OLD POLICY
PROCEDURE: DATE: April 5, 2000
REVISED: May 14, 2007
SUBJECT: Records Inventory and Disposition
Prepared by: Janet Merz, Executive Assistant
Approved by: __________________________ Dr. Dean O. Stenehjem, Supt.
The
Responsibility Action
Records Officer Forward
copies of the Records Retention Scheduling Review.
Records Custodian-Asst Conduct a biennial inventory of all
records to identify new or obsolete record series, or needed amendments to
existing series.
Records Officer Prepare a unique agency
Records Retention Schedule for WSSB and provide a copy to the Records
Custodian-Assistant. Approve, sign and date the Records Retention Schedule.
Complete the Records Retention Scheduling Review and submit to the Division of
Archives for State Records Committee Review.
Forward an approved copy of the unique agency Records Retention Schedule
to the Records Custodian-Assistant.
After
conducting a complete records inventory, review the records within each office
to determine which records should be transferred to the records room (box the
records and label the box).
Destruction
of Records Stored at WSSB:
The
Records Custodian Assistants shall remove the records from the office files as
per the State's General Record Retention Schedule ( http://www.secstate.wa.gov/gs/gs.doc ). Prepare records for destruction. Determine the appropriate destruction method
(recycle, shred, etc.). Document every
record to be destroyed and date of destruction.
Submit to the Records Officer.
Electronic
documents are defined as: databases,
file systems (Word, Excel, PowerPoint, etc.), Video, Audio, Photographs, PDF’s,
etc.
In
addition, E-mail is just another type of public record. Formally, it is a document created or
received on an electronic mail system, which includes brief notes, more formal
or substantive documents, and any attachments that may be transmitted with the
message.
Messages
and attachments should be filed and retained according to the legal retention
required for the information content of each (see Retention below). To assure appropriate retention of public
records generated or received through an e-mail system, WSSB will be using a
software program that automatically archives all electronic communications. Staff will not have the ability to
permanently delete incoming or outgoing electronic messages with this software
program. This ensures WSSB’s legal
obligation under the Records Retention mandate.
Public Records:
Public records are defined (per RCW 40.14.010) as “…”public records” shall
include any paper, correspondence, completed form, bound record book,
photograph, film, sound recording, map drawing, machine-readable materials, or
other document, regardless of physical form or characteristics, and including
such copies thereof, that have been made by or received by any agency of the
state of Washington in connection with the transaction of public business…”
Back-Up:
Electronic mail should be considered a communication tool. Back-ups are for
disaster recovery purposes only.
Retention is the responsibility of the sender and receiver of the
message, not the back-up process. Although back-up copies performed by
Information Technology staff are NOT records retention, they can be used in a
Public Information Disclosure request.
Confidentiality:
Confidential and sensitive information should not be sent via e-mail. The privacy and integrity of an e-mail
message cannot be guaranteed. Also, once
created, there is no guarantee that attempts to erase or delete e-mail will be
effective.
Privacy: All
messages originated or transported within or received into the WSSB electronic
mail system are considered to be the property of WSSB.
Release: If
requested by a member of the public, e-mail and/or other electronic documents will
be released. For further information see
the Public Records Act (RCW 42.17.250 et seq.) and the Ethics Board WAC
(292-110-010). Tape or disk copies of deleted documents are also subject to the
Public Records Act.
Legal Proceedings: Like
other forms of records, and regardless of retention requirements, e-mail
pertaining to pending audits, or judicial or public disclosure proceedings must
not be destroyed until the issue is resolved.
Litigation Hold Process: If there is any reasonable doubt that WSSB
will be party to a lawsuit, all documents surrounding that issue must be kept,
regardless of the Records Retention schedule.
A notice will be sent to any employee who may have documentation
pertaining to the subject matter.
Retention:
E-mail messages are subject to the guidelines in RCW 40.14, regulating the
preservation and destruction of public records and as such are managed through
records retention schedules.
The
following categories of messages have specific retention periods. Some samples have been included but they are
not inclusive. Refer to the State General Records Retention Schedule for the
retention period of individual items.
Executive
Level (GS 10002): Administrative policies and procedures issued at the
executive level of an agency to address agency-wide operations, critical agency
functions, or issues of public visibility or concern. May include formal directives, formal policy
statements, printed or published procedures manuals, bulletins, orders, rules,
or notices. Does not apply to policies
and procedures which regulate activities outside the agency or ones that are
established through statute or through Washington Administrative Code (WAC)
procedures.
Retention:
6 years after superseded – archival
Routine
General Office Policies and Procedures (GS 09001): Policies and procedures covering the routine,
day-to-day operations of an office or unit.
Does not include agency mission-related policies and procedures (see GS
10002).
