Per the Virginia Public Records Act (VPRA), every agency, regional authority, and each branch of local government must report the destruction of their public records to the Library of Virginia. To streamline this process, the Library has introduced the Certificate of Records Destruction (RM-3) form which enables government employees to report their destruction. To ensure that only eligible records are being destroyed (ie. records without pending FOIA requests, legal holds, pending audits, etc.), the Library has created a four-step process to reduce wrongful destruction.
This process begins with the Form Creator, who is likely an average office worker. Once the Form Creator completes the form, they send it to the Approving Official for review. The Approving Official will review the records listed on the form and will confirm that those records do not have any holds that would prevent their destruction. Once this review is complete, the Approving Official will send the form to the Records Officer, who will conduct a final review and will either authorize the destruction of the records or will halt the process. Once authorized, the form will remain stagnant until the actual destruction has taken place, at which point either the Form Creator or Records Officer will open the form once more to affirm the records have been destroyed, thus finalizing the form.
These finalized forms are housed in the Library’s databases and are available to be viewed by the public anytime and from anywhere. You can see which records were destroyed, when they were destroyed, and how many of them were destroyed. Just as the VPRA states that government employees must report destruction to the Library, it also grants the Library the authority to create and maintain the state’s retention schedules. These are documents which provide guidance to government employees trying to determine how long they ought to keep their records and how they should be destroyed. When completing an RM-3 form, government employees select a retention schedule and choose a set of files (AKA, a “records series”) from that schedule to show which records are being destroyed. Anyone can access the Library’s retention schedules to find out more about the records series a government employee has selected on their RM-3 form.
Finally, you’ll notice there are three types of retention schedules on the Library’s website: “General Schedules for Localities” used by local government entities, “General Schedules for State Agencies” used by state government entities, and “Specific Schedules for State Agencies” used exclusively by select agencies. Depending on whose RM-3 you’re viewing, this will alter the retention schedules and the records series available. If you have any questions about records management and the Library’s involvement in the process, please feel free to reach out to one of Library’s Records Management Analysts. These are the folks who assist government entities in crafting new retention schedules and records series, and each will be happy to demystify the process for you.
If you are a designated Records Officer or would like additional information on completing an RM-3, greater detail is provided in the expandable section below.
RM-3 Basics: Who Needs a Designation?
This short article helps to break down some of the roles found on the RM-3 Certificate of Records Destruction form and the RM-25 Records Officer Designation and Responsibilities form. For government workers trying to assign roles to their employees and for members of the public interested in learning more about Virginia’s records management programs, this post serves to make deciphering designations easier.
So, you want to fill out the RM-3 form…
Oftentimes, when clients want to fill out the RM-3 Certificate of Records Destruction form, they end up designating more individuals as Records Officers or Records Coordinators than they actually need. This post will demystify who needs to have a designation and who doesn’t. (Pro Tip: Most folks don’t need any designation at all! Hooray! Less paperwork!😊)
Records Officers
We’ll start with the most powerful of the bunch: the Records Officers (RO).
ROs are the individuals responsible for their office’s (or agency’s) records management program. They’re the ones who should be the most familiar with records management and retention schedules and should be using their knowledge to educate their coworkers about the public records they are creating. They serve as the primary contact for their office’s records management needs, and their coworkers should approach them with records management questions before reaching out to the Library of Virginia (LVA). Oftentimes, the office’s RO will have the answers folks are looking for!
As part of maintaining a records management program for the office, the RO should be making sure RM-3 forms are being completed at regular intervals. Depending on whether an RO is assigned to an entire agency, division, or department, this may entail checking in with individuals from around the agency or locality to ensure their departments are reporting destruction.
In addition to the responsibility of maintaining an informed records management program, ROs are also the people who give the final approval on the RM-3. When filling out the RM-3, you’ll see a drop-down box for ROs populated with the name(s) of the individual(s) assigned for your department. While these employees do not need to be the original Form Creator (FC) for the RM-3, they will be required to check over the records being submitted for destruction to ensure they are being destroyed appropriately.
In the event of a small office with only a handful of workers, it is perfectly okay for the RO to be the FC. In cases such as this, we advise that you at least provide another contact for the Approving Official (AO) role so that you have some back-up just as a precaution. The AO should be someone who can testify that the records slated for destruction do not have any pending FOIA requests, litigation, or other similar holds.
While almost everyone in a government work environment will come into contact with or create public records, not everyone needs to be designated an RO. The only people who should be designated on the RM-25 Records Officer Designation and Responsibilities form as ROs are those who are being given the responsibility of managing their office’s records management program. Typically, this might consist of one or two individuals: one as the primary RO while the other acts as a support.
Reasons to consider having two ROs:
- Your primary RO leaves and there is no immediate replacement.
- Your primary RO goes on long-term leave.
- Your primary RO gets pulled away for an important project.
More than two ROs for one department or office is not advised and is usually unnecessary.
Records Coordinators
Records Coordinators (RCs) are exclusively assigned for agencies and certain localities which utilize the State Records Center (SRC). Those who do not use the SRC do not need to designate RCs and should skip this role on the RM-25 form as it does not apply to them.
Individuals who are assigned as RCs are granted Infolinx access, enabling them to send, manage, and recall records boxes from the SRC. These workers do not have the ability to give final approval for records destruction. Instead, their role exists simply as a means to give them access to Infolinx.
Just like with ROs, RCs can be FCs and/or AOs on the RM-3, but do not have to be.
Reasons to designate a RC:
- Your RO is too busy to manage Infolinx on their own.
- Your agency makes heavy use of the SRC.
- Multiple departments have long-term files which need to be stored at the SRC.
Determining how many RCs ought to be designated is agency- and use-dependent. If your agency is large and sends many records boxes to the SRC, you may consider submitting RM-25s for several individuals. If your agency is small and only has a handful of boxes stored at the SRC, it may be better to only have one or two RCs to specifically assist the RO with Infolinx.
It is worth noting that ROs at most agencies will have access to Infolinx as well. Should you have any questions about your own agency’s Infolinx access, please contact your assigned LVA Records Analyst.
Form Creators and Approving Officials
Everyone in a government office creates or receives public records. They’re a natural byproduct of completing our work. From folks in Directorship positions to those in HR, from the individuals in Finance to people in Marketing, everyone comes into contact with public records. All employees make, maintain, and destroy them. But that doesn’t make everyone an RO or an RC. When you go to fill out the RM-3 and want to select an RO, you don’t want a nauseating list of names of people you’ve never even heard of to appear. More isn’t always better and, when you’re trying to fill out a form as efficiently as possible, more can be worse!
To cut down on this problem, follow the advice listed in the RO section of this post by highlighting one or two individuals to assign to this role and ensure that other office workers are aware of who they are and how to contact them. If you already have a long list and would like to reduce it, please contact your assigned LVA Records Analyst for assistance.
A common misconception is that someone needs to be designated an RO or RC to fill out the RM-3. There is no official designation necessary to be a Form Creator or an Approving Official. Any employee can act in those capacities. The only caveat to this is that AOs should have some knowledge of whether or not there is a reason the records slated for destruction should not be destroyed (see the RO section above).
While everyone should strive to have some awareness of retention schedules, not everyone needs to tackle the responsibilities of a RO or RC. By being selective in designating individuals for those roles, you’re helping the office workers who are less familiar with records management to complete RM-3 forms with minimal confusion and stress.
If you’re uncertain about who should/shouldn’t be an RO or RC, please reach out to your assigned LVA Records Analyst.
