public records management in washington state the basics

Washington State Archives

Washington State Archives: Documenting Democracy

Public Records Management

In Washington State

The BasicsPresented by:

Michael S. SaundersPuget Sound Regional ArchivistPhone: 425-564-3950Fax: 425-564-3945msaunder@bcc.ctc.edu

Local GovernmentGeneral Records Retention Schedules

http://www.sos.wa.gov/archives/RecordsManagement/records_local.aspx

Focus on key concepts and terms

Points of Emphasis

Legal Requirements

Records Disposition Authority

Other Key Concepts: Documenting Records DestructionIdentify Your Records SeriesElectronic Records SystemsEssential Records Protection Disaster PreparednessRetaining Records on Alternate MediaPublic DisclosureDevelop a ProgramState Archives Services and Support

Key Concept: Legal Requirements

RCW 40.14 - Public Records Act http://apps.leg.wa.gov/rcw/default.aspx?cite=40.14

RCW 40.10 - Essential Records Protection http://apps.leg.wa.gov/rcw/default.aspx?cite=40.10

RCW 40.16 - Illegal Destruction of Public Records http://apps.leg.wa.gov/rcw/default.aspx?cite=40.16

RCW 40.20 - Admissibility of Records Reproductions http://apps.leg.wa.gov/rcw/default.aspx?cite=40.20

RCW 42.56 - Public Disclosure http://apps.leg.wa.gov/rcw/default.aspx?cite=42.56

RCW 36.22.175 - Services to Local Government http://apps.leg.wa.gov/rcw/default.aspx?cite=36.22.175

Records As Public Property RCW 40.14: The Public Records Act

Government records are public property

Officials / Employees pass records on to successors

Agencies must account for the disposition of records

Key Concept:

Key Concept:Records Disposition Authority RCW 40.14.070: Local Records Committee Agencies must establish legal authority to dispose of records

The Local Records Committee grants disposition authority

Members: State Archives, State Auditor & Attorney General

Key Terms:Records Retention Schedule General Records Retention Schedule Records Series Retention Period

Disposition Authority Number

Key Terms:Records Retention Values Administrative

FiscalHistorical/Archival

Key Terms:Public Records Classification OPR - Official Public Record identifies records that are:

Required to be filed as a result of a specific lawor serve as Primary documentation of:

Agreements Contracts Bonds Transactions

Claims filed by or against the agencyAny other official action or commitment by the agency

Key Terms:Public Records Classification OFM - Office Files and Memoranda identifies records that are:

CorrespondenceInformational Reports

Duplicate copies of Official Public Records (OPR)

General Office Files

Other records kept for purely administrative purposes

Local Government Common Records Retention ScheduleCORE

1. Agency Management1.1 Administration (General)1.2 Boards, Councils and Committees1.3 Community Relations1.4 Contracts / Agreements1.5 Legal1.6 Planning, Mission and Charter1.7 Policies & Procedures1.8 Risk Management / Insurance

2. Asset Management2.1 Authorization2.2 Design and Construction2.3 Disposal2.4 Electronic Information Systems2.5 Environmental Management2.6 Inventory2.7 Leasing / Usage2.8 Maintenance2.9 Operations2.10 Planning2.11 Purchasing / Acquisitions2.12 Security2.13 Valuation

3. Financial Management3.1 Accounting3.2 Auditing3.3 Authorization3.4 Banking3.5 Budgets3.6 Grants3.7 Taxes3.8 Payroll

4. Human Resource Management5.1 Benefits5.2 Equity5.3 Industrial Insurance5.4 Labor Relations5.5 Misconduct / Discipline / Grievances5.6 Occupational Health and Safety5.7 Performance Management5.8 Personnel5.9 Position Development / Staff Structure5.10 Recruitment / Hiring5.11 Staff Development / Training

5. Information Management5.1 Forms and Publications5.2 Library Services5.3 Mail Services5.4 Public Disclosure5.5 Records Conversion5.6 Records Management

6.1.1 Agency Information – Routine6.1.2 Agency-Generated Forms & Publications - Copies6.1.3 General Information – External6.1.4 Secondary Copies6.1.5 Transitory Records

6. Records With Minimal Retention Value

Useful Tools:

CORE Schedule Example

CORE Schedule Example – New Format

LGGRRS

LGGRRS Example

Finding what you need:

http://www.sos.wa.gov/

http://www.sos.wa.gov/archives/RecordsManagement/records_local.aspx

http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx

10 Minute Break!

Key Concept:Documenting Record Destruction

WAC 434-640-030 Disposal by recycling. Pursuant to disposal authorization from the state or local records committee, an agency may dispose of records by recycling, under the following conditions:

(1) The prompt destruction shall be insured and the responsibility rests with the agency.

(2) The recycling agent or entity shall have required licenses and shall be insured or bonded.

(3) Records shall not be kept in unattended and unprotected storage.

(4) The agency shall have a contract or agreement with the recycler that includes these conditions.

Key Concept: Inventory Your Records Series

Sample Records Series Inventory Form

Records Series Title and DescriptionLocationMediumEssential Record?Inclusive DatesVolumeApproved Retention PeriodPotential Archival Value?Disposition Authority Number

Records Series Inventory Information

Key Concept: Electronic Records SystemsBenefits: Creation, Distribution, Editing, Access

Disadvantages: Fragile, Corruptible, Complicated to Manage

The Role of Records Management:Policies & Procedures, System Selection, Filing, Disposition Authority, Security, Preservation, Archival Transfer

WAC 434-662 Preservation of Electronic Records: http://www.sos.wa.gov/archives/PreservationofElectronicPublicRecords.aspx

Fundamental Concepts:1. Records are records, no matter the format.

