Washington State Archives

Presented by:

Russell Wood – State Records Manager

Leslie Koziara – Records Management Trainer

Back to School

Electronic Records Retention 101

This session will cover:

• Records retention requirements

• Applying records retention schedules:– Common Records Schedule (CORE)– School Districts & ESD Schedule

• Digital WAC 434-663

Overview

Basics of

Records Retention

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

What needs to be kept?

• No public records shall be destroyed until approved for destruction by the Local Records Committee (RCW 40.14.070)

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

What happens next?

• For 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

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.

What do I do with Archival Records?

• Archival records must not be destroyed.

• School Districts & ESDs must either:a) Keep the records themselves indefinitely; OR

b) Transfer the records to Washington State Archives (at no cost).

In Summary…

• School Districts and ESDs need to:

1. Retain all public records for at least the minimum retention period as listed on the approved Records Retention Schedule.

2. Continue to retain or transfer to Washington State Archives, all archival records

Overview of the

“Digital WAC”

Preservation of Electronic Records

• Washington Administrative Code (WAC) Chapter 434-662.

• Dual purpose:1. Outlines requirements for electronic records;

2. Mechanism for transferring archival electronic records to the Digital Archives.

So What Changed?

• All existing retention requirements have always and continue to apply to electronic records.

• Electronic records need to be retained in electronic format.

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.

What about the Costs?

• School Districts & ESDs have existing costs associating in retaining electronic records:a) Manage and preserve in accordance with

RCW 40.14 (since 1957); OR

b) Courts have imposed additional requirements to retain in electronic format (e.g. Federal Rules of Civil Procedure).

Reducing Costs

• WAC 434-662 actively seeks to assist School Districts and ESDs to reduce their existing costs by providing mechanisms to transfer archival electronic records to the Digital Archives.

• Ongoing costs associated with preserving archival records met by Washington State Archives

• .

Applying Records Retention Schedules

Records Retention Schedules

School Districts & ESDs use both:

1) Local Government Common Records Retention Schedule (CORE);

AND

2) School Districts & ESD Records Retention Schedule.

CORE Retention Schedule

• Covers records common to all local government agencies:1. Agency management;

2. Asset management;

3. Financial management;

4. Human Resource management;

5. Information management.

Schools Retention Schedule

• Covers records unique to school districts and ESDs, such as:– student records;– curriculum / instruction / teaching records;– student transportation, etc.

• Also covers other records not adequately covered by the CORE schedule.

Applying to Electronic Records

• Don’t try and mange each record individually.

• Group “like” records together into folders and manage retention at the folder level.

• Base folder structure on the record types used in the records retention schedules.

Get Rid of What You Don’t Need

• Transitory / non-records / secondary copies (use CORE GS50-02).

• Destroy non-archival records at end of their minimum retention period.

• Transfer archival records to Washington State Archives.

You Are Not Alone

• Washington State Archives is here to help.

• For advice and assistance:

recordsmanagement@secstate.wa.gov

www.secstate.wa.gov/archives