Effectively Performing Your Responsibilities as Records Officer
As Records Officer, you have been selected by your agency to serve as “official" liaison to Kentucky Department for Libraries and Archives (KDLA) and the State Records Branch, leading the current records management program within your agency, pursuant to 725 KAR 1:010. A proper and sound records management program helps to assure effective and efficient administration of programs, fulfill legal responsibilities, provide an adequate audit trail, and record the history and intent of public policy.
In accordance with KRS 171.410 - 171.740, KDLA is directly responsible for establishing and revising each public agency's records retention schedule in conjunction with the agency's Records Officer. Revisions to the retention schedule are approved by the State Libraries, Archives, and Records Commission. The Commission has exclusive authority on destruction of public records in the Commonwealth.
Kentucky defines a public record as “all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings, and other documentary materials, regardless of physical form or characteristics, which are prepared, owned, used, in the possession of or retained by a public agency" (KRS 171.410 (1)).
While you have been designated as the official Records Officer, it is important to remember that everyone is responsible for records management, from analyst to Commissioner. Since all public agencies create and maintain public records, the retention and disposition of those public records should be done in accordance with the appropriate, approved Records Retention Schedules:
- General Schedule for State Agencies
- Agency-Specific Retention Schedule
Where do I start?
To begin, our website is KDLA.KY.GOV. Information about what services both State and Electronic Records Branches provide to Commonwealth employees can be found on the “Records Management" tab at the top of our home page.
Some helpful links and PDFs to bookmark would be:
When we at KDLA talk about “records," we are talking about both paper and electronic public records created, maintained by, or in the possession of the agency.
The retention of non-permanent records is not dependent on the record's format. Non-permanent records scheduled on the retention schedule are format neutral. KDLA recommends the agency keep records in a consistent format throughout.
Permanent records that are originally created in paper or other hardcopy, eye-readable format must be retained in that eye-readable format unless an Eye-Readable Exemption is successfully petitioned.
What is expected of me as Records Officer?
The most important thing to remember as the Records Officer is that your State Records Administrator as well as the Electronic Records Administrator are available to help answer any records management questions you or the agency has. Communication is the key to success in the relationship you form with your State Records Administrator.
- The State Records Branch has two Records Administrators, who assist with updating agency retention schedules, provide virtual and in-person records management trainings, assist with KDLA-required form and petition completion, and give guidance to KDLA records management practices and policies. To find your State Records Administrator, visit: https://kdla.ky.gov/records/RetentionSchedules/Pages/State-Government-Records-Retention-Schedules.aspx
- The Electronic Records Administrator works with all local and state agencies to provide guidance on maintaining records electronically. They also provide guidance on the Electronic Systems Description form and Eye-Readable Exemption, as well as provide a variety of trainings. Contact the Electronic Records Administrator with questions at electronic.records@ky.gov.
Maintaining the agency-specific retention schedule is a continual project you will work on with your Records Administrator during your tenure as Records Officer. This living document should be a complete and comprehensive inventory of agency-specific records created, used, and maintained by the agency.
Updates to the schedule can include:
- Adding new record series that are not yet scheduled.
- Records not scheduled on the retention schedule are considered permanent until the addition is reviewed and approved by the State Libraries, Archives, and Records Commission.
- Revising current record series on the retention schedule to align workflow with the retention and disposition of the series.
- KDLA and the agency can revise the Title, Function & Use, Contents, and the Retention & Disposition to make sure it matches the current agency practices and workflows.
- Revision can also focus on cleaning up outdated language and removing record series representing databases from the retention schedule.
- It is no longer KDLA practice to schedule electronic systems as record series on the retention schedule. By removing series representing electronic systems and databases, our Electronic Records Administrator can work with the agency to inventory their electronic systems via our Systems Descriptions Form.
- Deleting record series off the retention schedule that are no longer created, the record's retention has been met, and the records have been properly disposed of with a completed destruction certificate sent to KDLA for processing.
- Closing record series for records that are no longer created by the agency, but the record's retention has not been met and therefore must be retained.
- Closed records can eventually be deleted once the records have met retention and have been properly disposed of.
All retention revisions, excluding the completion of the systems descriptions with the Electronic Records Administrator, are presented for review to the State Archives and Records Management Advisory Committee (Advisory Committee), who recommend approval, and the State Libraries, Archives, and Records Commission (Commission), who provide final approval. Both the Advisory Committee and Commission meet quarterly in March, June, September, and December to review and approve retention schedule revisions and preside over various Records Management issues.
The Commission has the authority to review and approve all records retention schedules submitted by state and local public agencies through KDLA (KRS 171.420 and 171.670). A current and accurate retention schedule ensures agency accountability and transparency and provides agencies with a valuable resource with which to respond to Open Records Requests under Kentucky's Open Records Law.
The Records Officer will also be responsible for:
- Maintaining a records inventory to make sure records created by the agency are being accurately represented on the retention schedule.
- Advising agency staff on KDLA-guided records management procedures.
- Taking into consideration new and advancing preservation techniques to provide continual access to long-term or permanent records.
- Overseeing the transfer of records and publications to both KDLA repositories.
- Supervising the authorized destruction of records within the agency.
- Remember that without an approved record series on the retention schedule, agencies do not have legal authority to destroy the records in question.
Are trainings available?
Both State and Electronic Records Branches offer general and specialized records management trainings. The Administrators provide a quarterly, 90-minute training which goes over all the basics of Records Management including public records law, electronic records management, and records transfer & destruction. This training can be taken by any state employee and is available quarterly through MyPurpose via KHRIS.
Additionally, the State Records Branch provides agency-specific trainings either in-person or virtually to review in-depth, agency questions pertaining to records management. The Electronic Records Branch offers topic-specific trainings on email/social media records management, digitization of born-paper records, and long-term electronic records preservation. To request a specific training with KDLA Records Administrators, submit the Training Request Form.
The Records Management Branches of KDLA are continually working together to produce future on-demand trainings on all records management topics relevant to Commonwealth employees.
What forms should I have to complete?
Further helpful links and forms to bookmark would be: