Washington State Archives September 2010 Presented by: Russell Wood State Records Manager Basics of...
-
Upload
eugene-williams -
Category
Documents
-
view
224 -
download
0
Transcript of 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
Washington State Archives Documenting Democracy
Basic Records Retention
Requirements
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
What needs to be kept?
• No public records shall be destroyed until
approved for destruction by the Local Records Committee.
(RCW 40.14.070)
Washington State Archives Documenting Democracy
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
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
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).
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
“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)
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
What is “Born Digital”?
• 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.
Washington State Archives Documenting Democracy
What is “Born Digital”?
• 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.
Washington State Archives Documenting Democracy
What is “Born Digital”?
• 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.
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
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)
Washington State Archives Documenting Democracy
Records Retention Schedules
Washington State Archives Documenting Democracy
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
Washington State Archives Documenting Democracy
www.sos.wa.gov/archives
Database
Database
Database
Database
CORE and LGGRRS Schedules
Sector Schedules
Putting Retention
Into Practice
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
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:
www.sos.wa.gov/archives
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
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).
Washington State Archives Documenting Democracy
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.
Washington State Archives Documenting Democracy
Stay Informed with What’s New
Washington State Archives Documenting Democracy
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:
www.sos.wa.gov/archives
Washington State Archives Documenting Democracy
Washington State Archives: Partners in preservation and access
Thank you!
Washington State Archives Documenting Democracy