLD                                      NEW
       Transitory Messages                        Transitory Messages
…those records that are created           …records that are created primarily to
primarily for the communication of        communicate information of short-term
information, as opposed to                value…Transitory message are not
communications designed for the           intended to formalize or perpetuate
perpetuation of knowledge. Transitory     knowledge and do not set policy,
messages do not set policy, establish     establish guidelines or procedures,
guidelines or procedures, certify a       certify a transaction, or become a
transaction, or become a receipt. The     receipt.
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
• 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
Retention Revisions
    Retention Length speficied
• Anniversary
• Calendar
• Fiscal
• Triggering events
• OSA (Obsolete, Superseded, or
  Administrative Value is lost)
• Permanent
    “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
            Archival Records
What makes a record
•   Informational value
•   Evidential value
•   Historical value
•   Intrinsic value
     Retention Length Changes
         Record Series                  Retention Length

Fee/Service Schedules           3 fiscal years
(Item #271)
Injury Records (Item #188)      5 calendar years

Inspection Reports: Fire        1 anniversary year or life of
Extinguisher (Item # 219)       equipment, whichever is sooner
Permits: Confined Space Entry   1 anniversary year after
(Item # 284)                    cancellation of permit
Personnel Records (duplicate    OSA
copies) (Item #19 and #162)
New Record Series/
  Schedule Items
           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
             New record Series
• Grant Files: Unfunded Applications (Item #349)
  …grant applicant’s 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
         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…
Combines Similar
 Record Series
        Combined Record Series
Equipment Maintenance/Usage      Combined as two series
Records (GS1-L-104)
Vehicle Maintenance/Usage
Records (GS1-L-53)
Equipment Usage Records (GS1-             Records
                                        (Item #104)
Vehicle Logs (GS1-S-224)
Maintenance Records: Equipment        Usage Records
(GS1-S-21)                              (Item # 224)
Maintenance Records: Vehicles
      Combined Records Series
W-2 Forms (GS1-L-157)         Combined as
W-4 Forms (GS1-L-158)
W-9 Forms (GS1-L-178)
                              Federal and
941-E Forms (GS1-L-161)      State Income/
1096 Reports (GS1-L-314)     Employment
1099 Forms (GS1-L-159)        Tax Forms/
1099 Reports (GS1-L-160)        Reports
1099-Int Forms (GS1-L-315)    (Item #157)
Federal and State Tax
Forms/Reports (GS1-S-157)
      Combined Record Series

Final Orders Records
(GS1-L-67)                 Combined series
Final Orders
(GS1-S-74)                  Final Orders
Final Orders: Index
(GS1-S-75)                    Records
Final Orders: List           (Item # 67)
Final Orders: Supporting
Documents (GS1-S-76)
      Combined Record Series

Attendance Records: Leave
(GS1-L-116)                 Combined series
Attendance Records: Leave
Attendance and Leave          and Leave
(GS1-S-116)                    Records
Leave Transaction Reports    (Item # 116)
       Combined Record Series
         Financial Records
  Expenditures of money by an agency
     • Detail (Item #340)
     • Summary (Item #341)

  Receipt/revenue collected by an agency
     Detail (Item #365)
     Summary (Item #366)

Financial History Annual Summary (Item #347)
  Summary of an agency’s receipts and disbursements
Combined Record Series:Financial Records

              Disbursement Records: Detail
                       Item # 340

    …records documenting specific expenditures or
    transfers of agency moneys for the procurement of
    commodities and services and other purposes. …and
    expenditure records for disbursements…and related
    documentation. Retention is based on s. 95.11(2), F.S.

a) 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.
    Combined Record Series: Disbursements

Accounts Payable       Accounts Payable
Records                Supporting Documents
Checks: Cancelled      Checks: Stubs

Withdrawal slips       Expenditure reports
                       (detail)               DISBURSEMENT
General Ledgers:       Invoices                 RECORDS:
Supporting Documents   (disbursements)
Journal transactions   Journals: Voucher /
(disbursement)         Vouchers: Journal         (Item #340)
Receiving reports      Refund requests
                       (refund records)
Vouchers: Individual   Warrants
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

a) 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.
  Combined Record Series: Receipt/Revenue

Accounts Receivable       Accounts Receivable
Records                   Supporting Documents
Bad check records         Balance sheets

Cash collection records   Cash register tapes
Deposit/Transfer slips    General Ledgers:
                          Supporting Documents   RECORDS:
Invoices (receipt)        Journal transactions      DETAIL
                          (receipt)              (Item #365)
Journals: Voucher /       Journal (receipt)
Vouchers: Journal
Receipt Books: Cash       Refund requests
                          (refund records)
   Removed Record Series
Public library
records are
covered by GS15,
General Schedule
for Public Libraries.
New GS1-SL
  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
Index and Cross References
    Microsoft Excel Spreadsheet
Microsoft Excel
available online

 • Shows changes by
   item number
 • Sort and search by
   GS1-L or GS1-S item
   numbers or record
   series titles
The GS1-SL can be downloaded from our
                      Web site:
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

                               Rule 1B-24.003(7), F.A.C.
Individual Retention Schedules
 Individual Retention Schedules
Step 1: Fill out a Retention Schedule
  Request Form

• Form is available on our Web site at
• Complete one form for each record series
• Schedule numbers sequential and assigned by
  the State Library and Archives
 Individual Retention Schedules
Step 2: Submit to the State Library and

• Records Analysts and Archivists review for legal,
  fiscal, administrative, and archival value
• Records Analysts may contact agency for
• Records Analysts will notify agency of approval
  or disapproval of schedule
 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 should retain schedule permanently
  (GS1-SL, Item #45)
     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].
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
  Documentation is
  required by Rule

• Required information:
  •   Schedule
  •   Item number
  •   Record series title
  •   Inclusive dates
  •   Cubic feet
           Untimely Disposals
Common Reasons
  •   Natural disasters
  •   Poor storage
  •   Human error
  •   Manmade disasters
          Untimely Disposals
What to do?
• Notify the Records
  Custodial immediately
• Document the
• Take photographs if
• Write an explanation
• Retain the information

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

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