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Three New Schedules for Your Consideration

November 19, 2014 2 comments

As part of the General Schedule Update Project, the Utah State Archives is proposing three new schedules for your consideration. We would like these to be submitted to the State Records Committee’s December 11th meeting.

First is Animal Control. There are currently 11 county and 11 municipal schedules related to animal control. Can they all be combined into one? The tricky part is the records have different triggers (the event that starts the clock on retention). It has made the retention a little wordy. Your thoughts on this would be greatly appreciated!

-Animal Control Records-
These records are created during the conduct of animal control and shelter programs. Records include biting incidents, licenses, euthanasia, adoptions, investigations, citations, complaints and related records.
MUN 14-1 through 14-9; 4-11, 4-12
CNT
20-1 through 20-11
Retain 5 years after last incident, expiration of license, or event

The next schedule has a historical appraisal, so the retention is still permanent.

-Public Relations Records-These records, regardless of format or mode of transmission, are created for distribution to the news media or public. Records may include things such as speeches, press releases, public announcements or similar records. MUN 1-19, 1-20,
CNT 1-20,
SD 1-22,
SG 15-8
Retention:
PermanentDisposition:

May Transfer to Archives

Lastly, this schedule is to condense duplicate schedules into one. The retention for this one is also unchanged.

-Government Records Access and Management Act (GRAMA) Appeals Case Files-These case files document the appeals to denials relating to records requests. These case files include the request, denial, the appeal, decisions and any other documentation concerning the appeal process. SD 1-10, 1-11CNT 1-40MUN 1-30 Retention:
PermanentDisposition:

May Transfer to Archives

We welcome your feedback on this update by either commenting to this blog post, calling Rebekkah Shaw at 801-531-3851 or emailing recordsmanagement@utah.gov .

Change to Personnel Schedule

November 13, 2014 3 comments

A change to the proposed general retention schedule for Grievance and Discipline Records requires your input. This schedule is meant to include unsubstantiated cases. The Attorney General’s office requests that the retention be changed from 7 years after case closed to 7 years after end of employment. Changing the trigger significantly changes the retention.

-3- Grievance and Discipline Records
Initial documentation responding to complaints that result in any type of investigation for possible disciplinary action.
SD 14-27
MUN 9-9, 9-11, 9-16, 9-19
CNT 8-1, 8-7, 8-14, 8-19
Retention: 7 years after
end of employment
Disposition: Destroy

We welcome your feedback on this update by either commenting to this blog post, calling Rebekkah Shaw at 801-531-3851 or emailing recordsmanagement@utah.gov .

General Schedule Updates to Website

November 12, 2014 Leave a comment

There are four General Schedule types: State, County, Municipality and School District. You can view these schedule in HTML and PDF.  As general schedules get updated, changes are reflected on these pages.
When a new schedule is approved, there are usually older schedules updated into the new schedule. For example, this Bond Records schedule posted for your review on October 30th and shown below. The second column lists existing schedules which will be obsolete if the proposed schedule is approved by the State Records Committee.

-Bonds Records-
These are critical bond documents that are used for the life of bills, notes, debt securities, debt obligations, or bonds. Included are book entries, statements and payment confirmations, application and certificate for eligibility, and related records.
SG 7-12, 7-14CNT 2-3, 2-4, 2-5, 2-6 Retain 3 years after final maturity and then destroy.

 

After a schedule is approved by the State Records Committee, the the overwritten schedules will still be listed on our website, but provide a link to the updated schedule.

Obsoletelink_example

 

 

 

Crosswalk

 

 

 

To capture this same information on the PDF version, we have added a graphic prefacing each general schedule type (state, municipal, school district or county). These visuals will be updated as the general schedule gets updated. The top diamond will have the schedule number and title of the new schedule. Boxes linked underneath it will be schedules of that type (state, municipal, school district or county) which were overwritten by the new schedule.  The example here is a visual created for the newly updated publications schedule.

