RECORDS RETENTION IN THE

MONTANA LEGISLATURE

A Presentation to NCSL’s Research and Committee Staff Section

Dave Bohyer, Research Director

Montana Legislative Services Division

October 2011

LEGAL REQUIREMENTS

Constitutional

Statutory

Administrative

CONSTITUTIONAL PROVISIONS

ARTICLE II--DECLARATION OF RIGHTS

Section 8. Right of participation. The public has the right to expect governmental agencies to afford such reasonable opportunity for citizen participation in the operation of the agencies prior to the final decision as may be provided by law.

Section 9. Right to know. No person shall be deprived of the right to examine documents or to observe the deliberations of all public bodies or agencies of state government and its subdivisions, except in cases in which the demand of individual privacy clearly exceeds the merits of public disclosure.

Section 10. Right of privacy. The right of individual privacy is essential to the well-being of a free society and shall not be infringed without the showing of a compelling state interest.

STATUTORY PROVISIONS

Montana Code Annotated Title 2, chapter 6: Public Records

Part 1: Public Records Generally

Part 2: Public Records Management

Part 3: Records of Elected Executive Branch Officers

Part 4: Local Government Records

Part 5: Agency Protection of Personal Information

STATUTORY PROVISIONS

SECRETARY OF STATE

2-6-111. Custody and reproduction of records by secretary of state. (1) The secretary of state is charged with the custody of:

(a) the enrolled copy of the constitution;

(b) all the acts and resolutions passed by the legislature;

(c) the journals of the legislature;

(d) the great seal;

(e) all books, records, parchments, maps, and papers kept or deposited in the secretary of state's office pursuant to law.

(2) All records included in subsection (1) may be kept and reproduced in accordance with rules adopted by the secretary of state in consultation with the state records committee provided for in 2-15-1013.

(3) The state records committee created by 2-15-1013 may approve the disposal of original records once those records are reproduced as provided for in subsection (2), unless disposal takes the form of transfer of records. Reproduction is not necessary for transferred records. The reproduction or certified copy of a record may be used in place of the original for all purposes, including as evidence in any court or proceeding, and has the same force and effect as the original record.

(4) The secretary of state shall prepare enlarged typed or photographic copies of the records whenever their production is required by law.

(5) At least two copies must be made of all records reproduced as provided for in subsection (2). The secretary of state shall place one copy in a fireproof storage place and shall retain the other copy in the office with suitable equipment for displaying a record by projection to not less than its original size and for preparing copies of the record for persons entitled to copies.

(6) All duplicates of records must be identified and indexed.

STATUTORY PROVISIONS

SECRETARY OF STATE

2-6-203. Secretary of state's powers and duties. (1) In order to insure the proper management and safeguarding of public records, the secretary of state shall undertake the following:

(a) establish guidelines for inventorying, cataloging, retaining, and transferring all public records of state agencies;

(b) review and analyze all state agency filing systems and procedures and approve filing system equipment requests;

(c) establish and operate the state records center, as authorized by appropriation, for the purpose of storing and servicing public records not retained in office space;

(d) gather and disseminate information on all phases of records management, including current practices, methods, procedures, and devices for the efficient and economical management of records;

(e) operate a central microfilm unit which will microfilm, on a cost recovery basis, all records approved for filming by the office of origin and the secretary of state; and

(f) approve microfilming projects and microfilm equipment purchases undertaken by all state agencies.

(2) Upon request, the secretary of state shall assist and advise in the establishment of records management procedures in the legislative and judicial branches of state government and shall, as required by them, provide services similar to those available to the executive branch.

STATUTORY PROVISIONS

SECRETARY OF STATE

2-6-212. Disposal of public records. (1) Except as provided in subsection (2), no public record may be disposed of or destroyed without the unanimous approval of the state records committee. When approval is required, a request for the disposal or destruction must be submitted to the state records committee by the agency concerned.

(2) The state records committee may by unanimous approval establish categories of records for which no disposal request is required, providing those records are retained for the designated retention period.

ADMINISTRATIVE RULES

SECRETARY OF STATE

44.14.101 RECORDS RETAINED ON DIGITAL MEDIA

(1) Originals of government records reproduced on optical disk or any other digital medium or government records for which optical disk or digital medium is the original medium may be authorized for destruction or other disposition. Government agencies must use the record disposal request form RM5 for authority to dispose.

