COUNTY OF FAUQUIER

Records Management Plan

The Records Management Plan with its component, the Records Management Manual Virginia Public Records Management Manual, is designed to ensure a high level of customer service.  The Plan provides a comprehensive, uniform system for the efficient management, access, elimination and storage of County records.  The purpose of the Plan is to:

• define a records management policy
• retrieve, store and safeguard records
• archive records for the use of future generations
• destroy outdated records for efficient storage space management

The following paragraphs summarize the components of the Plan.

Records Management Policy

• A Countywide Records Manager appointed by the County Administrator will coordinate the implementation and maintenance of the Records Management Policy.
• Department Records Coordinators appointed by the department heads will implement and maintain departmental records under the direction of the Records Manager.
• The Fauquier County Records Management Manual (RMM) prepared in accord with the Library of Virginia The Virginia Public Records Management Manual will serve as the official policy and technical guide to records management.
• The Department Records Coordinators will be trained by the Records Manager initially and periodically in the use of the RMM VPRMM
• A three-member Records Management Advisory Committee appointed by the County Administrator will meet at least once annually with the Records Manager to review, evaluate and update the Records Management Policy and its administration and recommend to the County Administrator any necessary changes, and consider appeals.

Retrieval, Storage and Protection of Records

• As funds are available, all departments will duplicate vital records as defined in the RMM for the purpose of storing duplicate records in a secure off-site location.
• The RMM will be amended periodically by the Records Manager and Records Management Advisory Committee with approval by the County Administrator to reflect advanced storage, retrieval and safety systems for various record types.
• The County will continue to explore the potential of using a Geographic Information System  an Information Technology System for managing records.

Archival, Retention/Disposition of Records

• Archival records will be retained as regulated by the Library of Virginia under the provisions of Section 42.1-76 et. seq. of the Code of Virginia.
• Destruction of records will be implemented in accordance with the Library of Virginia policies.
• The Records Center of the Library of Virginia may be used for permanent storage of Library of Virginia defined archival/permanent records.  All other archival/permanent records will be stored at a County records preservation site specified by the Records Manager.

Electronic Records

• Electronic records consist of magnetic tapes and disks, optical disks, compact disks (CD), and any other form of magnetic, electronic, or digital media and their associated software programs, documentation, manuals or instructions.
• The retention and disposition requirements for all records are the same regardless of their format (paper, microfilm, or electronic).
• Electronic records not listed on a retention schedule must be added.

Disaster Plan

• A specific plan for the protection, recovery, and/or salvage of public records involved in a disaster will be developed and included in the County’s Emergency Operations Plan at the earliest possible date.

COUNTY OF FAUQUIER

RECORDS MANAGEMENT MANUAL

I.          Records Management Plan/Policy, Purpose and Scope

The purpose of the Fauquier County Records Management Plan is to establish a uniform County policy to provide effective controls over the creation, distribution, use, retention, storage, retrieval, protection, preservation and final disposition of the records which are essential to the administration of the County.  Pursuant to a resolution adopted by the Board of Supervisors at its April 19, 2004 meeting, the County’s program was created to:

            A.        Provide for the proper and efficient management of the public records of Fauquier County from creation to disposition in the following sequence:

                        1.         Preparation for records storage

                        2.         Creation and maintenance of a records storage system

                        3.         Rapid retrieval

                        4.         Retention and disposition scheduling

                        5.         Microfilm or optical imaging applications

                        6.         Destruction or transfer to archives or permanent storage

                        7.         Disaster planning and recovery

            B.         Promote efficient administrative practices through the designation of a County Records Manager and Department Records Coordinators. and a Records Management Advisory Committee.

            C.        Minimize overhead expense, reduce need for office space, filing equipment, file maintenance and staff time.

D.                 Improve responsiveness to information retrieval requests by the public.

II.         Authority, Duties and Responsibilities

            A.        Pursuant to Section 42.1-85 of the Virginia Public Records Act, a Records Manager will be appointed by the County Administrator to administer the Records Management Plan and serve as the County’s liaison to the Library of Virginia with the following specific duties:

                        1.         Maintain and annually distribute to Department Records Coordinators the most current edition of the County of Fauquier Records Management Plan and Records Retention and Disposition Schedules, which serve, in conjunction with the Library of Virginia – Virginia Public Records Management Manual, as the official policy and technical guides for records management.

                        2.         Assure that records are periodically transferred to the Library of Virginia Records Center in accordance with the Library of Virginia – Virginia Public Records Management Manual or to the County Records Preservation Site, as appropriate.

                        3.         Provide annual training and ongoing technical assistance and direction to the Department Records Coordinators regarding all policies and procedures of the Records Management Plan.

