Records Management

A.To outline the required procedures for preparing Records Control Schedules, storing inactive records, records disposal, and the transfer of permanent historical records to the State Archives.

A.This Regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws Title 38 (“Public Records”), including expressly but without limitation R.I. Gen. Laws §§ 38-3-1 et seq., as hereafter revised and amended (the “Public Records Administration Act”).

A.These Regulations hereby adopt and incorporate by reference the following standards, not including subsequent editions or amendments thereof and only to the extent that the provisions therein are not inconsistent with these Regulations:

1.Federal Information Processing Standards ANSI/AIIM MS44-1988 (R1993);

2.Federal Information Processing Standards ANSI/AIIM MS19-1993; and

3.International Organization for Standardization protocol ISO 19005-1 (2005).

A.For the purpose of this Part:

1.“Agency” means any department, division, board, commission, office, or quasi-public corporation under any branch of State or local government which performs functions relating to government or acts on behalf of a governmental agency.

2.“Born digital” means Records that are created using computers or other electronic or processing devices.

3.“Certification of records destruction” or “Certification of emergency records destruction” means the form approved by the Agency head or their designee and the State Archivist and/or Public Records Administrator, authorizing the destruction of a Record and serving thereafter as the valid and legal substitute for the destroyed Record following destruction or other permitted disposition.

4.“Conversion” means the transfer of digital data to an alternate or revised digital format, particularly but not limited to converting data from an obsolete format to a current format.

5.“Digital records preservation strategy” means a plan developed and delivered by an agency to the Public Records Administration prior to executing a Digitizing project.

6."Digitally generated signature" means any signature that is created and/or generated by a computer software program that is:

a.Created using a digital font; or

b.A non-certified image or scan of a "wet signature".

7."Digitally certified signature" means any signature that is a certified image or scan of a "wet signature" that can be verified.

8.“Digitizing” means the conversion of physical documents into a digital/electronic format.

9.“Disposal” or “Disposition” means the final destruction of records, as determined by an applicable Records Control Schedule, or transfer of records of historical value to the State Archives for permanent storage.

10.“Electronic mail” or “email” means any message or correspondence created, sent, or received within an electronic mail/email system which concerns public business, demonstrates agency business, or serves a public function.

11.“Electronic record” means all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data processing records, computer stored data, including email messages, or other non-physical materials or media digitally created or scanned into digital form.

12.“General officer” means an official appointed for a term of office specified by the constitution or a statute of this State or who is appointed by or through the governing body or highest official of State government;

13.“Local Government Records Program” or "LGRP" means the unit within the Public Records Administration which shall be primarily responsible for assisting cities and towns with the care and management of their public records. The program shall be charged with designing and implementing a training program for local government records keepers; publishing retention schedules for the proper disposition of public records in local governments in adherence to § 1.6 of this Part; and providing technical and advisory assistance in the storage, preservation, and ongoing maintenance of the records of local governments.

14."Local government representative" means the representative designated by the municipal department or division who is responsible for the operation of a records management program for the municipality and related communications with the Public Records Administration, Local Government Records Program.

15.“Microfilm” means transparent film containing highly reduced copies of documents.

16."Personal paper(s)" means documents unrelated to work but maintained at a place of work by an employee or general officers of the State government of Rhode Island as established in R.I. Gen. Laws § 42-8.1-2(10).

17.“Public record(s)” or “Record(s)” means all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, or other materials, regardless of physical form or characteristics, which are created or received by an agency, office, or general officer, either pursuant to law or relating to the transaction of public business, and which serve as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Agency or otherwise contain official government data.

18.“Public Records Administration” or "PRA" means the function of government established by R.I. Gen. Laws §§ 38-3-1 et seq. (Public Records Administration Act), as supervised, directed and coordinated by the Public Records Administrator.

19.“Record copy” means the record that an agency designates as the official record for legal and business purposes, and to which the Agency applies records management policy measures for the protection, security, maintenance and/or preservation thereof.