 

 

Upcoming Training Events

November 3, 2014 Leave a comment

To register for a training event, please click here.

Logan, UT

  • November 21, 2014

Management and Care of Historic Records 9:00 am to 12:00 pm

This training will cover topics such as appraisal, retention, preservation, and access to historic records.

Utah State University Library
Conference Room 101

Salt Lake City, UT

  • November 7, 2014
  • December 5, 2014

Basic Records Management I: Records Management 9:00 am to 12:00 pm

This class educates participants about legal responsibilities of government agencies in managing records and information. The legally assigned roles of records officers, chief administrative officers, and the State Archives will be discussed.

Utah State Archives Courtyard Training Room
346 S Rio Grande St

ARMA, Salt Lake City Chapter

Essential Elements of an IG/Electronic RIM Program 11:45 am to 1:00 pm

  • November 20, 2014

Speaker: Howard Loos, CRM

BYU Harold B Lee Library “Friends Room”, Provo

RSVP: Susan Mumford

Bond Records General Schedule Amended

October 30, 2014 Leave a comment

The General Schedule Update Project has updated a schedule which was approved by the State Records Committee November 2013. This schedule’s description has been amended to capture related records which must be kept for the life of the bond. The broader description is meant to include other records that may not be maintained or created by trustee or paying agent.

-Bonds Records-
These are critical bond documents that are used for the life of bills, notes, debt securities, debt obligations, or bonds. Included are book entries, statements and payment confirmations, application and certificate for eligibility, and related records.
SG 7-12, 7-14

CNT 2-3, 2-4, 2-5, 2-6

Retain 3 years after final maturity and then destroy.

This general retention schedule will be presented to the State Records Committee at their next meeting on November 13th. We welcome your feedback on this update by either commenting to this blog post, calling Rebekkah Shaw at 801-531-3851 or emailing recordsmanagement@utah.gov .

Personnel Schedules for Your Review

October 29, 2014 4 comments

As part of the General Schedule Update Project, the Utah State Archives is proposing the following changes to the general retention schedules for personnel records. Since May last year, several meetings and discussions have been held with human resource representatives and records officers to clearly define the contents of a personnel file. The seven year retention listed below is based on the statute of limitations for contracts.

-1- Employment History Records
Employment history documents a person’s application, hiring, and employment with a governmental entity, including all records necessary to calculate benefits. Actions taken as a result of disciplinary action or grievances are included in this schedule.
SD 14-7, 14-11;CNT 8-34MUN 9-1, 9-12, 9-34, Retention: 65 years or
7 years after
retirement or death
Disposition: Destroy
-2- Performance Plans & Evaluations
This information documents an employee’s performance, including awards, performance plans, and evaluations.
SD 14-30;MUN 9-7, 9-27, 9-39CNT 8-18, 8-33 Retention: 7 years after
end of employment
Disposition: Destroy
-3- Grievance and Discipline Records
Initial documentation responding to complaints that result in any type of investigation for possible disciplinary action.
SD 14-27MUN 9-9, 9-11, 9-16, 9-19,CNT 8-1, 8-7, 8-14, 8-19 Retention: 7 years after
case closed
Disposition: Destroy
-4- Employee Health and Medical Records
These records document an employee’s fitness for duty. Documentation for health-related leave is included.
SD 8-3, 8-7, 14-5,MUN 9-37 Retention: 7 years after
end of employment
Disposition: Destroy

These general retention schedules will be presented to the State Records Committee at their next meeting on November 13th. We welcome your feedback on this update by either commenting to this blog post, calling Rebekkah Shaw at 801-531-3851 or emailing recordsmanagement@utah.gov .

Electronic Records Day

October 10, 2014 Leave a comment

October 10 is Electronic Records Day and this year the Utah State Archives is featuring several projects from archival institutions that are advancing the preservation and management of electronic records.

