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Records Retention for NH Municipal Tax Collectors

2016 NHTCA Spring Workshop

William Dow, CRM – Records Mgr./Dep. City Clerk Keene, NH

Today’s Agenda

What are the laws in NH relative to government records? What are records and what is records management? RSA 33-A: What is retention? disposition? What is a retention schedule? Managing disposition Some bits about electronic records Storage, policies, and other considerations for managing

your records Wrap up and Q&A

The Laws

RSA 41:59: Responsibilities of Selectmen

RSA 41:58 and 48:9: The Clerk as “Manager of the Records”

RSA 33-A: Retention and Disposition

RSA 33-A: NH Municipal Records Board

RSA 33-A: Municipal Record Committee

RSA 91-A: Right-to-Know

RSA 5:37: Replevin

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Who is Responsible for the Care, Management, Retention, and Disposition of Municipal Records?

City Aldermen or Council, Town Selectmen and Gov’t Body Officer

City or Town Clerk

Municipal Records Committee

RSA 41:59 -- Selectmen: “Care and Preservation”

The selectmen shall cause all books of public record belonging to the town to be well and strongly bound, and all papers and documents to be filed and arranged in an orderly manner convenient for reference and examination, and shall provide suitable fireproof safes or other means for their care and preservation, all at the expense of the town.

The Clerk as “Manager of the Records” All records, books, papers, vouchers and documents of every kind

which shall be in the hands of any officer, committee or board of officers of the city, not their individual property, which shall not be needed for their present use, shall be properly filed and deposited in the office of the city clerk, and shall be kept and preserved there by him as public records of the city (RSA 48:9).

“All books, records, papers, vouchers, and documents…of any officer, committee, or board of officers of the town, which are not needed…in the discharge of duty, shall be deposited in the office of the town clerk, and shall be there kept and preserved as public records of the town.” (RSA 41:58)

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RSA 33-A: NH Municipal Records Board State Municipal Records Board (MRB)

1600s – 1967: Policy: Keep all Records

1967 – 1976: Defined 44 records types in statute

1977 – 2005: 105 records types in Administrative Rules of MRB

2005+: 163 records types back into statute

MRB advisory to Secretary of State

2006+: Additional records types continue to be added to RSA 33-A, including consolidation of various records and retentions from other statutes.

NH Municipal Records Board

Powers and Duties: The board shall advise the secretary of state on standards and procedures for the effective and efficient management of municipal records…(for) the retention, preservation and disposition of municipal records. The board shall oversee the local government records management improvement program.

Consists of the following or their designees: State Archivist State Records Manager Director of the NH Historical Society State Librarian Presidents of the NHTCA, NHCTCA, and the Association of NH Assessors Registrar of Vital Records Secretary of State A municipal treasurer or finance director A professional historian A representative of the Association of New Hampshire Historical Societies A representative of DRA

The Board shall meet “not less than once very two calendar years”(RSA 33-A:4-a).

CHAPTER 33-ADISPOSITION OF MUNICIPAL RECORDS

Section 33-A:3-a. Disposition and Retention Schedule. The municipal records identified below shall be retained, at a minimum, as follows:

I. Abatements: 5 years.II. Accounts receivable: until audited plus one year.III. Aerial photographs: permanentlyIV. Airport inspections – annual: 3 yearsV. Airport inspections – daily, including fuel storage and

vehicles: 6 monthsVI. Annual audit report: 10 yearsVII. Annual reports, town warrants, meeting and deliberative

session minutes in towns that have adopted official ballot voting: permanently…

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RSA 33-A:3Municipal Record Committees

The municipal officers or their designee together with the clerk, treasurer, an assessor, and tax collector of each city or town shall constitute a committee to govern the disposition of municipal records pursuant to this chapter. Unless otherwise provided by a municipal ordinance, the committee shall designate the office responsible for the retention of each type of record created for the municipality.

