presented by: megan shoemaker electronic records management consultant [email protected]...
TRANSCRIPT
Presented by:
Megan Shoemaker Electronic Records Management Consultant
CORE Records RetentionSchedule Updates
&Replacing Hard Copy Originals
With Scanned Images
CORE Records Retention Schedule Version 2.2
Updates
Effective January 1, 2012
CORE’s Face Page
Pg. 1
Contents
Function
Activities
Pg. 3
Contents
Pg. 4
CORE Version 2.2 Records Series Format
• Disposition Authority Number (DAN) in left column• Records series title and description for all series• Retention cutoff and disposition action
• Designation column identifies archival records
• Also tells us which records require appraisal by a Washington State Archives archivist.
Elements of the new records series format
Pg. 6
Overview of Version 2.2
• CORE 2.2 became effective January 1, 2012.
• It governs the retention of all records currently in agency custody.
• It is 36 pages smaller than the previous version.
• 77 records series were discontinued.
• 34 records series were revised.
Overview of Version 2.2• 28 new records series were added.
• 19 Meeting and Hearing series have
been consolidated into 2 existing and 4 new
records series.
• 31 series relating to financial transactions
have been consolidated down to
2.
CORE 2.2 Revisions
31 existing records series relating to financial transactions have been
consolidated into two series:
1. Financial Transactions – General Retention Period: 6 years
2. Financial Transactions – Bond, Grant and Levy Projects
Retention Period: 6 years after final bond payment, or 6 years after completion of levy/grant project or per terms of grant
agreement, whichever is later
CORE 2.2 RevisionsFinancial Transactions – General
• Purchase/field orders• Bills of sale
• Receipts• Cash books
• Remittance Advices• Vouchers
• Purchasing/receiving documentation
Covers purchase and sales documentationPg. 67
• Cash receipt transmittals• Daily cash reports and summaries• Expenditure/transaction reports
• Treasurer/finance officer reports
CORE 2.2 RevisionsFinancial Transactions – General
Also covers purchase and sales documentation…
… and registers and journals
• General and subsidiary for all funds and functions
• Check/warrant registers• Petty cash documentation
CORE 2.2 RevisionsFinancial Transactions – General
Financial Transactions – General does not cover:
• Levy-, grant-, or bond-funded transactions covered by GS2011-185
• General and subsidiary ledgers covered by GS50-03A-15
• Contracts and Agreements
• Annual financial reports covered by GS50-03D-02
CORE 2.2 RevisionsFinancial Transactions – Bond, Grant and
Levy Projects
Only applies to documentation of bond, grant, or levy funds
including…
Pg. 66
• Contracts and Agreements (bond, grant, and levy projects)
• Announcements, applications, evaluations, award notifications or grants issued or received
• Documents supporting purchase/acquisition/construction
• Documents supporting disposition/sales
• Cancelled (and voided) checks, credit card slips, project cost records, etc. for capital assets
constructed by the local government agency
CORE 2.2 RevisionsFinancial Transactions – Bond, Grant and
Levy Projects
• Financial statements and reports (cash receipt transmittals, daily cash reports,
expenditure transactions, treasurer/finance officer reports, etc.)
• Project cost/expenditure journals for all funds and functions (including numerical listing of checks/warrants/vouchers, etc.)
• Revenue bonds and coupons, registers, etc.
• Trust indenture, loan agreements, etc.
CORE 2.2 RevisionsFinancial Transactions – Bond, Grant and
Levy Projects
Financial Transactions – Bond, Grant and Levy Projects does not cover:• General and subsidiary ledgers covered by
GS50-03A-15
• Unsuccessful grant applications covered by GS50-03C-07
CORE 2.2 RevisionsFinancial Transactions – Bond, Grant and
Levy Projects
Break!
