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Materials & Supply Chain Management

 

UCH Records Retention & Informational Services

 

GENERAL INFORMATION

  1. On-Line Records Course - "Introduction to Records and Information Management (RIM)"

    The Office of the Public Records Administrator is pleased to announce a new online course for state and local officials available at: http://ctstatelibrary.org/

    "Introduction to Records and Information Management (RIM)" is a 90 minute narrated PowerPoint presentation designed to introduce basic terminology and practices necessary for efficient and economical operation of any government agency.  This course explains the basic concepts and processes of records and information management (RIM), including: 

        a. The importance of records and information management   
        b. Those responsible for records and information management
        c. Key tools and processes used in records and information management
        d. How records and information management supports disaster preparedness and continuity of operations 

    State and local government employees responsible for creating and maintaining records of any kind and in any format, both paper and electronic should take this course, including administrators, information technology staff, emergency preparedness personnel, registrars, and city and town clerks.   

    The presentation was created as part of a FEMA grant to the Council of State Archivists for its “Intergovernmental Preparedness for Essential Records" (IPER) project which will provide training to state and local governments about how to protect records before, during, and after disasters and other emergencies.  A special focus of this training will be on those records that are essential for the resumption of government operations.  These essential records are a critical part of continuity of operations (COOP) planning and response.

  2. e-Mail & Electronic Records

    *
    The same records management principles apply to e-Mail and electronic records as paper records

    e-Mail Information/Slide Show
     
  3. Public Records Laws (PDF)
    Connecticut General Statues revised to January 1, 2008.   These statutes are related to public records in Connecticut, state agencies, and the Office of the Public Records Administrator. 

    FAQs - Most Asked Questions...  (PDF)
    Five pages of the most asked questions regarding Records Retention and Records in general.

    Records Disposition Authorization (Form RC-108)   RC-108  
    This form must be used for all records dispositions (e.g., destruction).
    Please use this form version and not the one on State Web Site, as we have completed a few pertinent fields.


  4.  

  5. HIPAA Information from the State Public Records Administrator

    I have checked the HIPAA regulations for some guidance regarding records retention.

    Below is a link to the US Dept. of Health and Human Services Summary of the HIPAA Privacy Rule.

    http://www.hhs.gov/hipaa/index.html

    I have copied the relevant section below.

    Documentation and Record Retention. A covered entity must maintain, until six years after the later of the date of their creation or last effective date, its privacy policies and procedures, its privacy practices notices, disposition of complaints, and other actions, activities, and designations that the Privacy Rule requires to be documented.

    The citation to the CFR regulation that this is extracted from is below:

    45 C.F.R. § 164.530(j).

    Please contact the State Records Administrator if you have any additional questions.

    Public Records Administrator
    Connecticut State Library
    231 Capitol Ave.
    Hartford, CT 06106
    Voice 860.757-6540
    Fax 860.757.6542
    http://ctstatelibrary.org/

     

  6. Welcome to CONNector. The Connecticut State Library Newsletter

    In response to the state's budget crisis, state agencies have been asked to eliminate printed publications such as newsletters. You can find the CONNector at
    http://ctstatelibrary.org/news/connector/

     

  7. From: Public Records Administrator
    Sent: Monday, October 20, 2008 03:50 PM
    Subject: GL #2008-3: Off-Site Public Records Storage Facilities 

    The Office of the Public Records Administrator has issued General Letter #2008-3: Off-Site Public Records Storage Facilities.  Please see the attached PDF.

     

  8. The Office of the Public Records Administrator and State Archives has produced or has been engaged in efforts to produce usable policies in the areas of optical imaging and electronic communication (e-mail)  The office's optical imaging statement is entitled, "Optical Imaging Technology and Public Records:  Policy Statement," and can be found at http://www.cslib.org/publicrecords/optical.htm
     

  9. The State Records Manual is available to Health Center departments through the Office of Property and Logistics Management.  If you would like a copy, please E-Mail our Records Management Officer.
     

  10. Please pay close attention to your storage costs.  Follow the records retention schedules listed in the State Records Retention Manual.  Records storage costs can be reduced by following the retention schedules prescribed in the manual.  The State Records Center also offers Free storage for certain types of Records.  For more information, please contact our Records Management Officer.

 

Records Retention Schedules for State Agencies

Records Retention Schedules for State Agencies

Please note, Iron Mountain and the UCH Warehouse, will not accept any records that do not have the State Retention Schedule Code (see examples at S1 - Administrative Records) and the destruction date box filled in on the Records Transmittal forms.   Our RMLO and or OLM designated staff will review with requesting departments this information to ensure compliance.   Boxes transfers will be spot checked that are going to Iron Mountain or the UCH Warehouse as will Iron Mountain staff.   Any boxes that are found to be non-complaint as the records forms are being entered at Iron Mountain or UCH Warehouse, will be rejected and returned to the owning department at the published rate. 

Thanks

Jeff Boyko
University Director & Logistics Chief
State of Connecticut RMLO

 

The schedules listed below can be also located at: http://ctstatelibrary.org/publicrecords/agency-specific-schedules

 

 

Records Retention Forms

UCH Records Storage Request Form: 
UCH Records Transmittal Form Sample  
(Sample)
Used for Iron Mountain or Internal Storage

 

Records Retention Schedules
(from the State Public Records Web Site)

Regulations and Statutes

Forms

General
Municipal Government
State Agencies

Top of Page

Guidelines and Standards

General
Municipal Government
State Agencies

Disaster Planning and Recovery Information

Note: Agencies and municipalities must notify the Office of the Public Records Administrator in the event of any damage to records and may not dispose of any damaged records without first obtaining approval from this office. 