RSA 5:37 – Replevin

5:37. Records Not to be Damaged or Destroyed. All records made or received by or under the authority of or coming into the custody, control, or possession of public officials of this state in the course of their public duties are the property of the state and shall not be mutilated, destroyed, transferred, removed, or otherwise damaged or disposed of, in whole or in part, except as provided by law.Source. 1987, 353:1, eff. July 24, 1987

What do we mean byRecords Management?

A method or plan for:

Retention Arranging or organizing records (retention)

Making records accessible (RTK) and preserving confidentiality

Reformatting if necessary

Disposition Eliminating “unnecessary” records (retention)

Conserving or preserving records

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Value of Good Records Management

There are three basic reasons why every municipality and records official needs an effective records management program:1. To perform its legal mandates and

responsibilities. Local, state and federal laws, the judicial system,

and taxpayers all rely on us to manage public records properly

Value of Good Records Management

2. To store records in the most efficient and cost-effective manner possible. If you are storing boxes in your office that you do

not need there, your office is wasting workspace and losing money.

3. To ensure public access to the documented history of government. Proper archiving of public records provides long-

term accountability for offices, documentary history of local government, valuable research information for the public, and protects the rights and property of our citizens.

What is a Record?

“…any document, book, paper, manuscript, drawing, photograph, map, sound recording, video recording, electronic record, microform, or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.” – RSA 5:29 Exceptions: library materials, working copies,

duplicate copies, publications Tangible (or fixed) record of an action or decisions, or

processes leading to an action or decision. Conversion of dynamic information about actions or

decisions to a retrievable static state.

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Governmental Records RSA 91-A:1, III defines

governmental record as:

Any information created, accepted or obtained by a public body or a public agency

In any format, received in or out of a meeting

In furtherance of the public body, board or agency’s official function

ElectronicGovernmental Record Government records created or

maintained in electronic form shall be kept and maintained for the same retention or archival periods as their paper counterparts (RSA 91-A:4, III-a)

Electronic Governmental Record Electronic Government Records may

include, but are not limited to:Documents stored in a computer or server

E-mail and their attachments

Voice mail

PDF documents

Instant messages; and

Electronic photos (digital)

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Municipal Records

Municipal = city, town, county or precinct

Municipal records = all records for the purpose of municipal business

This includes all: reports, minutes, tax records, ledgers, journals, checks, bills, receipts, warrants, payrolls, deeds and any other written or computerized material…designated by the (Municipal Records) Board (Chapter 33 – A Definition of Terms).

Municipal Records

RSA 33-A sets some required retention periods Replaces rules of former state Municipal Records

Board Local “Municipal Records Committee” is required

Retention schedules:For counties, cities and towns: RSA 33-AFor School Districts and School Boards: RSA

189:29-a

CHAPTER 33-ADISPOSITION OF MUNICIPAL RECORDS

Section 33-A:3-a. Disposition and Retention Schedule. The municipal records identified below shall be retained, at a minimum, as follows:

I. Abatements: 5 years.II. Accounts receivable: until audited plus one year.III. Aerial photographs: permanentlyIV. Airport inspections – annual: 3 yearsV. Airport inspections – daily, including fuel storage and

vehicles: 6 monthsVI. Annual audit report: 10 yearsVII. Annual reports, town warrants, meeting and deliberative

session minutes in towns that have adopted official ballot voting: permanently…

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Records Retention & Disposition“Retention is a fairly simple concept, but

applying it to the real world isn’t so simple to do.” Brian Burford, NH State Archivist

Records Retention Policy

Establishing a records retention policy will address two critical needs: 1. It will ensure that you retain records which are

essential to your business and required by law.

2. It will ensure that outdated or unnecessary documents are destroyed in a systematic, thoughtful way so that no one can infer that the organization is acting with bad intentions.

Source: “Creating Record Retention Policies: A Practical Guide,” NH LGC, January 2009. McCue and Sullivan.

Life-Cycle of a Record

CreationCorrespondence,

Reports, Directives,Maps

Distribution and UseDepartment Decision Making

DocumentationExternal Response

MaintenanceActive File and Retrieve

DispositionArchive orDestroy

StorageInactive

File and Retrieve

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What is a Retention Schedule?