The North Carolina State Archives has been capturing web content since 2004. However, in 2012 they expanded into the realm of social media. In a partnership with ArchiveSocial, North Carolina State Archives is developing a searchable database of social media content created by state agencies. Facebook, Instagram, Twitter and YouTube videos produced by North Carolina government agencies are available for public access. Although the searching function is still in beta testing, it is worth taking the time to explore their social media archive.

The State Library of Virginia is publishing the email of the 70th governor Timothy M. Kaine 2006-2010. Although the library is still processing the 167 gigabytes containing 1.3 million emails, they are being in batches for public access. All of the emails are searchable by text and organized by mailbox owner. The library’s goal is to create an experience where the user can assume the role of one of Kaine’s administrative officials and “approximate what they saw when they logged into their email accounts.”

The Texas State Library and Archives Commission(TSLAC) recently completed a project in which 26,000 audio tapes of Texas State Senate hearings from 1972-2006 were digitized and placed online for public access. These tapes were often the only record copy of the meetings and as such, reference use and duplication requests were frequent. Furthermore, regular patron usage and age deterioration threatened the future access and preservation efforts. Fortunately, an LSTA grant provided TSLAC with the resources to digitize the audio cassettes. The project resulted in a high quality record copy with easily reproducible copies for research use.

The Utah State Archives is integrating the locally developed new M-Disc in some of its electronic records projects. Unlike Compact Discs that use an organic polycarbonate layer, the M-Discs have an inorganic mineral composite layer on which to record information. Since they can last up to 1000 years, the M-Disc is an excellent medium for long term electronic records storage. Utah State Archives has begun to replace aging diazo microfilm with M-Disc copies as well as storing master images for projects in the digital archives. Furthermore, by storing those master images on M-Disc rather than a server, the archives is saving IT money and resources for other projects. Since adopting them, Utah State Archives has created over 700 M-Discs for record and reference copies for electronic records as well as storing master images.

A year ago, we here at Utah State Archives did an experiment. Could we store electronic records on microfilm? You may well ask how an electronic record could be stored on microfilm and still keep all of its digital attributes. The answer lies in the QR code. Yes, that same little black and white square symbol you can scan with your phone also contains digital information, and the symbol can be microfilmed. Our experiment was to transform an electronic data file into a QR Code, convert that QR Code to an analog storage medium such as microfilm, and then scan it back into an electronic format without losing data integrity.

We began by turning an electronic record into a binary file, uploading it to our server, and calculating its checksum. Then, we had our software convert the binary file to base64, which is a long string of alphanumeric characters. Once the file was in base64, we could chop that single data string into smaller strings and produce a QR code from each of the smaller string. Since the amount of data a QR code can hold is finite, a series of QR codes were needed to hold all the strings together. Once those strings were in a series of QR Codes, our software wrote the codes a PDF document, which was then microfilmed without being printed. After microfilming, we took the finished roll and scanned the frames to convert the QR codes back into digital form again. Since nine QR codes were captured per frame, the resulting image required some editing to make each QR code individually recognizable. Subsequently, we uploaded the QR codes back to our server and concatenated all the Base64 data strings contained within each QR Code back into one base64 string. This base64 string was then converted back into binary form. Finally we ran a checksum to ensure file integrity had not been compromised from all the data manipulation.

The experiment was both a success and a failure. We were able to create QR codes from binary data and transfer them to a PDF file. We were also able to extract data from QR code images and transform it back to binary. However, the project failed in the microfilming process. Our equipment was unable to film the QR codes with clearly defined edges, resulting in the inability to extract data from individual codes. The problem lay with how many QR codes per frame we were trying to microfilm and the inability of the filming equipment to zoom in on certain sections of the PDF document. We did not try to microfilm only a single QR code per frame, although that would likely have eliminated the fuzzy-edge problem. Although many were involved, Elizabeth Perkes was the mastermind behind our experiment.


 

Categories: Records Management
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