public records management in washington state the basics
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Public Records Management In Washington State The Basics. Presented by: Michael S. Saunders Puget Sound Regional Archivist Phone: 425-564-3950 Fax: 425-564-3945 [email protected]. Local Government General Records Retention Schedules. Focus on key concepts and terms. - PowerPoint PPT PresentationTRANSCRIPT
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]
Washington State Archives
Washington State Archives: Documenting Democracy
Local GovernmentGeneral Records Retention Schedules
http://www.sos.wa.gov/archives/RecordsManagement/records_local.aspx
Focus on key concepts and terms
Washington State Archives
Washington State Archives: Documenting Democracy
Points of Emphasis
Legal Requirements
Records Disposition Authority
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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:
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
Key Terms:Records Retention Schedule General Records Retention Schedule Records Series Retention Period
Disposition Authority Number
Washington State Archives
Washington State Archives: Documenting Democracy
Key Terms:Records Retention Values Administrative
Legal
FiscalHistorical/Archival
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
Local Government Common Records Retention ScheduleCORE
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
3. Financial Management3.1 Accounting3.2 Auditing3.3 Authorization3.4 Banking3.5 Budgets3.6 Grants3.7 Taxes3.8 Payroll
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
5. Information Management5.1 Forms and Publications5.2 Library Services5.3 Mail Services5.4 Public Disclosure5.5 Records Conversion5.6 Records Management
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
Useful Tools:
Washington State Archives: Documenting Democracy
CORE Schedule Example
Washington State Archives
Washington State Archives: Documenting Democracy
CORE Schedule Example – New Format
Washington State Archives: Documenting Democracy
LGGRRS
Washington State Archives: Documenting Democracy
LGGRRS Example
Washington State Archives
Washington State Archives: Documenting Democracy
Finding what you need:
Washington State Archives
Washington State Archives: Documenting Democracy
http://www.sos.wa.gov/
Washington State Archives
Washington State Archives: Documenting Democracy
Washington State Archives
Washington State Archives: Documenting Democracy
Washington State Archives
Washington State Archives: Documenting Democracy
http://www.sos.wa.gov/archives/RecordsManagement/records_local.aspx
Washington State Archives
Washington State Archives: Documenting Democracy
http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx
Washington State Archives
Washington State Archives: Documenting Democracy
http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx
Washington State Archives
Washington State Archives: Documenting Democracy
http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx
Washington State Archives
Washington State Archives: Documenting Democracy
http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx
Washington State Archives
Washington State Archives: Documenting Democracy
10 Minute Break!
Washington State Archives
Washington State Archives: Documenting Democracy
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.
Washington State Archives
Washington State Archives: Documenting Democracy
Key Concept: Inventory Your Records Series
Sample Records Series Inventory Form
Washington State Archives
Washington State Archives: Documenting Democracy
Records Series Title and DescriptionLocationMediumEssential Record?Inclusive DatesVolumeApproved Retention PeriodPotential Archival Value?Disposition Authority Number
Records Series Inventory Information
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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.
Washington State Archives
Washington State Archives: Documenting Democracy
Key Concept: Retaining Records on Alternative Media
RCW 40.20: Admissibility of Records Reproductions
RCW 40.14.020Records Media Standards
Washington State Archives
Washington State Archives: Documenting Democracy
MicrofilmLong Term-Low Access Storage MediumLife of Image Dependent on Processing and Storage ConditionsSecurity Storage of Microfilm Backups – Free of Charge
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
Duplicate EssentialRecords Off-Site:
• Existing Duplicates
• Paper Copies
• Microfilm Duplicates
• Digital Duplicates
Washington State Archives
Washington State Archives: Documenting Democracy
• 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:
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
IntroductionI. Essential Records ProtectionII. PlanningIII. Response and RecoveryIV. Public Records Management BasicsV. Imaging Services
Online Manual: Essential RecordsSecurity Backup, Preparedness, and Response
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
Public DisclosureSurvival Skill #1
Know your Business -Know your Records
Washington State Archives
Washington State Archives: Documenting Democracy
Establish a records management function
in your agency
Public DisclosureSurvival Skill #2
Washington State Archives
Washington State Archives: Documenting Democracy
Get rid of whatyou don’t need
Public DisclosureSurvival Skill #3
Washington State Archives
Washington State Archives: Documenting Democracy
Transfer Archival Records to Washington State Archives
Public DisclosureSurvival Skill #4
Washington State Archives
Washington State Archives: Documenting Democracy
Organize and ManageElectronic Records
Public DisclosureSurvival Skill #5
Washington State Archives
Washington State Archives: Documenting Democracy
ConvertHigh-Demand Records
to Digital Images
Public DisclosureSurvival Skill #6
Washington State Archives
Washington State Archives: Documenting Democracy
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
http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
10 Minute Break!
Washington State Archives
Washington State Archives: Documenting Democracy
Key Concept:
Public Records ManagementImagingRegional Archives
Division of Archives and Records Management
Services To Local Government Agencies
Digital Archives
Washington State Archives
Washington State Archives: Documenting Democracy
Records Management Services
General Records Retention Schedules
Records Management Manuals
Records Management Training
Local Records Committee Staff Support
Records Management Advice & Assistance
Washington State Archives
Washington State Archives: Documenting Democracy
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]
Washington State Archives
Washington State Archives: Documenting Democracy
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.
Washington State Archives
Washington State Archives: Documenting Democracy
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
Washington State Archives
Washington State Archives: Documenting Democracy
Archival ServicesAppraisal and Transfer
Arrangement , Description and Preservation
Public Research Access
Washington State Archives: Documenting Democracy
Local Government Updates Listservhttp://www.secstate.wa.gov/archives/RecordsManagement/records_local.aspx
Click Here
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and sign up…
Washington State Archives
Washington State Archives: Documenting Democracy
Advice, Training, Updates
Washington State Archives
Washington State Archives: Documenting Democracy
Training Calendar
Washington State Archives
Washington State Archives: Documenting Democracy
Training, Classes, Workshops
Washington State Archives
Washington State Archives: Documenting Democracy
Washington State Archives and Records Management: Partners in Preservation and Access
www.secstate.wa.gov/archives/recordsmanagement
Thank you!