A pre-determined schedule for keeping a record from the time of its creation until its disposition. Planned steps in a schedule may include transfer from creating Agency to the [town clerk], reformatting (such as microfilming or scanning), addressing confidential records, and disposition.

Division of Archives and Records Management, Procedure Manual, 2008

What is a retention schedule?

It describes a particular set of records or type of records created by a government unit.

It displays the retention period or length of time a record must be kept.

It may list the legal cite(s) or maintain each record series or how to dispose of.

A Retention Schedule is your map for legal authorization to destroy governmental (public) records

NH Records Retention Schedule for Municipal Records: RSA 33-A Definition of Terms

Authority Granted

Municipal Committees

Disposition and Retention Schedule

Disposition Schedule

Municipal Records Board

Powers and Duties of Board

Microfilming

Electronic Records

Exception

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Can we accept the law at “surface value”? NO! (Therefore, use your Municipal Records Committee)

Abatements: 5 years City Attorney or Town Counsel: legal actions against the municipality

are permanent records (also including BTLA)

Motor vehicle permits – void, unused: until audited plus 1 year Whose audit?

Legal Considerations A single record may be subject to a variety of

laws and regulations.

Statutes of limitations also are critical in determining record retention periods.

Record retention policies must recognize the special rules that apply when a lawsuit or administrative investigation is threatened or brought against the organization.

Source: “Creating Record Retention Policies: A Practical Guide,”

NH LGC, January 2009. McCue and Sullivan.

How a Municipal Records Committee should begin creating a retention schedule (management system):

Think about:

What types of records are createdMake a list of record groups (election records, vital

records, motor vehicle registration, licenses, etc.), then list record types within each group

Who makes each type of record?

Why is each type of record created?

Determine appropriate disposal method, if records may be eliminated

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Who creates the record and why? Adopt a policy for each

type of record: Description How long it needs to be kept

(the longest of all the needs you considered)

What is the “trigger date”? What is the proper method

of disposition? Special considerations

(restrictions, reformatting) These policies are called

retention schedules

Look for Existing Rules

Research if retention schedules are already specified for each type of record:Town ordinance

State statute

State administrative rule

Federal statute

Federal administrative rule

State, Federal or professional organizations

NH Records Retention Schedule for Municipal Records: RSA 33-A

The municipal records identifiedbelow shall be retained, at a minimum, as follows:

I. Accounts receivable: until audited plus 1 year.

II. Correspondence, administrative records –min. one year

III. Correspondence, transitory– retain as needed for reference

IV. Minutes of boards and committees: permanently

V. Personnel files: retirement or termination plus 50 years

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Municipal Record Committees

Does RSA 33-A apply to all the community’s records? No. Therefore… The municipal officers or their designee together with the clerk,

treasurer, an assessor, and tax collector of each city or town shall constitute a committee to govern the disposition of municipal records pursuant to this chapter. Unless otherwise provided by a municipal ordinance, the committee shall designate the office responsible for the retention of each type of record created for the municipality (RSA 33-A:3).

Remember: Shared responsibility = Shared liability

For records on your list not covered by law or regulation, decide how long you need them

List each type of record; note how long you need it Consider: administrative, legal, fiscal and historical

requirements

Q: How often do I go back to a file that we created… One week ago? A: Very often One month ago? A: Quite often Six months ago? A; Fairly often Two years ago? A: Sometimes Three years ago? A: Seldom Five years ago? A: Never

See what other NH communities are doing and/or look at model retention schedules for those records

Who Has Responsibility for Record Retention?

The “creator” of the record has responsibility for meeting retention requirements.

For interoffice or incoming records: If correspondence is from outside the government,

recipient of the record who is responsible for handling the message is responsible for retaining the record.

If correspondence is from inside the government, the creator (or reviser) of the record (or subsequent versions) is responsible for retaining the record.

Email: If there is a string of multiple replies between two or more people to the same message, only the last reply needs to be saved, but only if all of the replies and comments are captured in the final message.

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Responsibility for Retention

Is it Government Business?