CORE 2.2 RevisionsMeetings & Hearings
19 records series were consolidated down to 2 existing series and 4 new series on
meetings and hearings:1. Appeals Hearings – Local Decision Making
Bodies (General)
2. Appeals Hearings – Local Decision Making Bodies (Land Use/Valuation)
3. Meetings – Governing/Executive/Advisory
4. Meetings – Inter-Agency
5. Meetings – Staff
6. Meetings - Arrangements
CORE 2.2 RevisionsAppeals Hearings – Local Decision-Making
Bodies (General)
Pg. 21
Includes, but is not limited to:• Animal control dispute
appeals;• Billing dispute appeals
hearings (utilities, etc.);• Civil asset forfeiture
hearings;• Civil Service
Commission hearings and employee grievance appeals;
• Board of Equalization property tax exemption appeals;
• Case files,
decisions/orders/rulings, minutes (if taken);
• Oral/written testimony, exhibits, etc.;
• Agendas, meeting/agency packets (briefs, reference materials, etc.);
• Audio/visual recordings and transcripts of proceedings;
• Public notices (affidavits of mailing, posting and publication, etc.)
CORE 2.2 RevisionsAppeals Hearings – Local Decision-Making
Bodies (General)
CORE 2.2 RevisionsAppeals Hearings – Local Decision-Making
Bodies (Land Use/Valuation)
Includes, but is not limited to:• Board of Equalization valuation
appeals;• Land use administrative
appeals;• Case files,
decisions/orders/rulings, • minutes (if taken);• Oral/written testimony, exhibits,
etc.;• Agendas, meeting/agenda
packets • (briefs, reference materials, etc.);• Audio/visual recordings and
transcripts of proceedings;• Public notices (affidavits of
mailing, posting and publication, etc.).
Appeals Hearings – Local Decision Making Bodies (Land Use/Valuation) does not
cover:• Indexes or other finding aids;
• Records covered by Appeals Hearings – Local Decision-Making Bodies (General);
• Meetings – Governing/Executive/Advisory
• Meetings/Hearings - Arrangements
CORE 2.2 RevisionsAppeals Hearings – Local Decision-Making
Bodies (Land Use/Valuation)
CORE 2.2 RevisionsMeetings –
Governing/Executive/Advisory
All meetings regulated by the Open Public Meetings Act (Chapter 42.30 RCW), such as
regular and special meetings, public hearings, etc.
Pg. 23
CORE 2.2 RevisionsMeetings –
Governing/Executive/Advisory
Also includes…
• Meeting notices (affidavits of mailing, posting and publication, etc.);
• Agendas, meeting packets (briefs, reference materials, etc.);
• Speaker sign-up, written/oral testimony;• Audio/visual recordings and transcripts of proceedings;
• Minutes.• Also includes indexes and other finding aids.
CORE 2.2 RevisionsMeetings –
Governing/Executive/Advisory
Meetings – Governing/Executive/Advisory does not include:
• Records covered by Appeals Hearings – Local Decision-Making Bodies (General);
• Records covered by Appeals Hearings – Local Decision-Making Bodies (Land Use/Valuation);
• Records covered by Meetings/Hearings - Arrangements
CORE 2.2 RevisionsMeetings – Inter-Agency
Includes:Agendas, meeting packets, sign-in lists, meeting notices (affidavits of mailing, posting, and publication), minutes, audio/visual recordings, transcripts, etc.
ExcludesMaterials relating to meetings regulated by the Open Public Meetings Act (Chapter 42.30 RCW), which are covered by GS50-05A-13.Also excludes records covered by GS2011-174 and -176.
Pg. 24
CORE 2.2 RevisionsMeetings – Staff
Includes:Agendas, meeting packets, sign-in lists, meeting notices, minutes, audio/visual recordings, transcripts, etc.
ExcludesMaterials relating to meetings regulated by the Open Public Meetings Act (chapter 42.30 RCW), which are covered by GS50-05A-13.Also excludes records covered by GS2011-173, GS2011-175, and GS2011-176.
Pg. 24
CORE 2.2 RevisionsMeetings – Arrangements
This records series is for records relating to the administrative arrangements of meetings held by or on behalf of the local government
agency.