2. Basic records management principles are the same.

3. Electronic technology makes records management more challenging.

4. Records management and IT staff have a shared responsibility and a mutual interest.

Key Concept: Retaining Records on Alternative Media

RCW 40.20: Admissibility of Records Reproductions

RCW 40.14.020Records Media Standards

MicrofilmLong Term-Low Access Storage MediumLife of Image Dependent on Processing and Storage ConditionsSecurity Storage of Microfilm Backups – Free of Charge

Electronic ImagingProvides Rapid Access to Large Volumes of InformationUse Non-Proprietary SystemsOpen System ArchitectureStandard Data Compression ProtocolsMaintain Accessibility for Duration of Required Retention PeriodContinual overhead and risk for the conversion of long-term data

Key Concept: RCW 40.10: Continuity of Government Provides for the continuity and preservation of government functions through the protection of essential records

Essential Records Protection

Key Term: Essential RecordsRecords that an agency absolutely must have in order to• Document legal authorities, rights, and responsibilities• Resume or maintain operations in a disaster / emergency• Document the rights of individuals

Duplicate EssentialRecords Off-Site:

• Existing Duplicates

• Paper Copies

• Microfilm Duplicates

• Digital Duplicates

• Minimize the time they are maintained in office space• Locate them on the office floor plan• Keep them separate from other records• Keep them close together• Locate them near an exit• Keep them off desks• Keep them off the floor• Keep them in metal file cabinets• Keep them out of bottom file drawers• Use fire and water resistant file drawer labels

Protect Essential Records On-site:

Key Concept: Disaster Preparedness “A disaster is what happens only if you are not prepared for it”

Planning - Are you prepared?RecoveryRemoval of Damaged MaterialsRestorationPost Recovery Operations

IntroductionI. Essential Records ProtectionII. PlanningIII. Response and RecoveryIV. Public Records Management BasicsV. Imaging Services

Online Manual: Essential RecordsSecurity Backup, Preparedness, and Response

Key Concept: Public Access to Government Records

Defines rights of public accessEmphasizes rights of public accessExemptions from disclosureDuty to protect records security

RCW 42.56: Public Disclosure Act

http://www.mrsc.org/Publications/pra06.pdfhttp://www.atg.wa.gov/records/modelrules/index.shtml

Public DisclosureSurvival Skill #1

Know your Business -Know your Records

Establish a records management function

in your agency

Get rid of whatyou don’t need

Transfer Archival Records to Washington State Archives

Organize and ManageElectronic Records

ConvertHigh-Demand Records

to Digital Images

RESOURCES• AG’s Open Government Ombudsman

– timf@atg.wa.gov (360) 586-4802• Municipal Research & Services Corp.

– www.mrsc.org (206) 625-1300• Model Rules on Public Disclosure

– www.atg.wa.gov/ModelRules.aspx• Local Government General Records Retention Schedules

Key Concept: Develop a Records Management ProgramDetermine the Scope of the ProgramDevelop a Program StatementObtain Support and Advocacy from Top ManagementAppoint a Records OfficerAnnounce the Program (through Top Management)Designate a Coordinator in each Department or Work UnitTrain Key PersonnelImplement Records Retention SchedulesImplement other Program Elements

Key Concept: Develop a team approach and define roles through Records Management Polices and ProceduresAgency ExecutivePromotes the Program and Mandates Cooperation

Records OfficerCoordinates the Records Management Program

Individual Departments Participate in the Program / Assign Records Coordinators

Records CoordinatorsImplement the Program in each Department

10 Minute Break!

Key Concept:

Public Records ManagementImagingRegional Archives

Division of Archives and Records Management

Services To Local Government Agencies

Digital Archives

Records Management Services

General Records Retention Schedules

Records Management Manuals

Records Management Training

Local Records Committee Staff Support

Records Management Advice & Assistance

Imaging ServicesSecurity Microfilm Inspection & Storage (Free of Charge) Source Document Scanning (Fee for Service)Source Document Microfilming (Fee for Service)Output of Digital Records Information to Microfilm (Fee for Service)Microfilm Scanning (Fee for Service)Direct Microfilm Duplication (Fee for Service)

For Further Information Contact:Mary DunivanWashington State ArchivesPO Box 40238Olympia, WA 98504-0238Telephone – 360-236-5090E-mail – mary.dunivan@sos.wa.gov

Regional Archives SystemMission: Preserve archival records for public use and serve as the focal points for services to local government.

Vision: Build a world class system to promote public records management and preserve historically valuable records for public research use.

What does your Regional Archives do?

Provides public records management training and support

Promotes efficient records management

Promotes essential records protection

Expedites access to State Archives programs and services

Preserves local government archives

Provides public research access to archival collections

Archival ServicesAppraisal and Transfer

Arrangement , Description and Preservation

Public Research Access

Local Government Updates Listservhttp://www.secstate.wa.gov/archives/RecordsManagement/records_local.aspx

Click Here

and sign up…

Advice, Training, Updates

Training Calendar

Training, Classes, Workshops

Washington State Archives and Records Management: Partners in Preservation and Access

www.secstate.wa.gov/archives/recordsmanagement

Thank you!

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