20.“Record series” means a collection of records maintained as a group and derived from or related to a particular subject, activity or function of an agency.

21.“Records control schedule” or “Records retention schedule” means the document or documents establishing the official retention, maintenance, and disposal requirements for a record or record series, based upon any administrative, legal, fiscal, and/or historical value related to that record or record series.

22.“Records officer” means the representative designated by the Agency head who is responsible for the operation of the records management program for the Agency and related communications with the Public Records Administration.

23.“Retention” means the duration of time that a record, record series, or other information shall be maintained.

24.“Scanning” means the process by which physical documents are digitally imaged, including without limitation electronic .pdf and .tiff files.

25.“State Archives” means the official State repository for records of long-term or permanent legal or historical value.

26.“State Records Center” means the program managed by the Public Records Administration for the storage and maintenance of State agency records.

27.“Violation” means any act of non-compliance with these Regulations and the applicable laws of the State of Rhode Island.

28."Wet signature" means a handwritten physical ink signature.

A.The State Agency Records Officer (§ 1.5.1 of this Part), or Local Government Representative, shall be responsible for:

1.The creation of and adherence to the records management policy and Records Control Schedule(s) for the Agency, in consultation with the PRA or LGRP, including:

a.Inventorying records for the purpose of scheduling or amendment; and

b.Confirming annually that their agency specific, general, or municipal Records Control Schedule does not require an amendment;

2.Communicating with the PRA or LGRP on behalf of the Agency in all matters of public records management and compliance; and

3.Submission of Certifications of Records Destruction to the PRA or LGRP to request acceptable destruction of public records.

1.5.1Designation of a State Agency Records Officer

A.The head of each State agency is responsible for designating a person to be the Records Officer for that Agency and its divisions for the management of public records generated and received by that State agency.

1.State agencies must submit a completed “Records Officer Designation Form”, signed by the head of the State agency, within thirty (30) days of the appointment of a new Records Officer, to the PRA by email to [email protected] or by mail to the Office of the Secretary of State, Public Records Administration, 33 Broad Street, Providence, Rhode Island 02903.

2.The designation will be complete upon email confirmation by the PRA.

3.In the absence of or failure to designate a Records Officer, the head of the State agency shall be responsible for the duties of the Records Officer and records management for the State agency until a Records Officer is appointed.

A.The Agency, through the State Agency Records Officer, or Local Government Representative, will collaborate with the PRA or LGRP on the development, amendment, and revision of agency specific, general, or municipal Records Control Schedules. The State Agency Records Officer, or Local Government Representative, shall:

1.Submit a new schedule request form or amendment form to the PRA or LGRP for the development of a Records Control Schedule;

2.Develop a project timetable in collaboration with the PRA or LGRP;

3.Complete appropriate forms for the development of record series and records inventory;

4.Acknowledge and certify receipt of the Records Control Schedule draft provided to the Agency by the PRA;

5.Approve or provide comments on the draft Records Control Schedule within ninety (90) days of receipt;

a.Failure to respond will nullify the draft Records Control Schedule.

6.Submit the State agency’s signed final approval to the PRA, or Local Government Representative's feedback to the LGRP, within sixty (60) days of receipt of the final draft; and

a.Failure to submit final approval of the proposed Records Control Schedule will result in the suspension of destruction of all records of the Agency until the PRA's or LGRP's receipt of final approval.

7.Implement the Records Control Schedule upon formal notification of approval from the Public Records Administrator, Attorney General, and Auditor General.

B.The State Agency Records Officer, or Local Government Representative, is responsible for developing a records management program and protocols in compliance with the Records Control Schedule. The State Agency Records Officer, or Local Government Representative, shall:

1.Process and submit proper documentation to the PRA or LGRP for disposal or disposition in accordance with the established Records Control Schedule; and

2.Secure and preserve public records in accordance with all applicable retention and disposal requirements.

C.A record series is created to document a specific agency transaction or function, to promote effective retrieval, and to expedite the development of Records Control Schedules.

