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: [email protected]



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

http://apps.leg.wa.gov/rcw/default.aspx?cite=40.14





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

Legal

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

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

– [email protected] (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


mailto:[email protected]

http://www.mrsc.org/

http://www.atg.wa.gov/ModelRules.aspx




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 – [email protected]



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!

public records management in washington state the basics

Documents

public records act http

public records management

public disclosure http

public property rcw

http server program

http client program

documenting democracy5records

documenting democracy6domain