Publications

Records Management Terms PDF

 

Annual Report to the Joint Standing Committee on Government Administration.

Pursuant to Sections 11-8k to 11-8m of the Connecticut General Statutes, the State Library and the Public Records Administrator must submit annual reports concerning the State Library's preservation activities and the municipal grants funded through the Historic Documents Preservation Program.

RECORDS INFORMATION

Information contained on these pages are from the State Records Management Manual.

Public Records Administrator: http://www.cslib.org/publicrecords/

Definition of a Record:

Section 1-18(b) of the General Statutes, as revised, states:

Public records or files means any recorded data or information relating to the conduct of the public’s business prepared, owned, used, received or retained by a public agency, whether such data or information be handwritten, typed, tape-recorded, printed, Photostatted, photographed or recorded by any other method.

Definition of Non-Record Materials:

There are some easy guidelines that can be used to distinguish records from non-record items. The physical characteristics of non-record materials are the same as record materials. The differences between a non-record and a record are the reasons for keeping the information and the uses to which the information is put.

The Following are examples of non-record material:

  1. Extra copies kept only for convenience, reading files, follow-up or suspense.

  2. Information copies of correspondence and other papers on which no documented administrative action is taken.

  3. Duplicate copies of documents maintained in the same file.

  4. Inquiries and requests from the public and answers thereto not required by law to be preserved or not required as evidence of a public or private legal right or liability.

  5. Transmittal letters that do not add information to that contained in the transmitted material.

  6. Reproduced or published material received from other offices which require no action and are not required for documentary purposes (originating agency is required to maintain record copy).

  7. Catalogues, trade journals, other publications or papers received which require no action and are not part of a case upon which action is being taken or will be taken.

  8. Library or museum material collected for informational or exhibition purposes.

  9. Stocks of publications, forms or related printed documents which become obsolete or outdated due to revision. Originating agency should maintain a record copy.

  10. Working papers, preliminary drafts or other material summarized in final or other form and which have no value once action has been taken.

The disposition of all non-record material is left to the agency’s judgment and discretion. If an agency cannot determine whether or not material is a record or non-record, that agency should consult with the Office of Public Records Administrator.

Definition of a Record Series:

A record series consists of any documents, volumes or folders arranged under a single filing system, or kept together as a unit because they relate to a particular subject, result from the same activity, or have a particular form.

Determining the Retention Schedule:

There are five primary values to consider when establishing a retention schedule:

  1. Administrative: These are records which pertain to the origin, development, activities and accomplishments of the agency. The fall generally into two categories: policy records and operational records.

  2. Legal: Records of legal value include those with evidence of legally enforceable rights or obligations of the State.

  3. Fiscal: Records that have fiscal value are those which relate to the financial transactions of the agency, such as budgets, payrolls, vouchers, and accounting records. After records have served their primary administrative purpose, it may be necessary to preserve them to document the expenditure of public moneys and to account for them for audit purposes. Here again, in some instances the audit requirements of the Federal Government as well as those of the State
    must be taken into consideration. Some records, obviously, have more than one value and all values must be considered in appraising the records. A check, for example, is created to make a payment to a person or business to whom the State owes money; its administrative value ends as soon as the payment has been made and the check is returned to the Treasurer. The same check, however, has fiscal value because it documents an expenditure of public funds; it may also have legal value, depending on the purpose for which it was issued.

  4. Historical: Historical records include those which are worthy of permanent preservation for reference and research purposes and which have been selected for deposit in the State Archives. These records are retained for many uses, but public officials use archival records to protect the government, give consistency and continuity to its action, prevent duplication of effort, find successful ways for meeting recurrent problems, and avoid past mistakes. Records are also kept to protect the legal rights of our citizens and for research
    in both scientific and historical fields to advance general knowledge and understanding.

  5. Research: Research records are those that are used in scholarly studies and investigations designed to extend the area of human knowledge or as basic historical evidence which embodies important information on persons, corporate bodies’ problems, conditions, and the like. They may also include case files and correspondence of a regulative and quasi-judicial nature, statistical and other data on economic development, population changes, and major movements in our society. It should be pointed out that many of these records have informational, administrative, and archival values.

Agency Responsibilities:

In order for the State’s records management program to function effectively and efficiently, state agencies are requested to assist the State Librarian in the performance of his/her duties as outlined in the State Records Management Manual.

Responsibilities:

  1. The designated Records Management Liaison Officer(s), RMLO, will be responsible for the overall coordination of the agency records management program and who will act as liaison to the Office of the Public Records Administrator in the performance of records management duties.
     

  2. The Records Administrator will identify the duties of the agency RMLO, which may include the following and provide for:
     

    • Guidelines for the maintenance and use of records in the conduct of agency business.

    • Inventory of agency records and recommendation of retention periods for the various types of records in cooperation with agency program supervisors.

    • Disposition of records in accordance with the retention/disposition schedules and approvals required by the Office of the Public Records Administrator.

    • Transfer inactive or non-current records to agency records center or other state approved private storage facilities.

    • Maintain a control file of all agency retention schedules, destruction authorities, and transmittal of records to record centers or to the State Library Archives.

    • Disseminate informational or general letters received from the Office of  the Public Administrator.

 

 

Administration:

Jeff Boyko, University Director of Logistics Management 
boyko@adp.UCH.edu
    (679-1955)