1.A record series is comprised of the following elements:

a.A specific and descriptive title and number unique to the record series;

b.A description of the function and associated business of the record series;

c.A reasonable, general description of the types of records included in the record series; and

d.A specific retention requirement.

D.Public records cannot be destroyed if they are not on a Records Control Schedule.

1.7.1Active Physical Records

A.Records designated essential by the Agency for the transaction of agency business will be stored on-site in compliance with secure storage standards. These records shall:

1.Be kept at minimum four inches (4") off the floor and away from sources of water in fireproof rooms, vaults, or safes rated to preserve the contents for a minimum of four (4) hours at two thousand degrees Fahrenheit (2,000° F);

2.Be made available and accessible within ten (10) business days of a written Access to Public Records request to the Agency made pursuant R.I. Gen. Laws § 38-2-3(e); and

3.Be maintained in accordance with the public records policy established by the State Agency Records Officer, or Local Government Representative.

1.7.2Electronic Records

A.Electronic Records shall be securely maintained subject to applicable retention periods, per Part 2 of this Subchapter. Such records shall:

1.Be maintained in reasonable accessible format for the entire life of the record per R.I. Gen. Laws § 42-127.1-12; and

2.Be considered for conversion to updated electronic and file formats no less frequently than once every three (3) years, or as otherwise reflected in current best practices for the reasonable avoidance of media deterioration and/or obsolescence.

B.Records which the Agency seeks to preserve digitally shall adhere in each instance to the standards set forth in § 1.3 of this Part and Part 2 of this Subchapter, in addition to the foregoing:

1.Digitizing of public records from paper to digital format using archival standards shall be deemed the digital preservation of non-permanent records. The State Agency Records Officer or Local Government Representative:

a.Shall submit to the PRA or LGRP the Notice of Intent to Digitize form prior to executing a digitizing project;

b.May be required by the PRA or LGRP to submit a Digital Preservation Plan form prior to executing a digitizing project; and

c.Shall submit to the PRA or LGRP the Certification of Records Destruction prior to the destruction of digitized physical records (§§ 1.8.1 or 1.8.2 of this Part).

2.Except as otherwise determined hereafter by the PRA or LGRP, microfilm of physical public records with a permanent retention requirement shall serve as the sole permitted, legal replacement for said public records.

a.Records with a permanent or long-term retention requirement are eligible for microfilming pursuant to R.I. Gen. Laws § 38-3-5.1.

b.Microfilming must be completed in adherence to the ANSI/AIIM MS19–1993 standards and recommendations incorporated above at § 1.3 of this Part.

1.7.3Inactive Physical State Agency Records

A.Where records are designated as non-essential for the transaction of State agency business and the State agency determines such records are not required to be stored on-site at the State agency’s primary offices or place of business, such records shall be stored off-site exclusively with the State Records Center.

1.Records shall be stored in the State Records Center until such time for disposal or disposition as is provided in the applicable Records Control Schedule.

2.The State agency shall retain title and ownership of any record of the State agency stored in the State Records Center.

3.Records stored in the State Records Center shall be made accessible to the State agency in response to requests for access to public records made to the State agency.

4.Records shall be sent into the State Records Center following the transmittal process as required by the PRA.

a.All records shall be identified and described prior to storage in the required fields within the transmittal forms, including, but not limited to, the associated record series and destruction eligibility dates if not deemed of permanent value.

b.Up-to-date descriptions shall be submitted with data update transmittal forms for records already stored at the State Records Center for records that are under-described due to previous offsite storage vendor data limitations, as requested by the PRA.

A.Records which have met the applicable retention requirement in compliance with the approved Records Control Schedule shall be physically and permanently destroyed in a timely and appropriate manner per R.I. Gen. Laws § 38-1-10, only after a Certification of Records Destruction has been approved by the PRA or LGRP, as follows:

1.Records in custody of the Agency shall be destroyed by the Agency or an approved vendor; or

2.State agency records in custody of the State Records Center shall be destroyed by the PRA or an affiliate vendor.