No. Okay to Delete immediately. Yes. Determine category of record

Is message from inside the government?

Is message from outside the government?

Correspondence arrives

Responsibility for Retention

If message is from inside the government?

Recipient did not change it Recipient did change it

Recipient can delete

Originator responsible for retention

Recipient is responsiblefor retention of changed record

Guidance: “Creator” of record or amended record is responsible for retention

Responsibility for Retention

If message is from outside the government

Recipient is responsible for retention, unless…

…Forwarded – unaltered – to anothergovernment employee for action.

Then, recipient taking actionis responsible for retention.

Guidance: Correspondence should be retained by the person who received the message and acted on it. If someone else is responsible for handling the action, and the correspondence is forwarded, without alteration, to that individual for action then the “new” recipient is responsible for retention of the incoming correspondence and subsequent versions.

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Disposition

Ensures that records needed for legal, fiscal, or administrative use will not be destroyed prematurely.

Determines when records may be transferred to inactive storage or to another repository for permanent storage.

Assists with making reformatting decisions

Allows records that are no longer useful to be destroyed legally.

Helps reduce the space and equipment necessary for filing records, thus saving money.

Provides information to develop a vital records protection plan.

Releases electronic storage space.

Ensures the preservation of records with historical value.

Managing Disposition: Identifying and Locating Your Records

A records inventory is the primary source of information – not just for the creation of retention schedules – but for vital records protection, indexing systems, reports and forms management, and records storage.

In conducting the inventory, you will identify records as a records series, a group or unit of related documents or information that is normally filed or kept together because they relate to a particular subject or function, result from the same activity, or document a particular transaction or activity.

Managing Disposition

Records Inventories can be time-consuming. Therefore, it is best to make active records your priority.

Use a consistent form.

Find all files in storage equipment and areas. (All formats and media).

Ask questions until it is clear what the file is, why it is kept, who uses it, and how long it should be kept.

“How” to conduct an inventory is outside of the scope of this presentation, but if you don’t know what you own, how can you determine what can be disposed?

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Disposition options:

Permanent retention on paper

Re-formatting to microfilm

Transfer of custody

Destruction

Permanent Retention

Acceptable formats:Microfilm

Paper

Considerations:Use and access

Storage

Permanent Retention

If a record is determined to be PERMANENT: You can only destroy these records if you MICROFILM the

original records.

If you digitize permanent records, they MUST be converted to microfilm before the paper is destroyed.

If permanent records are created and exist only in electronic form, they MUST be converted to microfilm or paper before the electronic storage or file format becomes obsolete.

Digital records are NOT recognized as a permanent format to preserve information.

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Permanent Retention: Microfilm

If municipal records are disposed of by microfilming, two films shall be produced.One film shall be retained by the municipality

in a fireproof container and properly labeled.

One shall be transferred to a suitable location for permanent storage (RSA 33-A:5).

Transfer of Custody“Warning, Will Robinson, Warning!”

Be careful Agreements in place on

ownership, access and retention

Related considerations:Moving challenges Renovations Duplication by

departments

What records to destroy

When to destroy records

Destruction Methods

Non-confidential (recycle)

Confidential (shred, pulp, incinerate, chemical disintegration)

Documentation

Destruction

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Unauthorized Destruction: Penalty

Any natural person who violates this section shall be guilty of a misdemeanor and any other person shall be guilty of a felony. (RSA 41:68)

A person is guilty of a misdemeanor who knowingly destroys any information with the purpose to prevent such information from being inspected or disclosed in response to a request under(RSA 91-A).

Authorized Destruction Establishes Credibility, Authenticity Why?

Acceptance by the public as authentic (trust) Admissibility in Court

How? Adopt policies and adhere to them Limit chances of alteration, deterioration, loss

Which would you rather say to the press or a citizen?: “I don’t have that record.” “I can’t find that record.” “That record had a 5-year retention period, and we disposed of it

in January, 2010.”

A few bits about electronic records…

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Electronic Records

"Electronic record'' means information that is created or retained in a digital format (RSA 5:29).

