State Agency Records Liaisons Manual

In state agencies where the Chief Records Officer does not have subject matter expertise about all the records created by the agency or where the agency is divided into multiple divisions, it can be useful to have Records Liaisons. These Records Liaisons should be familiar with all the records created by and maintained in their department or office. Ideally, this responsibility will be included in a work plan so that specific tasks can be defined and evaluated and appropriate time allocated to the work.

For someone new to the position of Records Liaison, a good starting point would be developing a records inventory or a file plan. Collecting information about the records of your office will enable you to have a firmer grasp on the following questions:

  • What records, if any, are submitted to your office?
  • What records are created in your office?
  • How are these records organized?
  • What functions of state government are being fulfilled through the creation of these records?
  • If there are records that are circulated to multiple persons, which person/position is responsible for maintaining the record copies?
  • What records, if any, are submitted to another agency? Does that agency then bear the responsibility for retention of these records, or must your office also retain copies for a specified period of time?
  • What records, if any, are transferred to the State Records Center for temporary storage and eventual destruction?
  • What records, if any, are transferred to the State Archives for permanent retention?

A new records liaison should also find out what guidance, policies, or other documents your agency may have related to records management, such as:

  • Electronic records policies
  • Policies setting minimum retention periods for records scheduled with the disposition instruction “destroy when reference value ends”
  • SOPs that dictate certain agency records be retained beyond the minimum required by the Functional Schedule
  • Crosswalks between the Functional Schedule and your agency’s records
  • Records storage memoranda (provided to CROs, these memos summarize records eligible for transfer to the State Records Center and list transfers that have occurred since the last memo was issued)
Tab/Accordion Items

Records Liaisons should have a good understanding of the records being created and received by their division or office. As Records Liaisons get more familiar with their position, here are some questions they should be able to answer for their colleagues:

  • Who is our records analyst at the State Archives? 
  • Who is our Chief Records Officer? 
  • Who is our Public Information Officer?
  • Where is our retention schedule? 
  • Does my division/office have an electronic records policy? 
  • For records where numerous copies are circulated, who is responsible for retaining the record copy? 
  • How do I determine whether records are eligible for transfer to the State Records Center, either for temporary storage or for transfer to archival custody? What if I need to request the addition of a new series for transfer? 
  • How do I request materials from the State Records Center if I need to box records for transfer? 
  • How do I request pickup of eligible records to transfer to the State Records Center? 
  • How do I request agency records that have been temporarily stored at the State Records Center? 
  • How do I transfer archival electronic records to the State Archives? 
  • Does my division/office have legacy records stored at the State Records Center that need to be reassessed to determine their appropriate disposition?
  • Whom can I contact to find out if there is a legal, audit, or public records request hold on records? 
  • How do I get files shredded, once they have met their required retention? 
  • Who is responsible for maintaining the destructions log for my division/office? Who can authorize destructions? 
  • How does the State Records Center secure permission to destroy our records that have met their required retention? 
  • Does my division/office have publications or reports that need to transfer to the Library of North Carolina? 
  • What governing/advisory bodies are part of my division/office and how are their minutes scheduled?
  • Which positions in my division/office generate/receive archival email?

To maintain a good records regimen, there are certain records activities that should become routine. The steps below can be led by the Records Liaison. Follow these steps on an annual basis to keep your records in good shape.

Plan

The first step in maintaining your records is to know what you have. Create (or update) a file plan for your office so you can evaluate what records are being created and received, what the required retentions are, and where the records are being stored.

Communicate

Talk to your colleagues. Find out if there are new records being created or received that are not already addressed on your file plan and the Functional Schedule.

Organize

Encourage your colleagues to keep their records organized according to the file plan. Use good file naming practices for electronic records to ensure those records are accessible.

Transfer

Take advantage of the services provided by the State Records Center. Arrange to transfer all records eligible for temporary storage or designated for permanent retention at the State Archives.

Purge

Get administrative support to conduct destruction days at least annually so records that have met their required retention can be appropriately destroyed.

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