(2) Records may be kept on a digital medium if a records retention schedule and a digital migration plan has been completed and approved for the agency's records. The digital migration plan must include at a minimum the process of:

(a) migrating records when any upgrade is made to the operating system, hardware, software, storage device(s) , server(s) , or other component(s) of the digital system; and

(b) migrating records which have not met their retention period, but are currently considered inactive must also be migrated to the current prevailing digital format ensuring their accessibility; and

(c) refreshing all digital media and corresponding refreshment schedule.

(3) Both the records retention schedule and the migration plan must be approved by the state records committee. Any modifications to the retention schedule or migration plan must be approved by the state records committee.

(4) The state records committee has the discretion to periodically review retention schedules and migrations plans and request modifications if the state records committee deems it necessary as a result of technological advances.

44.14.202 STORAGE REQUIREMENT FOR ELECTRONICALLY STORED DOCUMENTS WITH GREATER THAN TEN YEAR RECORD RETENTION SCHEDULE

(1) Original long-term documents that are electronically stored must either be maintained in paper form or they may be destroyed or otherwise disposed of if copies are maintained on archival quality microfilm.

ADMINISTRATIVE RULES

SECRETARY OF STATE

44.14.101 allows for official records to be maintained electronically, so long as an Agency has a migration plan that supports records retention requirements for accessibility, readability.

A migration plan is an agreement between the business owner and its technology service staff that records and associated data will be stored throughout its lifecycle.

This checklist provides guidance for migration plan considerations and requirements. While this list may not be all inclusive of the agency’s requirements for migration of data, it provides minimum guidelines.

Declare Agency Name, Program Name and Program Code (if unknown, contact SOS-RIM at 444-9000).

Declare, by position title or work unit, as to who owns the records and data.

Declare technology being used, by application name(s)

Declare technology being used, by format type(s)

Declare that the agreement ensures migration from:

one application to its newest version

one application to another application in its newest version

Declare migration timeline (beginning-end)

Declare how migration accuracy and completeness will be measured

Declare who performs migration and their roles and responsibilities:

Business Owner

Information Technology Staff

Declare how legacy records and data, that are not migrated, will meet retention, preservation or disposal requirements.

Obtain Business Owner and Information Technology staff’s signature, by position title, as to who has authority over this migration process.

Appendix A --April 2010

ADMINISTRATIVE RULES AND

POLICIES

SECRETARY OF STATE

SCHEDULE FILE NAME

GS1 SBAS Records

GS2 General Financial Records

GS3 Administrative and Legal

Records

GS4 Purchasing and Procurement

Records

GS5 Payroll and Personnel Records

GS6 Data Processing Records

GS7 Records Management

GS8 Licensing

GS9 Non-record Material

http://sos.mt.gov/Records/State/index.asp#general

ADMINISTRATIVE RULES AND

POLICIES

MONTANA STATE LEGISLATURE

SOS

SCHEDULE FILE NAME

GS1 SBAS Records

GS2 General Financial Records

GS3 Administrative and Legal

Records

GS4 Purchasing and Procurement

Records

GS5 Payroll and Personnel Records

GS6 Data Processing Records

GS7 Records Management

GS8 Licensing

GS9 Non-record Material

LEGISLATIVE BRANCH POLICIES

MONTANA LEGISLATIVE BRANCH FILING POLICY

I. Purpose. This policy covers standard filing and disposition procedures for all electronic and paper-based public records of the Legislative Branch according to the definition of public records in 2-6-202, MCA. The policy provides for efficient filing and retrieval and ensures proper retention of current records and prompt disposition of outdated records to promote efficiency in the fulfillment of branchwide responsibilities. The system also ensures continuity of information, economical use of equipment and supplies, and access to needed information for management, auditing, and research purposes. The system is designed to allow for development of procedures for electronic storage of records. The provisions of this policy and of division filing procedures are designed to implement and supplement the provisions of Title 2, chapter 6, part 2, MCA. In the event of a conflict, the statute governs.

II. Policy. All Branch records are subject to the provisions of this policy. Records belong to the Branch and not to the individuals who create them. Records must be turned over intact to successors.

III. Personnel and Responsibilities

A. Branchwide Records Management Officer. The Legislative Research Librarian serves as Records Management Officer to advise the Division Directors regarding Branch files operations and records disposition programs for archivable records. Duties include: ….

B. Division Records Management Officers. Each division shall designate a Records Management Officer who will be responsible for: ….

C. Division Directors. Division Directors and supervisors are responsible for monitoring compliance with the filing policies in their divisions or offices.

D. File Clerks. File Clerks are the persons with primary responsibility for filing and retrieval of assigned files. Duties include: ….

NOTE: The Filing Policy continues for 1 ½ pages.

LEGISLATIVE BRANCH POLICIES

MONTANA LEGISLATIVE BRANCH FILING PROCEDURES

I. Components of the Files System

A. The Files Classification Outline

B. Records Retention Schedules

II. The Coding System

A. Files Classification Codes

B. Retention and Disposition Codes

III. Types of Files

A. Subject and Case Files

B. 1. Reading Files

2. Transitory Files

3. Working Files

4. Reference Files

IV. Files Cutoff

A. Subject File Cutoff

B. Case or Project File Cutoff

V. Biennial Program Review

VI. Filing Procedures

A. Filing is in the first instance the responsibility of the people in the office who generate and receive documents.

B. File on a Daily Basis

C. File Only What is Necessary

D. Classification and Coding

VII. Files Manual Maintenance and Auditing

A. General Procedure

B. Files Classification Outline Maintenance

1. Upgrading Existing Subjects

2. Adding Subjects

C. Retention Schedule Maintenance

1. New Schedules

2. Change in Schedule

a. The volume of records

b. The reference rate

c. The nature of the cutoff

NOTE: The Filing Procedures continue for 7 more pages.

LEGISLATIVE BRANCH POLICIES

MONTANA LEGISLATIVE BRANCH FILE CLERKS PROCEDURES

I. Files Maintenance

A. Preparation of Records

B. Placing Records in Files

C. Preparing Cross-References

D. Filing Nonstandard Records

E. Restricted Access Records

F. Retrieval

G. Charge-Out System

H. Folders and Drawer Maintenance

1. File Folders

2. Capacity

I. File Labels

1. Labeling Guidelines

J Guide Cards

K. File Drawers

1. Labels

2. Arrangement of Folders and Guide Cards

II. RECORDS DISPOSITION

A. Disposition Functions

1. Retirement

2. Destruction

3. Change of medium

B. Implementation of Retention Schedules

1. Annual Files Review

2. Packing Records

3. Labeling Boxes

4. Listing Box Contents

C. Retrieval of Inactive Files from Storage

1. Retrieval of Boxes

2. Retrieval of Files

D. Destruction of Records in Inactive Storage

NOTE: The File Clerk Procedures continue for 6 more pages.

LEGISLATIVE BRANCH POLICIES

FILE CLASSIFICATION OUTLINE AND RETENTION SCHEDULE Location and Retention definitions are on the last page.

ADM - (Administration and Operations)

Characteristics: Material that bears on the general administration and operation of the Office. Coordination between this office and others. Generally, office policy documents . Items to be filed may be distinguished from others when they bear on office administration rather than on a particular office responsibility or function more specifically identified elsewhere.

Location Retention Schedule

1. Reading File online[r:reference\reading], LibClk (prior to 6-19-99) 2/D

2. Periodic Reports

2.1 Annual Reports

(Note: In library as soon as released) Lib 2/P

2.2 Library Annual Reports Lib, wp archive P

2.3 Library Monthly Reports Lib, online [s:cl0444\library\stats] C/2/D

3. Management

3.1 Executive Director Correspondence LibClk 3/Ar

3.2 Legislative Management Improvement LibClk 3/Ar

3.3 Data Systems Development [ r:reference] 3/D (Information Policy Forum)

3.4 Staff Evaluation Questionnaires LibClk, Fiscal 3/Ar

(when an employee is specifically named it is

retained in their personnel file)

3.4.1 Legislators' Questionnaire Format LibClk 3/D

3.4.2 Completed Questionnaires LibClk 5/Ar

3.5 Session Committee Staffing LibClk 2/D

3.6 Legislative Administration LibClk 4/Ar

4. Not assigned

5. Administrative Policy [online:r\reference] Lib C/D

6. Operations series pamphlets [online:r\reference] Lib C/D

7. Contracts Fiscal 2/8/D

11. Montana Safety Culture Act Fiscal 2/P

NOTE: The Classification Outline and Retention Schedule continues for 14 more pages.