Administrative Policies and Procedures Deb Bartlett [email protected] Joy Faerber [email protected]...

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Administrative Policies and Procedures Deb Bartlett [email protected] Joy Faerber [email protected] Office of Procedures, Records, and Forms

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Page 1: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

AdministrativePolicies and Procedures

Deb [email protected]

Joy [email protected]

Office of Procedures, Records, and Forms

mailto:[email protected]
mailto:[email protected]
Page 2: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Training Objectives: ManualsTraining Objectives: Manuals

• History of operations manuals at WSU.

• Why we have operations manuals.• How to use online manuals.• How the manuals are updated.

Page 3: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

History LessonHistory Lesson1954 BPPM 1960’s Manual

Page 4: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

History Lesson (cont.)History Lesson (cont.)

• 1972 State Audit Report

• Hard Copy BPPM, SPPM

• 1997 Online Manuals

• 2000 Executive Policy Manual

Page 5: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Why have manuals?Why have manuals?

• Serves as a quasi-supervisor. Always in. No trips or leave. Fewer phone calls. Fewer errors.

• Primary communications device. Provides knowledge of laws, regulations, and institutional practices.

Page 6: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Why have manuals?Why have manuals?

• Institutional memory.

• Levels playing field.

• Standardizes practices. Promotes efficiency.

• Consolidates location.

Page 7: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Where to Find ManualsWhere to Find Manuals

• Uniform Resource Locator (URL): http://public.wsu.edu/~forms/manuals.html

• WSU Home Page• A-Z Index

Page 8: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 9: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 10: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 11: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

How to Find InformationHow to Find Information

• Search engine• Contents pages• Forms Index• Cross references

Page 12: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 13: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 14: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 15: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 16: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 17: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 18: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Announcing RevisionsAnnouncing Revisions• Procedures, Records, and Forms

sends out an e-mail message on WSU Announcements.

• To subscribe refer to: http://lists.wsu.edu/mailman/listinfo/WSU.Announcements

• Revision announcements are linked to the Manuals web page.

http://lists.wsu.edu/mailman/listinfo/WSU.Announcements
Page 19: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 20: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Revising Manuals: SourcesRevising Manuals: Sources

• Auditors

• Statutes/regulations

• Administrators

• Users

Page 21: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Revising Manuals: ProcessRevising Manuals: Process

• Input

• Prepare draft

• Review and approval

Page 22: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 23: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

DistributionDistribution

• Convert to HTML and PDF

• Upload to UNIX

• Notify University

• Save old section in archive media

Page 24: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

You should now know:You should now know:

• How to locate manuals online.

• How to find information in manuals.

• How manuals are updated and how to find out when manuals are updated.

Page 25: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Records RetentionRecords Retention

Deb [email protected]

Office of Procedures, Records, and Forms

509-335-2005

mailto:[email protected]
Page 26: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Training Objectives: RecordsTraining Objectives: Records

• State definition of records.

• How to find out how long to keep records.

• Which records are confidential.

• How to dispose of records.

Page 27: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Records Retention:What are we talking

about?

Records Retention:What are we talking

about?Management of records for the

period of time betweenrecord creation and record disposition.

What we do with it andhow long we keep it.

Page 28: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Why do we keep records at WSU?

Why do we keep records at WSU?

• We need to document our business.

• We need to meet requirements of laws/regulations.

• We need to be able to recreate the history of WSU.

Page 29: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Some records are essential records.

Some records are essential records.

Records you would need to restart your operation after a catastrophe.

See 90.15.

Back up and store offsite.

Page 30: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

1997 Kincaid Fire - UW

Page 31: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Records OfficerRecords Officer

• Coordinates University’s records retention program.

• Prepares retention schedules.

• Liaison with state records committee.

Page 32: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Responsibility for Records

Responsibility for Records

• Primary responsibility resides with each individual University office.

• The unit director/manager/chair designates a departmental records coordinator.

Page 33: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Records CoordinatorRecords Coordinator

• Liaison with Records Officer• Notifies Records Officer changes

in office records.• Files and refers to records

retention schedules.• Applies retention standards to

records.

Page 34: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

State of Washington Records

State of Washington Records

Any paper, photograph, film, sound recording, map drawing, machine-readable material or other document, regardless of physical form, made or received by the state in connection with the transaction of public business. (From RCW 40.14.010)

Page 35: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Legal Requirement: RCW 40.14Legal Requirement: RCW 40.14

University records are public records. Public records may not be destroyed, microfilmed, or transferred to archives without authorization.

Page 36: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Why not just keep everything??

Why not just keep everything??

• Must look through it.

• Must track it.• Takes up

expensive space.• Causes additional

processing in litigation, audit, or public records requests.