Includes, but is not limited to• Meeting date and place scheduling records;
• Agenda requests;• Arrangement of catering, facilities, and/or
equipment
Pg. 25
Meetings – Arrangements does not include financial records (e.g. facility rentals,
catering payment, equipment rentals, etc.)
CORE 2.2 RevisionsMeetings – Arrangements
CORE 2.2 Revisions
CORE 2.2 Revisions6 records series relating to banking have been consolidated into one existing series
and one new series:
1. Banking – Accounts and TransactionsRetention Period: 6 years after end of fiscal year
then destroy.
2. Banking – Deposited ItemsRetention Period: Until deposit verified by bank
then destroy.
CORE 2.2 RevisionsBanking – Accounts and Transactions
This series covers all records documenting banking transactions and activities.
Pg. 72
CORE 2.2 RevisionsBanking – Accounts and Transactions
Includes, but is not limited to:
• Deposits and withdrawals (including Electronic Funds Transfers (EFT), International Money Transfers (IMT), Automated Clearing House (ACH), etc.;
• Statements (bank, dividend, investment, etc.) and reconciliations;
• Records documenting the status of and adjustments to accounts;
• Stop payment reports/requests (and supporting documentation);
• Checks and warrants issued by the agency (if returned by bank).
CORE 2.2 RevisionsBanking – Accounts and Transactions
Meetings – Arrangements does not include:
• Master depository contracts covered by GS50-01-11;
• Cancelled and voided checks for capital assets constructed by the agency which are covered by
GS2011-183 (Financial Transactions – Bond, Grant and Levy Projects);
• Deposited items covered by GS2011-186.
CORE 2.2 RevisionsBanking – Accounts and Transactions
Includes:• Original paper checks/warrants imaged using Remote
Deposit Capture (RDC) or Imaged Cash Letter (ICL), or returned by the bank after redemption;
• Images of checks/warrants created in lieu of depositing the original item (such as Imaged Cash Letter [ICL]).
ExcludesChecks returned to agency due to non-sufficient funds covered by GS50-03B-14.
Pg. 72
Break!
Replacing Hardcopy Originals with Scanned
Imagesaka
“Scan and Toss”
Version 1.0 Released March 2012
Replacing Hardcopy Originals with Scanned Images
Transfer Archival Originals to State Archives
WAC 434-663-640
GS2010-017 provides disposal authority for any imaged records with an Archival
designation. (Hint: Disposal = Transfer to the State
Archives.)
Pg. 118
Replacing Hardcopy Originals with Scanned Images
Destruction After ScanningAgencies wishing to scan paper records and
then destroy them before their required retention has been met must meet State Archives requirements as set forth in the
document Requirements for the Destruction of Non-Archival Paper Records After Imaging.
http://www.sos.wa.gov/archives/RecordsManagement/DestructionofPaperRecordsAfterImagingScanning.aspx
Replacing Hardcopy Originals with Scanned Images
Requirements for the Early Destruction of Paper-Based Source
Records after Scanning
Paper-based source records must be eligible for destruction; they cannot be Archival.
There must be an appropriate records series approved for agency use before the agency
can destroy the source records.
The records must be designated NON-ARCHIVAL.
Replacing Hardcopy Originals with Scanned Images
Agencies may destroy non-archival originals after they are replaced with images managed
according to pertinent retention requirements.
Pg. 118
Replacing Hardcopy Originals with Scanned Images
The Imaging Process
The imaging process should be guided by requirements in WAC 434-663-325.
• Capture a complete and accurate image of each source document.
• Records with retention requirements less than 6 years can be imaged with an
acceptable lossy or lossless format such as PDF, PDF/A, JPEG, or TIFF.
The Imaging Process
Records with retention requirements more than 6 years must be scanned using a lossless data compression format (e.g. TIFF Group 4,
PNG, or GIF).
Imaging density (resolution) and format requirements are in WAC 434-663-305.
Tip: Scanning all textual documents at 300 dpi ensures you are meeting the minimums.
