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HomeMy WebLinkAboutAgenda - 09-02-2021; 8-e - Resolution Confirming Orange County’s Agreement to Adopt the General Records Retention and Disposition Schedule for Local Government Agencies 1 ORANGE COUNTY BOARD OF COMMISSIONERS ACTION AGENDA ITEM ABSTRACT Meeting Date: September 2, 2021 Action Agenda Item No. 8-e SUBJECT: Resolution Confirming Orange County's Agreement to Adopt the General Records Retention and Disposition Schedule for Local Government Agencies DEPARTMENT: BOCC ATTACHMENT(S): INFORMATION CONTACT: Draft Resolution John Roberts, County Attorney 2019 Consolidated Local Government 919-245-2318 Agency Records Retention and Disposition Schedule Approval Form Laura Jensen, Clerk to the Board Proposed General Records Retention 919-245-2130 Schedule ONLY AVAILABLE ELECTRONICALLY AT: https://files.nc.gov/dncr- archives/documents/files/2019 local standards O.pdf PURPOSE: To: 1) Adopt a resolution confirming Orange County's adoption and enforcement of the redesigned General Records Retention and Disposition Schedule for Local Government Agencies ("General Schedule"); 2) authorize the Chair to sign the resolution and execute the necessary documents on behalf of the Board; 3) authorize the County Manager and Clerk to the Board to execute the necessary documents as required by the NC Department of Natural and Cultural Resources; 4) following review by the County Attorney, authorize the County Manager to approve any subsequent amendments to the General Schedule; and 5) following review by the County Attorney, authorize the County Manager to approve any Department or Program-specific records retention schedules. BACKGROUND: The North Carolina Department of Natural and Cultural Resources ("NCDNCR") is directed by legislation to provide and administer records management services to state and local governments and to public colleges and universities. The NCDNCR fulfills that mandate by issuing guidance and best practice documents, creating records retention schedules and providing workshops, online tutorials and other forms of training to state and local officials. In addition to the NCDNCR schedules, many departmental record retention requirements are outlined in other NC laws and guidelines. In 2015, the Board of County Commissioners approved various Orange County Records Retention and Disposition Schedules, which included most record types managed by county governments. These schedules were approved by NCDNCR in 2016. At the time of County 2 approval, Orange County department records were covered under ten different schedules (County Management, County Board of Elections, Local Health Departments, Public Libraries, Public Transportation Systems, County Register of Deeds, County Sheriff, County Social Service Agencies, County Tax Administration, and County Veterans Services). At that time, NCDNCR retention schedules were amended when legal changes necessitated only a few records series be updated, but full schedule updates were postponed until recommended changes reach a critical mass. This approach presented numerous challenges for counties and departments for numerous reasons: • Counties that have a centralized records management program could not effectively create uniform retention policies that apply to all departments. • Employees who perform the same work in multiple agencies had to keep track of multiple retention schedules for their day-to-day records. • Agencies with a large quantity of unique, program-specific records had to wait longer to receive updates for their general office records because their program schedules took longer to update. • Certain county programs like Animal Control and GIS had different retention periods for their records depending on where the county located them administratively. To mitigate these challenges, NCDNCR transitioned the process IN 2019 for updating local records retention schedules to a new model: General Schedules and Program Record Schedules. Under the General Schedule model which was published in 2019, many record types that are common to all government agencies (Administration and Management, Budget, Fiscal, and Payroll, Geographic Information System (GIS), Information Technology, Legal, Personnel, Public Relations, and Risk Management records) were consolidated into one schedule, and will be updated on an annual basis going forward. Program Record Schedules, which include those records that are unique to County departments and services, will be developed over the next several years and updated on a rotating schedule. NCDNCR requires that the General Schedule be approved by the governing board in a regular open meeting. The signature page to the Schedule should then be signed by the Clerk, Manager, and the head of the governing body. FINANCIAL IMPACT: There is no financial impact associated with this item. SOCIAL JUSTICE IMPACT: The following Orange County Social Justice Goal is applicable to this item: • GOAL: ENABLE FULL CIVIC PARTICIPATION The approval of the General Schedule will ensure continued transparency in County government operations and consistent access to public records; both of which will positively affect the above Goal. ENVIRONMENTAL IMPACT: There is no Orange County Environmental Responsibility Goal impact associated with this item. 3 