Page 37: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

All-University Records Retention Schedule

All-University Records Retention Schedule

BPPM 90.01

Page 38: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 39: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 40: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 41: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 42: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 43: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

E-Mail, Text, Voicemail, and Social Media

E-Mail, Text, Voicemail, and Social Media

• Most e-mail, text, voicemail, and social media messages are transitory communications.

• Some e-mail, text, voicemail, and social media messages are public records requiring retention. Evidence of official policies, actions, decisions or transactions.

• See BPPM 90.03.

Page 44: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

State Requirement•WAC 434-662-040, effective January 1,

2009

•Electronic records must be retained in electronic format and remain usable, searchable, retrievable and authentic for the length of the designated retention period.

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

Page 45: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Saving Text, Voicemail, and Social Media Messages

Saving Text, Voicemail, and Social Media Messages

• To save text or social media messages, manually: Send the messages to a University email

account. Save as email. Save the messages to a University-

controlled server or content management system.

• To save voicemail messages: Contact applicable telephone provider. Use Single Inbox Messaging to save

message as .WAV file attachment to University email account.

Page 46: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Manage Your E-mail

• Don’t let thousands of e-mail messages clutter your e-mail account.

• Delete immediately if you don’t need it.

• Have a timetable for reviewing e-mail.

• Store e-mails with longer-term retentions elsewhere.

Page 47: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Important to Remember:

E-mail, text, social media, and voicemail messages created to conduct University business are public records EVEN IF the messages are sent from or received on personal devices, e.g., cell phones, tablets, laptops.

Page 48: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 49: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

State Imaging Standards• Must be observed when agency wants

to use the image as the record copy and dispose of paper original.

• Not required when agency uses the image as a working copy and retains the paper original for the approved retention period.

• To obtain a copy of or a link to the standards contact Office of Procedures, Records, and Forms. See also BPPM 90.21.

Page 50: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 51: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Determining RetentionDetermining Retention

• Legal requirements.

• Fiscal and audit requirements

• Functional needs of office

• Historical and archival requirements.

Page 52: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

To schedule a record:To schedule a record:

• Check the All-University Schedule in BPPM 90.01.

• Check any unique dept. schedule.• Complete a Retention Schedule

Review form. Route to PR&F.• Procedures, Records, and Forms

prepares a draft.• Approvals by department, records

officer, state records committee.

Page 53: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Retention Schedule Superseded

• Litigation holds

• Public records requests

• Audits

Page 54: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 55: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Storage of Inactive Records

Storage of Inactive Records

• WSU Pullman: Facilities Services, Capital at 509-335-5571

• Other locations: Campus facilities management

• Store records at State Records Center in Olympia

• Store inactive electronic records offline, e.g., tape, external hard drive, dedicated storage server.

Page 56: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.
Page 57: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Records DisposalRecords Disposal

• Send to Manuscripts, Archives, and Special Collections (MASC).

• Recycle.

• Make illegible if confidential.

Page 58: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Which records are confidential?

Which records are confidential?

All records which are exempt from public disclosure in accordance with state law. (RCW 42.56)

Refer to BPPM 90.05, 90.06, 90.07.

Page 59: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Partial list of confidential records

Partial list of confidential records

• Personal information

• Lists for commercial purposes

• Application information

• Tests

• Library records

Page 60: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Disposal of Confidential Records

Disposal of Confidential Records

Records must be reduced to an illegible condition. (WAC 434-640-020)

Page 61: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

ShreddingShredding

• University Recycling at WSU Pullman.

• Commercial shredder (Recall).

• Departmental shredder.

Page 62: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Destruction of Electronic Records

• Hard Drives• CDs and DVDs• Tapes

Page 63: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

You should now know:You should now know:• State definition of records.

• How to read a records retention schedule.

• How to schedule a record.

• What to do with old records.

• How to determine if a record is confidential

• How to dispose of records.

Page 64: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

For further questions, contact:

Deb BartlettProcedures, Records, and Forms

[email protected]

For further questions, contact:

Deb BartlettProcedures, Records, and Forms

[email protected]

Page 65: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

Questions??? Contact P R & FQuestions??? Contact P R & F

• Telephone 509-335-2005

• E-mail [email protected]

• E-mail [email protected]

• E-mail [email protected]

mailto:[email protected]
mailto:[email protected]
mailto:[email protected]
Page 66: Administrative Policies and Procedures Deb Bartlett dbartl@wsu.edu Joy Faerber faerber@wsu.edu Office of Procedures, Records, and Forms.

If you wish to have your attendance documented in your training history,

please notify Human Resource Services within 24 hours of today's date:

[email protected]

This has been a WSU Training

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