Post on 04-Jan-2016
Washington State Archives
June 2010
Presented by:
Megan Bezzo
Electronic Records Management Consultant
Basics of
Records Retention
Washington State Archives Documenting Democracy
Overview
• Basic Records Retention Requirements
• Records Retention Schedules
• Putting it into Practice
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Basic Records Retention
Requirements
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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.
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What needs to be kept?
• No public records shall be destroyed until approved for destruction by the Local Records Committee.
(RCW 40.14.070)
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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
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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.
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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.
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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).
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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.
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“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)
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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.
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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)
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Records Retention Schedules
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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
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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.
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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.
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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
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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.
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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).
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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.
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Stay Informed with What’s New
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Advice, Training, Updates
Local Government Listserv
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Training, Classes, Workshops
You Are Not Alone
• Washington State Archives is here to help.
• For advice and assistance:
recordsmanagement@sos.wa.gov
www.sos.wa.gov/archives
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Washington State Archives: Partners in preservation and access
Thank you!
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