RECOMMENDATION(S): The Manager recommends that the Board: 1) Adopt the attached resolution confirming Orange County's adoption and enforcement of the redesigned General Records Retention and Disposition Schedule for Local Government Agencies; 2) Authorize the Chair to sign the resolution and execute the necessary documents on behalf of the Board; 3) Authorize the County Manager and Clerk to the Board to execute the necessary documents as required by the NC Department of Natural and Cultural Resources; 4) Following review by the County Attorney, authorize the County Manager to approve any subsequent amendments to the General Records Retention and Disposition Schedule; and 5) Following review by the County Attorney, authorize the County Manager to approve any department or program-specific records retention schedules. 4 RES-2021-052 DRAFT ORANGE COUNTY BOARD OF COMMISSIONERS RESOLUTION ADOPTING RECORDS RETENTION AND DISPOSITION SCHEDULES WHEREAS, Orange County recognizes that the long-term and/or permanent preservation of records requires institutional commitment and active management; and WHEREAS, Orange County departments manage and protect both active and inactive records, and determine how long information, data, and records must be retained based on applicable approved records retention schedules and North Carolina statutes and guidelines; and WHEREAS, Orange County complies with all policies, standards, and best practices published by the NC Department of Natural and Cultural Resources regarding the creation and management of records; and WHEREAS, certain record series possess only brief administrative, fiscal, legal, research, and reference value, such that administrative efficiency is served by establishing and enforcing internal policies setting minimum retention periods for these records in accordance with NC Department of Natural and Cultural Resources schedules; and WHEREAS, Orange County is requested by the NC Department of Natural and Cultural Resources to sign a statement of approval of all relevant published Records Retention and Disposition Schedules; and WHEREAS, Orange County shall comply with the provisions of Chapter 121 and 132 of the General Statutes of North Carolina, and with 07 NCAC 04M.0510 when deciding on the method of record destruction when records do not and will not have further use or value for official business, research, or reference purposes after the respective retention periods specified; and WHEREAS, Orange County retains records subject to audit or those legally required for ongoing official proceedings must be retained until released from such audits or official proceedings, including electronic records, not listed in the relevant Records Retention and Disposition Schedules. WHEREAS, Orange County desires to enter a Resolution confirming its commitment to records management and incorporating all relevant Retention and Disposition schedules published by the North Carolina Department of Natural and Cultural Resources. NOW, THEREFORE, BE IT ORDAINED AND RESOLVED by the Orange County Board of Commissioners that: 1. It is the continued policy of Orange County to retain records in accordance with all relevant retention and disposition schedules published by the NC Department of Natural and Cultural Resources. 5 2. It is the continued policy of Orange County to enforce applicable State and local laws relevant within its jurisdiction. 3. Orange County shall coordinate with the NC Department of Natural and Cultural Resources to ensure the continued implementation of these schedules through the Orange County records management program and departmental procedures. 4. Following review by the County Attorney's office, the County Manager is authorized to sign the 2019 General Records Schedule for Local Government Agencies, any future updates or amendments to this Schedule, and any department-specific or program-related records retention and disposition schedules. 5. Subsequent amendments of the retention schedules from the NC Department of Natural and Cultural Resources are subject to this resolution without adoption of a new resolution by Orange County Board of Commissioners. 6. The County Attorney's Office, in coordination with the designated county records management coordinator, will review published retention schedules at least every three years and if needed, will present an updated consolidated signature page to the County Manager. Adopted this the day of , 2021. Chair Orange County Board of Commissioners I, Laura Jensen, Clerk to the Board of Commissioners for the County of Orange, North Carolina, do hereby certify that the foregoing is a true and correct copy of so much of the proceedings of said Board for said County at a regular meeting held on the day of , 2021 as it relates to the adoption of the foregoing Resolution and that said proceedings are recorded in the minutes of said Board for said County. WITNESS my hand and official seal of said County this day of , 2021. [SEAL] Clerk to the Board 6 2019 Consolidated Local Government Agency Records Retention and Disposition Schedule Approval Orange County, NC The records retention and disposition schedules and retention periods governing the records series listed below are hereby approved. In accordance with the provisions of Chapters 121 and 132 of the General Statutes of North