Electronic records…designated on the disposition schedule…to be retained for more than 10 years shall be transferred to paper, microfilm, or both (RSA 33-A).

Electronic records designated on the disposition schedule to be retained for less than 10 years may be retained solely electronically if so approved by the record committee of the municipality responsible for the records. The municipality is responsible for assuring the accessibility of the records for the mandated period (RSA 33-A).

What about Electronic Records?

It makes no difference whether the record is Painted on a cave wall Etched on clay tablets Chiseled in granite slabs Written on animal skins (vellum) Digital Microfilm

The medium does not matter, it’s the information that counts

Choose the appropriate medium for the retention schedule, not the other way around

Consider accessibility (both short term and long term)

Electronic File-Naming Conventions Not easy to reach consensus using manual methods Need to find – and dispose of – e-files Best Practice – At a minimum, include date, record

series, and record group or subgroup Example: 20140815_Tax Collector_Tax Receipts

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Electronic “Governmental” Records

RSA 33-A: Records with less than 10 year retention may be in electronic format, all other records must be placed on paper or microfilm But must still be “accessible” to public under RSA 91-

A:4, III-a, so may need paper/microfilm/alternative

RSA 91-A:4, III-b – when is electronic record “deleted”? After it has been initially and legally deleted (i.e., no

longer readily accessible to public body itself)

Corruption and Loss of Digital Information

Physical degradation of storage media

Obsolescence of storage media

Migration failure

Metadata

Backups, crawling and snapshots

Human factors

Format: Optical Media Life Expectancyhttp://www.archives.gov/records-mgmt/initiatives/temp-opmedia-faq.html

CD/DVD experiential life expectancy is 2 to 5 years even though published life expectancies are often cited as 10 years, 25 years, or longer…any specific medium may experience a critical failure before its life expectancy is reached…the quality of your storage environment may increase or decrease the life expectancy of the media. It is recommended to test optical media at least every two years to assure your records are still readable. Source: NARA.

Comparison: Silver-polyester based microfilm (500 years). Source: Oregon State Archives.

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Is conversion to an electronic format a solution to your paper piles?

Technology will become obsolete quite rapidly

Who will provide the money and time to convert to new format?

Will you keep old technology so that you can “read” the records?

Is emulation (translator software) a solution?

Will you be able to “certify”that the migrated or emulated record is a “true copy”?

Misc. Records Management Matters

Storage, Labeling, Preservation Environment,

Policies

Some typical issues (which communities may experience)

No process for transfer of custody (especially problematic when someone leaves the organization)

Improper labeling and boxing of records for storage

Not knowing what you have and/or where it is (tracking)

No process to authorize records destruction

Need to recognize that there is a cost associated with storage and disposition – and plan for it!

Keeping records in storage beyond their retention period is a waste of money and resources.

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Establish a Transfer of Custody Process

Develop a process for custodial acceptance of records and transfer form. Required under RSA 33-A:3-a, CXV

Work with Municipal Records Board and staff for buy-in

Transfer form must identify: department of origin, responsible staff, record series, subgroup and retention period/date.

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Foldering issues For long-term

storage, remove paper clips, rubber bands

No Scotch tape

No vinyl binders

Use archival folders

How do you store the records?

Records longevity depends upon their inherent composition and on controlling: Format

Environment

Storage Furnishings

Storage Containers

Security

Disaster Planning and Recovery

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Storage shelving

Metal shelving:42” w x 16” or 32” d

18 gauge or lower Height: 5 – 10 feet, with 3

– 4 inches off the floor and 1 ½ feet between the cartons on the top shelves and sprinklers

Consider floor weight-load capacity

Records storage: use proper boxes

Records storage: use proper boxes

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Records box Standard size archive box, 9.75”H x 12”W x 15”D

Double-sided Purchased under state contract $2.00

Staples Economy Storage Boxes Catalogue price 10”H x 12”W x 15”D $1.50

Banker’s Box (Staples), letter size, string and button closure 10”H x 12”W x 24”D $11.00

Label Boxes

Date & Description of Documentation:

