washington state archives september 2010 presented by: russell wood state records manager basics of...

Washington State Archives

September 2010

Presented by:

Russell Wood

State Records Manager

Basics of

Records Retention

Washington State Archives Documenting Democracy

Overview

• Basic Records Retention Requirements

• Records Retention Schedules

• Putting it into Practice


Basic Records Retention

Requirements


What is a Public Record?

• For the purposes of retention and destruction, two criteria:1. Regardless of format;

2. Made or received in connection with the transaction of public business (RCW 40.14).

• For public disclosure, refer to RCW 42.56.


What needs to be kept?

• No public records shall be destroyed until

approved for destruction by the Local Records Committee.

(RCW 40.14.070)


Who is the Local Records Committee?

• Established under RCW 40.14.070

• Comprised of:1. State Auditor representative

2. Attorney General representative

3. State Archivist


Approval for Destruction

• Local Records Committee grants approval in the form of records retention schedules.

• Records retention schedules describe:– Type of records approved for destruction;– Minimum period for which they need to be

retained; and– Which records also have archival value.


What are Archival Records?

• Records determined by the State Archivist as having permanent and enduring historical and/or legal value.

• Typically only 2-5% of records have archival value.

• Listed on Records Retention Schedules.


What do Local Agencies do with Archival Records?

• Archival records must not be destroyed.

• Local Agencies must either:a) Keep the records themselves indefinitely; OR

b) Transfer the records to Washington State Archives (at no cost).


What about Non-Archival Records?

1. Retain for the minimum retention; THEN

2. Destroy.• Records subject to current public

disclosure requests or litigation (current or reasonably anticipated) must not be destroyed.


“Born Digital” Records

• Electronic records must be retained in electronic format … for the length of the designated retention period.

• Printing and retaining a hard copy is not a substitute for the electronic version.

(WAC 434-662-040)


What is “Born Digital”?

• Regardless of how it was created:– If the transaction of public business occurs in

paper then the paper record needs to be retained.

– If the transaction of public business occurs electronically then the electronic record needs to be retained.



• Example #1:– Minutes are drafted using Microsoft Word and

then printed.– Chair signs the printed minutes at the next

meeting.– Transaction of public business occurs in

paper so the signed paper minutes need to be retained.



• Example #2:– Agendas are drafted using Microsoft Word.– Agendas are distributed to Committee

members via email with the Word attachment.– Transaction of public business occurs

electronically so the email (and attachment) need to be retained.



• Example #3:– Confirmation of training attendance and

medical reports are submitted in hardcopy to Probation Officer.

– Information entered into database.– Transaction of public business occurs in

paper so the submitted hardcopy records need to be retained.


Why Printing Doesn’t Work

• Metadata associated with “born digital” records establishes and preserves the authenticity of the record which is the evidence of the transaction it documents.

• Printing electronic records (e.g. emails) preserves the informational content but not the authenticity of the record.


Digitized Records

• Conversion to an imaging system does not automatically authorize the destruction of the source documents for which images have been created.

• Requires “Destruction After Digitization (DAD)” approval.

(WAC 434-663-600)


Records Retention Schedules


Which Schedule do I Use?

Local Government Agencies use both:

1) Local Government Common Records Retention Schedule (CORE);

AND

2) Sector-specific records retention schedules.

www.sos.wa.gov/archivesWashington State Archives Documenting

Democracy

www.sos.wa.gov/archives


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

Database

CORE and LGGRRS Schedules

Sector Schedules

Putting Retention

Into Practice


Get rid of what you don’t need• Much of what crosses our desks and our

screens has little to no retention value.

• Apply “Records with Minimal Retention Value” (GS50-02) to:– Secondary copies;– Preliminary drafts; and– Informational / transitory material.


Organize to Destroy

• Up to 98% of records are non-archival.

• These records will need to be destroyed someday.

• It is more efficient (and therefore cheaper) to organize now rather than putting it off.


Destroying Non-Archival Records

• Destroy non-archival records at end of their minimum retention period.

• Document destruction of public records:– Work with your Agency’s Records Manager– Sample Destruction Logs available at:



Transfer Archival Records

• Is your agency achieving it’s mission by using resources to preserve and provide access to records indefinitely?

• Washington State Archives exists to do this on your behalf & save you money.


Transfer Archival Records

• If it is archival and don’t need constant access, then consider transferring.

• Best care for records and still accessible.

• Develop a regular transfer cycle for ongoing archival records (such as minutes, ordinances, etc).


In Summary…• Agencies need to:

1. Retain all public records for at least the minimum retention period as listed on the approved Records Retention Schedule.

2. Destroy non-archival records at the end of their retention period.

3. Continue to retain, or transfer to Washington State Archives, all archival records.


Stay Informed with What’s New


Advice, Training, Updates

Local Government Listserv

Local Government Listserv

X

Training Calendar

Training, Classes, Workshops

You Are Not Alone

• Washington State Archives is here to help.

• For advice and assistance:

[email protected]



Washington State Archives: Partners in preservation and access

Thank you!


washington state archives september 2010 presented by: russell wood state records manager basics of...

Documents

public records

records subject

type of records

andwhich records

basics of records retention

nonarchival records

purposes of retention

archival value