Carolina, it is agreed that the records do not and will not have further use or value for official business, research, or reference purposes after the respective retention periods specified herein and are authorized to be destroyed or otherwise disposed of by the agency or official having custody of them without further reference to or approval of either party to this agreement. Orange County Government agrees to comply with 07 NCAC 04M .0510 when deciding on a method of destruction. Confidential records will be destroyed in such a manner that the records cannot be practicably read or reconstructed. However, records subject to audit or those legally required for ongoing official proceedings must be retained until released from such audits or official proceedings, notwithstanding the instructions of this schedule. Public records, including electronic records, not listed in this schedule are not authorized to be destroyed. Orange County and the NC Department of Natural and Cultural Resources agree that certain records series possess only brief administrative, fiscal, legal, research, and reference value. These records series have been designated by retention periods that allow these records to be destroyed when "reference value ends." Orange County hereby agrees to establish and enforce internal policies setting minimum retention periods for the records that NC Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." As such, Orange County is demonstrating compliance with the provisions of the relevant published retention schedules and is authorized by the NC Department of Natural and Cultural Resources to destroy the records with the disposition instruction "destroy when reference value ends." Orange County and the NC Department of Natural and Cultural Resources concur that the long- term and/or permanent preservation of records requires additional commitment and active management by the agency. Orange County agrees to comply with all policies, standards, and best practices published by the NC Department of Natural and Cultural Resources regarding the creation and management of records. It is the responsibility of the NC Department of Natural and Cultural Resources to notify local government agencies of changes to published retention and disposition schedules. At Orange County, the Assistant Deputy Clerk II — Records Management is the point of contact for such notifications, and they will acknowledge receipt of such notifications of schedules or schedule amendments. Notifications may be given by electronic means and is deemed given when receipt is confirmed by return email. It is further agreed that these records may not be destroyed prior to the time periods stated; however, for sufficient reason they may be retained for longer periods. This Signature Page supersedes all previous Orange County signed records retention schedules and is to remain in effect from the date of approval until it is reviewed and updated. The County Attorney's Office, in coordination with the designated county records management coordinator, will review published retention schedules at least every three years and if needed,will present an updated consolidated signature page to the County Manager. Following are the records retention schedules applicable to Orange County, as outlined by the NC Department of Natural and Cultural Resources: 7 General Records Schedule for Local The General Records Schedule for Local Government Agencies was Government issued on March 1, 2019. Agencies The County Management Records Retention and Disposition County Management Schedule was issued on April 15, 2013. Amendments were made to Standard 4 in 2013, Standard 11 in 2014, and Standard 6 in 2016. County Social Service The County Social Service Agency Records Retention and Disposition Agencies Schedule was issued on July 1, 2016. County Tax The County Tax Administration Records Retention and Disposition Administration Schedule was issued on April 17, 2013. Amendments were made to Standard 5 in 2013 and Standard 12 in 2014. County Veterans The County Veterans Services Records Retention and Dispositioi Services Schedule was issued on November 1, 2004. Amendment was made t( Standard 4 in 2014. County Board of The County Board of Elections Records Retention and Disposition Elections Schedule was issued on April 4, 2012. Amendments were made to Standard 8 & Standard 9 in 2013 and Standard 5 in 2014. Local Health The Local Health Departments Records Retention and Disposition Departments Schedule was issued on March 1, 2019. The Public Libraries Records Retention and Disposition Schedule Public Libraries was issued on October 12, 2009. Amendment was made to Standard 5 in 2014. County Register of The County Register of Deeds Records Retention and Disposition Deeds Schedule was issued on October 10, 2012. Amendments were made to Standard 2 in 2013 and Standard 5 in 2014. _,_ Public Transportation The Public Transportations Systems and Authorities Records Retentioi Systems and and Disposition Schedule was issued on April 1, 2006. Amendment wa: Authorities made to Standard 5 in 2014. APPROVED 8 Bonnie B. Hammersley Sarah E. Koonts, Director Orange County Manager Division of Archives and Records Laura Jensen, Clerk D. Reid Wilson, Secretary Orange County Board of Commissioners Department of Natural and Cultural Resources