                        4.         Meet at least once annually with the Records Management Advisory Committee to review and evaluate the County’s Records Management Policy and administration, and provide reports concerning appeals that may come before the Committee.

            B.         The Department Heads have the authority and responsibility to:

                        1.         Appoint Department Records Coordinators to administer the department’s Records Management Program.

                        2.         Maintain a departmental Records Retention and Disposition Schedule which accurately lists all department records.

                        3.         Assure that records are periodically transferred to the Library of Virginia Records Center or to the County’s Records Preservation Site through the Records Manager.

                        4.         Review the department’s Records Retention and Disposition Schedule at least once annually periodically to ensure it is complete and accurate.

            C.        The Department Records Coordinators will be appointed by the appropriate department heads to administer the records management program within their department or division.  The Department Records Coordinators will adhere to the records management policies set forth herein with the following specific duties:

                        1.         Prepare and maintain a master records inventory of all file series within the department or division.

                        2.         In accordance with the department or division Records Retention and Disposition Schedule, establish an ongoing, periodic calendar for destroying records or forwarding records to the Library of Virginia Records Center or to the County’s Records Preservation Site as directed by the Records Manager.

                        3.         Assist and provide technical guidance and training to involved personnel within the department and provide liaison with the Records Manager.

            D.        The Records Management Advisory Committee will be appointed by the County Administrator to oversee the administration of the Records Management Plan.  The Committee will consist of three members comprising one department head, one division chief and one non-managerial staff member and will undertake the following duties:

                        1.         Establish a system to prevent the multiplicity and fragmentation of records among departments by specifying primary guardianship.

                        2.         Meet with the Records Manager at least once annually to review, evaluate and update the Records Management Plan and its administration.  Recommendations regarding necessary changes will be made to the County Administrator and implemented with the Board of Supervisors’ approval.

3.                  Provide guidance for the administration of the Records Management Plan when requested by the Records Manager or the County Administrator.

4.                  Consider and decide upon written appeals to the administration of the Records Management Plan.  Prior to consideration of such appeals, the Records Manager will provide to the Committee a written report which will be considered in making a decision on the appeal.

III.       Retrieval, Storage and Protection of Records

            A.        The Library of Virginia – Virginia Public Records Management Manual will serve as the official policy and technical guide for records retrieval, storage and protection.

            B.         A master records inventory of all files within each department and division must be prepared and retained in the Department. updated on an annual basis and forwarded to the Records Manager on the specified forms.

            C.        Prioir to destruction of records, aA department Records Retention and Disposition Schedule, based on the Library of Virginia Records Retention and Disposition Schedule, must be updated annually for submission submitted to the Records Manager.  This Schedule may be supplemented to indicate archival/permanent records that do not appear on the Library of Virginia schedule and require storage at the County Records Preservation Site.  All department and division schedules and suggested modifications to the Library of Virginia schedule must be routed through the Records Manager to be forwarded for approval by the Library of Virginia Records Analysis Section.

            D.        All vital records, as defined in the Library of Virginia - Virginia Public Records Management Manual, must be identified and duplicated for storage off-site as directed by the Records Manager.

IV.       Archival and Historic Records Retention/Disposition of Records

            A.        Archival records will be retained as regulated by the provisions of Section 42.1-82 of the Code of Virginia and permanently stored in the Library of Virginia Archives.  All historic records not specified as “permanent” or “archival” in a current Library of Virginia Records Retention and Disposition Schedule will be stored at the Fauquier County Records Preservation Site.

            B.         A Records Transfer and Receipt provided by the Records Manager must be prepared and returned to the Records Manager for transmittal of archival or permanent records to the Library of Virginia Records Center.

            C.        Records scheduled for transfer to the Library of Virginia Records Center must be stored in acid-free boxes approved by the Records Manager.

            D.        Approval for destruction of records, including permanent records that have been converted to another physical format (such as microfilming), must be requested on forms provided by the Records Manager at least thirty days prior to destruction.  Records scheduled for destruction, as defined in the Library of Virginia Records Retention and Disposition Schedule, must be clearly marked “Destroy after (date)” if they are stored in the Library of Virginia Records Center.  (If an investigation or litigation is pending or ongoing, records cannot be destroyed until the investigation is completed or the litigation resolved.)

V.        Disaster Response

            A.        The department master records inventories, which identify the subject and location of records, will be stored in a secure, off-site location to expedite the removal/retrieval of vital and archival/permanent records in an emergency such as a flood, fire, hurricane or earthquake.

            B.         In the event of a disaster, the initiation of communications, assessment of record damages and salvage of records will be performed in accord with the County’s Emergency Operations Plan.

            C.        The Records Manager will contact the Library of Virginia immediately for assistance in implementing a record evacuation/salvage procedure.

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