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Session 2: The Life Cycle of Records The Life Cycle of Records 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 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 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 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 GS1-SL General Schedule for State and Local Government Agencies 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 GS1-SL 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). 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) 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) 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 messages. 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 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 archival? • 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) GS1-SL 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 value… 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 plans/funds… 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… GS1-SL Combines Similar Record Series Combined Record Series Equipment Maintenance/Usage Combined as two series Records (GS1-L-104) Vehicle Maintenance/Usage Equipment/Vehicle Records (GS1-L-53) Maintenance Equipment Usage Records (GS1- Records S-104) (Item #104) Vehicle Logs (GS1-S-224) Equipment/Vehicle Maintenance Records: Equipment Usage Records (GS1-S-21) (Item # 224) Maintenance Records: Vehicles (GS1-S-53) 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) (GS1-S-67) Final Orders: Supporting Documents (GS1-S-76) Combined Record Series Attendance Records: Leave (GS1-L-116) Combined series Attendance Records: Leave Index (GS1-L-18) Attendance Attendance and Leave and Leave Records (GS1-S-116) Records Leave Transaction Reports (Item # 116) (GS1-S-18) Combined Record Series Financial 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 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. RETENTION: 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) DETAIL Journal transactions Journals: Voucher / (disbursement) Vouchers: Journal (Item #340) (disbursement) Receiving reports Refund requests (refund records) (disbursements) Vouchers: Individual Warrants Agency 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: 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 RECEIPT/ Deposit/Transfer slips General Ledgers: REVENUE Supporting Documents RECORDS: Invoices (receipt) Journal transactions DETAIL (receipt) (Item #365) Journals: Voucher / Journal (receipt) Vouchers: Journal (disbursement) Receipt Books: Cash Refund requests (refund records) (receipt) Removed Record Series Public library records are covered by GS15, General Schedule for Public Libraries. New GS1-SL Guides 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 spreadsheet available online http://dlis.dos.state.fl.us/recordsmgmt/GS1 comparison.xls • 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: http://dlis.dos.state.fl.us/RecordsManagers/ 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. Individual Retention Schedules 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/publications.cfm • 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 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 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) Disposition 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]. 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 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 Untimely Disposals Common Reasons • Natural disasters • Poor storage • Human error • Manmade disasters Untimely Disposals What to do? • Notify the Records Custodial immediately • Document the disposition • Take photographs if possible • Write an explanation • Retain the information permanently Exercise 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 f unded under the provisions of the Library Services and Technology Act, f rom the Institute of Museu m and Library Services, administered by the Florida Department of State, State Library and Archives of Florida.
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