11/02/04 CAST BALLOTS (FEDERAL ELECTION) Department: CITY CLERK __________________________ Retention Period: 22 MONTHS

Date to be Destroyed: SEPTEMBER 2, 2006

Disposition Authority (RSA, Mur., etc.):RSA 33-A:3-a XXXVI

Describe contents

Identify owner of record

Include retention period and citation

Indicate disposition date Not just “year”

Label Your Records Box

Department:City Clerk

Description:Removed Voter Registration Forms

Date:September 1, 2003

Disposal Date:September 1, 2010

Retention Cite:RSA 33-A:3-a. CXLI. 7 years

Disposal Method:Shred

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Records storage: dispose of the records when it is time to do so Send notice when cartons are

awaiting approval for destruction

Departments do not “give up” responsibility for their records when the records are moved off site

Who is responsible for oversight and cost of disposal?

Space is needed for incoming inactive records

The option to return records scheduled for disposal to office of origin (if you “really need” them!)

Data Destruction Service Contract

Types of destruction services: On-Site: Locked containers, mobile shredders

Off-site: transferred to facility

Data destruction contractor must: Provide bonded employees Have insurance for financial loss Issue certified certificate of destruction

Maintain a Destruction Log

Destruction Log

City of Keene, NHDepartment: Revenue Collection

Record Series(What Destroyed)

End Date(When)

Who(Who Destroyed)

Authority Cite(Schedule and retention)

Tax receipts 12/31/2015 Jane Doe RSA 33-A:3-a6 years

1/01/2016

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Security

Physical security

Handling and use

Reformatting and/or duplication

Storage: Handling and Use Limit access Check-in, check-out records Require that patrons wash their hands or provide cotton

gloves (for some records, e.g., photos) Provide note paper for patrons’ use Keep papers in original order. Limit amount of records

used at one time Support books as necessary to minimize flexing Control copying

Handling and Use Monitor patrons No bags or personal

belongings in research room Books and paper can become

brittle and fragile with age Ink poses a serious risk – use

a pencil for taking noteshttp://www.youtube.com/watch?v=CwOrp6Q7kCE

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Environment:Storage Conditions Fire resistant structures Areas where temperature

and humidity are maintained

Areas that are appropriately lit

Areas with good ventilation and protection from insects and mold

Areas away from steam, water, and drain pipes

Areas free from windows Areas with clear aisle

space Areas with flooring above

grade

Environment: High temperatures increase the rate of chemical reactions, including deterioration.

As a general rule, the temperature in records storage areas should be maintained at 60 - 70 degrees F.

Maintain a stable temperature (+/- 5 degrees F).

Ideal temperatures for books & paper (60 degrees), photographic materials (50 degrees),and magnetic media (65 degrees).

Environment: Relative Humidity

High relative humidity (+60% RH) encourages mold growth, insects, and the warping of documents on paper.

Low RH, (-30%), causes desiccation and embrittlement. The optimum RH for books & paper (40 – 55%), photographic

materials (35%), and magnetic media (30%). Aim for an RH between 40% and 50%. Maintain a stable RH (+/- 5%).

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Environment:Temp & RH Dataloggers

Measure temperature, relative humidity and light intensity.

Use selectable sampling interval between 0.5 seconds to nine hours.

HOBO incorporates digital technology, making it smaller, less expensive, more accurate and more reliable than other recorders. Data is stored in digital format allowing for more convenient analysis, presentation and storage. ($110 - $180 plus $99 software.)

Summary

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Key Points

Records are created for the information they contain, documenting actions or decisions.

Be aware that there may be many rules dictating how you keep and make your records accessible.

Key points

Good records management is: The methodical arrangement and description of

records for efficient and economical access;

The elimination of records which no longer have administrative, legal, fiscal or historical value;

Proper conservation or preservation of records of lasting significance

In conclusion…

Public records are the foundation, the memory, and the protector of democracy in government

The preservation of valuable government records that protect the legal rights and heritage of our citizens is an important function of government

However, nonessential paperwork uses valuable storage space and adds financial burdens on our citizens

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Questions?

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