watech.wa.gov

Records Management

In a nutshell

watech.wa.gov

What’s a record?• A record is anything you create in the course of doing your

work– Everything from a scribble on a post-it note to a document– Paper and electronic– Personal computer and work computer– Everything

• All records created on work computers are public records whether the records are personal or not

• Only work related stuff are records if you use your personal computer

• The hard question is: how long are we suppose to keep them

watech.wa.gov

What about retention?• Depends on the type of record… no, not whether it’s

electronic or not. That’s irrelevant• Records are to be kept according to the official “record

retention schedule” https://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx

• It’s your job to know the schedule & keep records accordingly• There is also such a thing as “transitory records” which you

only have to keep for as long as they’re useful– Typically: notes, emails about stupid stuff like cleaning

refrigerators, etc

watech.wa.gov

Retention common sense• Be consistent• Obviously important stuff has a retention period like:

– Plans, project plans, roadmaps– QA reports, records that document, assess, or summarizes something– things supporting key decisions

• Stupid stuff doesn’t (transitory value)• If it’s a transitory record you can dump it whenever• The clock start may not be obvious for some things– Project documents retention start at the end of the

project…not when the records were created

watech.wa.gov

Where are records stored?• Key value: store records so that the agency (not just you) can

find it when responding to a public disclosure request• Records (especially those with a retention period) need to be

stored in a “system of record”– A recognized system that people are able to search– So that we can be responsive to public record requests

• Systems of record: emails, file shares, etc• Not systems of record: some random web service we’re using• Records created outside of the systems of record must be

copied to the system of record• Systems of record are documented in the GlassFrog notes for

the role that has accountability for e-gov records

watech.wa.gov

Experimenting vs records management• You can totally be innovative and experimental even with all

the rules around records• Just ask yourself (and answer) these questions:

– What is the record retention of the records I’ll be creating?– How will I get those records copied out?– Similarly, how will I get records out of the system if I get a records

request?– Is there a way to automate the copying of records out into a system of

record? If yes, the sweet! – Of course, is the data category 3 or 4? If yes then I have work to do.

• Public URLs to the records counts as disclosed. Check. Done!!

watech.wa.gov

Category 3 and 4• Category 1 - Public Information

Public information is information that can be or currently is released to the public. • Category 2 - Sensitive Information

Sensitive information may not be specifically protected from disclosure by law and is for official use only.

• Category 3 - Confidential InformationConfidential information is information that is specifically protected from disclosure by law. It may include but is not limited to:– a. Personal information about individuals, regardless of how that information is obtained.– b. Information concerning employee personnel records.– c. Information regarding IT infrastructure and security of computer and telecommunications systems.

• Category 4 - Confidential Information Requiring Special HandlingConfidential information requiring special handling is information that is specifically protected from disclosure by law and for which:– a. Especially strict handling requirements are dictated, such as by statutes, regulations, or

agreements.– b. Serious consequences could arise from unauthorized disclosure, such as threats to health and

safety, or legal sanctions.

watech.wa.gov

Public Disclosure• Everything is publically discloseable • Unless it’s specifically excluded:

– The ATG has a great summary and list of exclusions:– http://www.atg.wa.gov/Open-Government-Internet-Manual/Chapter-2

• Some relevant examples:– Public employee records– Taxpayer info– Banking info– Investigative records– Test and exam questions and answers– Public employee personal contact information– Security info like passwords, risk assessments, etc– Several others