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Public Records Management In Washington State The Basics

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 msaunder@bcc.ctc.edu. Local Government General Records Retention Schedules. Focus on key concepts and terms.

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Public Records Management In Washington State The Basics

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  1. Public Records ManagementIn Washington StateThe Basics Presented by: Michael S. Saunders Puget Sound Regional Archivist Phone: 425-564-3950 Fax: 425-564-3945 msaunder@bcc.ctc.edu

  2. Local Government General Records Retention Schedules Focus on key concepts and terms http://www.sos.wa.gov/archives/RecordsManagement/records_local.aspx

  3. Points of Emphasis Legal Requirements Records Disposition Authority

  4. Other Key Concepts: Documenting Records Destruction Identify Your Records Series Electronic Records Systems Essential Records Protection Disaster Preparedness Retaining Records on Alternate Media Public Disclosure Develop a Program State Archives Services and Support

  5. 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

  6. Key Concept: 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

  7. 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

  8. Key Terms: Records Retention Schedule General Records Retention Schedule Records Series Retention Period Disposition Authority Number

  9. Administrative Key Terms: Records Retention Values Legal Fiscal Historical/Archival

  10. Public Records Classification OPR - Official Public Record identifies records that are: Key Terms: Required to be filed as a result of a specific law or serve as Primary documentation of: Agreements Contracts Bonds Transactions Claims filed by or against the agency Any other official action or commitment by the agency

  11. Public Records Classification OFM - Office Files and Memorandaidentifies records that are: Key Terms: Correspondence Informational Reports General Office Files Other records kept for purely administrative purposes Duplicate copies of Official Public Records (OPR)

  12. CORE Local Government Common Records Retention Schedule

  13. 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

  14. 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

  15. 3. Financial Management3.1 Accounting3.2 Auditing3.3 Authorization3.4 Banking3.5 Budgets3.6 Grants3.7 Taxes3.8 Payroll

  16. 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

  17. 5. Information Management5.1 Forms and Publications5.2 Library Services5.3 Mail Services5.4 Public Disclosure5.5 Records Conversion5.6 Records Management

  18. 6. Records With Minimal Retention Value 6.1.1 Agency Information – Routine 6.1.2 Agency-Generated Forms & Publications - Copies 6.1.3 General Information – External 6.1.4 Secondary Copies 6.1.5 Transitory Records

  19. Useful Tools:

  20. CORE Schedule Example

  21. CORE Schedule Example – New Format

  22. LGGRRS

  23. LGGRRS Example

  24. Finding what you need:

  25. http://www.sos.wa.gov/

  26. http://www.sos.wa.gov/archives/RecordsManagement/records_local.aspxhttp://www.sos.wa.gov/archives/RecordsManagement/records_local.aspx

  27. http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspxhttp://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx

  28. http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspxhttp://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx

  29. http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx

  30. http://www.sos.wa.gov/archives/RecordsRetentionSchedules.aspx

  31. 10 Minute Break!

  32. 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: • The prompt destruction shall be insured and the responsibility rests with the agency.   • The recycling agent or entity shall have required licenses and shall be insured or bonded. • Records shall not be kept in unattended and unprotected storage.     • The agency shall have a contract or agreement with the recycler that includes these conditions.

  33. Key Concept: Inventory Your Records Series Sample Records Series Inventory Form

  34. Records Series Title and Description Location Medium Essential Record? Inclusive Dates Volume Approved Retention Period Potential Archival Value? Disposition Authority Number Records SeriesInventory Information

  35. Key Concept: Electronic Records Systems Benefits: 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

  36. Fundamental Concepts: Records are records, no matter the format. Basic records management principles are the same. Electronic technology makes records management more challenging. Records management and IT staff have a shared responsibility and a mutual interest.

  37. Key Concept: Retaining Records on Alternative Media RCW 40.20:Admissibility of Records Reproductions RCW 40.14.020 Records Media Standards

  38. Microfilm Long Term-Low Access Storage Medium Life of Image Dependent on Processing and Storage Conditions Security Storage of Microfilm Backups – Free of Charge

  39. Electronic Imaging Provides Rapid Access to Large Volumes of Information Use Non-Proprietary Systems Open System Architecture Standard Data Compression Protocols Maintain Accessibility for Duration of Required Retention Period Continual overhead and risk for the conversion of long-term data

  40. Key Concept: Provides for the continuity and preservation of government functions through the protection of essential records Essential Records Protection RCW 40.10:Continuity of Government • Key Term: Essential Records • Records 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

  41. Duplicate EssentialRecords Off-Site: • Existing Duplicates • Paper Copies • Microfilm Duplicates • Digital Duplicates

  42. Protect Essential Records On-site: • 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

  43. Key Concept: Planning - Are you prepared? Recovery Removal of Damaged Materials Restoration Post Recovery Operations Disaster Preparedness“A disaster is what happens only if you are not prepared for it”

  44. Introduction I. Essential Records Protection II. Planning III. Response and Recovery IV. Public Records Management Basics V. Imaging Services Online Manual:Essential Records Security Backup, Preparedness, and Response

  45. Key Concept: Defines rights of public access Emphasizes rights of public access Exemptions from disclosure Duty to protect records security Public Access to Government Records RCW 42.56: Public Disclosure Act http://www.atg.wa.gov/records/modelrules/index.shtml http://www.mrsc.org/Publications/pra06.pdf

  46. Public DisclosureSurvival Skill #1 Know your Business - Know your Records

  47. Establish a records management function in your agency Public DisclosureSurvival Skill #2

  48. Get rid of what you don’t need Public DisclosureSurvival Skill #3

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