1.8.1Certification of Records Destruction

A.The State Agency Records Officer, or Local Government Representative, shall submit to the PRA, or LGRP, the Certification of Records Destruction prior to destruction of any record, regardless of format. For records which have been affected by natural or other disaster, see § 1.8.2 of this Part. The Certification of Records Destruction:

1.Shall be signed by the Agency head or their designee with a digitally certified or wet signature;

2.Shall be signed by the State Archivist/Public Records Administrator or their designee with a digitally certified or wet signature; and

3.Shall be eligible for records disposal by the Agency solely upon confirmation by the State Archivist/Public Records Administrator or their designee that the Certification of Records Destruction has been executed by each required party.

a.No public record shall be destroyed or otherwise disposed of by any agency without prior notice to, and approval by, the PRA or LGRP.

B.The counter-signed Certification of Records Destruction shall thereafter be a permanent record of the Agency and will be maintained as the legal replacement for destroyed records.

1.8.2Certification of Emergency Records Destruction

A.Records which have been compromised, rendered illegible, reasonably evidenced as posing a public health hazard or otherwise unusable due to catastrophe, natural disaster or other event shall be issued a Certification of Emergency Records Destruction and may be disposed of thereafter with prior written approval from the PRA or LGRP, including confirmation by the State Archivist/Public Records Administrator of execution by each of the required parties. If records that may be compromised are identified, the Agency must:

1.Immediately contact the PRA at [email protected], the LGRP at [email protected], or call (401) 222-2353.

2.Allow a member of the PRA or LGRP to conduct a site visit to assess the records before any action is taken to dispose of records.

3.Provide clear evidence, such as photo documentation and a detailed incident report, that records are unsalvageable and that every effort has been made to either create a reproduction or rescue the records prior to seeking approval for disposition via the Certification of Emergency Records Destruction. The Certification of Emergency Records Destruction:

a.Shall be signed by the Agency head or their designee with a digitally certified or wet signature;

b.Shall be signed by the State Archivist/Public Records Administrator or their designee with a digitally certified or wet signature; and

c.Upon approval, records shall be safely destroyed by the Agency or an appropriate affiliate vendor contracted by the Agency and specializing in disaster mitigation and document destruction.

(1)No public record shall be destroyed or otherwise disposed of by any agency without prior notice to, and approval by, the PRA or LGRP.

B.The counter-signed Certification of Emergency Records Destruction shall thereafter be a permanent record of the Agency and will be maintained as the legal replacement for destroyed records.

1.8.3Transfer of State Agency Records to State Archives

A.The State agency may request the State Archives, as the official State Repository, to accept the possession and custody of records with a permanent retention requirement, and which have no present legal or administrative value to the State agency but are deemed by the State Archivist/Public Records Administrator and the Attorney General or the Auditor General to be of permanent or historical value.

BState Agency public records determined to be of permanent value according to the Records Control Schedule and by the State Archivist/Public Records Administrator, shall be transferred to the State Archives following assessment after the twentieth (20th) year if transfer of custody is in the best interest of the record(s).

1.A list of all such records transferred, together with a statement certifying compliance with the provisions of research and access as provided in R.I. Gen. Laws § 42-8.1-11, shall be preserved in the files of both the State agency and the State Archives.

2.Public records created or received by general officers or other senior officials which relate to or have an effect upon the carrying out of the constitutional, statutory, or other official duties carried out on behalf of the State, shall be transferred at the end of the elected official's term within thirty (30) days of leaving such office.

C.The State Archives shall:

1.Organize and administer the transfer of custody of such records; and

2.Make available to the public records so transferred except those records not deemed public per R.I. Gen. Laws §§ 38-2-2(4)(A) through (BB).

A.If any provision of these Regulations or the application thereof to any Person or circumstances is held invalid by a court of competent jurisdiction, the validity of the remainder of the Regulations shall not be affected thereby.