Replacing Hardcopy Originals with Scanned Images
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Indexing & Metadata
WAC 434-663-710Requires consistent indexing and metadata
for identification, access and retrieval of public records.
• Indexing is a way to attach metadata that facilitates access and retrieval of
information.
• Developing a consistent structure is key to managing and maintaining images.
• An agency should develop consistent naming conventions and file/directory structures to facilitate organization,
The Imaging Process – Indexing & Metadata
Agencies should capture appropriate business and recordkeeping metadata such as:
Replacing Hardcopy Originals with Scanned Images
• Office of record• Disposition Authority
Number (DAN)• Retention period• Destruction date
The Imaging Process – Quality Control
WAC 434-663-530
Replacing Hardcopy Originals with Scanned Images
Consistent, documented scanning and quality control processes are
important.
Requires trained staff familiar with requirements
and documented procedures.
The requirements apply to images produced by
vendors, too!
The Imaging Process – Quality Control
Specific quality control procedures may include, but are not limited to:
• Enhancements or other manipulations of the images (such as de-skew, de-speckle, etc.)
which may be employed to improve the quality of the resultant image;
• Routine use of scanning targets to verify configuration settings;
• Visual comparisons and inspections of each or selected images and source documents;
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Quality Control
Specific quality control procedures may include, but are not limited to:
• Periodic checks that the indexing/metadata is appropriate and accurate. You do not want
to have to re-do thousands of images!
• In instances where a complete and accurate capture of the source document’s content cannot be obtained, the image should be labeled or tagged as “best scan possible”.
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Retention and Management of Images
The agency must retain legal custody of record images. This is especially relevant to those who do – or are
considering – storing images in the cloud.
Have a documented plan for system/vendor failure.
Store and manage record images for the required retention period. (WAC 434-
663-615)
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Retention and Management of Images
When agencies choose to use outside vendors (including other government agencies and cloud
storage) to store/host imaged records:
• Contracts must require that legal custody remain with the agency;
• If the contract terminates, all imaged records and metadata must be returned to the agency in an
accessible format;
• Agencies should apply appropriate mitigation strategies to ensure they can fully recover records and metadata that have not met required retention periods.
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Retention and Management of Images
Agencies must take adequate preventative measures.
• Establish security protocols• Designate approved users• Do regular system checks
• Calculate check sums• Develop disaster response and recovery plans• Generate regular backups which are stored at
least 50 miles away from the agency to enable access to and recovery of the imaged records
during a disaster or emergency.
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Retention and Management of Images
Agencies must take adequate preventative measures.
• Incorporate record images into the records management system
• Keep record images authentic and accessible for their required retention period
• Plan for migration to future systems and formats to ensure access and use until retention
is satisfied
WAC 434-663-770
Replacing Hardcopy Originals with Scanned Images
The Imaging Process – Destruction of Record Images
Record images are destroyed only in accordance with approved records retention schedules. WAC
434-663-615
Retain record images until open public records requests or litigation holds are satisfied or
terminated.
Ensure that record images are actually destroyed at the end of their required retention periods.
Replacing Hardcopy Originals with Scanned Images
Compile and maintain consistent records destruction documentation.
Records destruction documentation proves:
• Paper originals were converted to digital images and destroyed lawfully
• Images were destroyed lawfully after their retention requirements were met
Note that you are documenting the destruction of the paper originals
and the images.
Replacing Hardcopy Originals with Scanned Images
Replacing Hardcopy Originals with Scanned Images
Helpful Resources:
We have published two advice sheets about the document Requirements for the Destruction of
Non-Archival Paper Records after Imaging
You Are Not Alone!
For advice and assistance:[email protected]
Subscribe to Local Government Records Management Listserv at
http://sos.wa.gov/archives/RecordsManagement/records_local.aspx
Megan ShoemakerEmail: [email protected]
Phone: 360-650-2813
Washington State Archives: Partners in preservation and
access.www.secstate.wa.gov/archives
Thank you!