Retention: Destroy when superseded
Executive
Level (GS 10007): Correspondence and
memos at the executive level, to and from public officials, the public, and
others, concerning policy issues, concerns, actions or issues.
Retention: 4 years – archival
Routine
Correspondence (GS 09005): Concerning day-to-day office administration and
activities. Includes correspondence between other offices within an agency,
routine correspondence with other agencies, and correspondence with other
agencies, and correspondence with the public on routine matters. Does not
include program correspondence, executive level correspondence or
correspondence concerning policies and procedures (see GS 10)
Retention: 30 days
Agenda
and minutes of meetings:
Administrative
Subject Files and General Documentation (GS 10003): Executive level documentation of the
administration of agency activities. May
include minutes of meetings, management team meeting minutes, agendas, organizational
charts, narrative reports, reports from agency divisions and sub-divisions,
studies, news releases, newspaper clippings, correspondence, and other
materials. Does not apply to program
level records. Refer to your office Records Retention Schedule.
Retention: 4 years – archival
Governing
Body Meeting Files and Minutes (GS 10004):
Minutes and meeting files of the governing body of an agency, if the
agency is so governed.
Retention: 6 years – archival
Proposed
– Minutes & Files of Program Meetings (GS 09009): Minutes, agendas and meeting files from
agency staff meetings, internal committees, task force committees, and other
internal agency meetings which meet to coordinate activities, work out
problems, serve as sounding boards, or vehicles for communication.
Retention: 2 years
Proposed
– Minutes & Files of Policy-Setting Meetings (GS 09010): Minutes, agendas
and meeting files from meetings which formulate policy, rules or regulations
for an agency or a number of state agencies.
Does not include program meetings or governing body meetings.
Retention: 6 years – archival
Appointment
Calendars:
Executive
Calendars (GS 10008): A record of
appointments, “to do” lists, and meeting schedules. Provides a day by day record of official
activities. If maintained in electronic
form, the information should be printed out as often as necessary to provide a
daily record.
Retention: 4 years – archival
Proposed: Calendars, appointment books, routine
telephone logs (GS 09011): A record of
employee appointments, schedules, meetings, visitors, routine phone call logs, etc.
Retention: 1 year
Other
messages sent or received that relate to the transaction of WSSB business: Refer to the State General Schedule.
NEW POLICY
PROCEDURE: DATE: April 5, 2000
REVISED: May 29, 2007
SUBJECT: Records Inventory and Disposition
Prepared by: Janet Merz, Executive Assistant
Approved by: __________________________ Dr. Dean O. Stenehjem, Supt.
The
Responsibility Action
Records Custodian-Asst Conduct
a biennial inventory of all records to identify current, new or obsolete record
series, or needed amendments to existing series.
Records Officer Prepare
a unique agency Records Retention Schedule and provide a copy to the Records
Custodian-Assistant. Complete the Records Retention Scheduling Review and
submit to the Division of Archives for State Records Committee Review. Forward an approved copy of the Records
Retention Schedule to each Records Custodian-Assistant.
After conducting a complete records
inventory, review the records within each office to determine which records
should be transferred to the records room (box the records and label the
box).
Destruction of Records Stored
at WSSB:
The
Records Custodian Assistants will remove the records from the office per the
State's General Record Retention Schedule (http://www.secstate.wa.gov/archives/).
Prepare records for destruction; determine method of destruction, and document
records to be destroyed and date of destruction. Submit to the Records Officer.
Public Records (RCW 40.14.010):
Public records “shall include any paper, correspondence, completed form, bound
record book, photograph, film, sound recording, map drawing, machine-readable
materials, or other document, regardless of physical form or characteristics,
and including such copies thereof, that have been made by or received by any
agency of the state of Washington in connection with the transaction of public
business…”
Electronic
documents are defined as: databases,
file systems (Word, Excel, PowerPoint, etc.), Video, Audio, Photographs, PDF’s,
etc.
E-mail
is a document created or received on an electronic mail system, which includes
brief notes, more formal or substantive documents, and any attachments that may
be transmitted with the message. These
documents should be filed and retained according to the legal retention required
for the information content of each. To
assure appropriate retention of public records generated or received through an
e-mail system, WSSB uses a software program that automatically archives all
electronic communications. Staff do not
have the ability to permanently delete incoming or outgoing electronic messages
with this software program. This ensures
that WSSB’s legal obligation is met, under the Records Retention mandate.
Back-Up:
Back-ups are for disaster recovery purposes only.
Confidentiality:
Confidential and sensitive information should not be sent via e-mail. The privacy and integrity of an e-mail
message cannot be guaranteed. Also, once
created, there is no guarantee that attempts to erase or delete e-mail will be
effective.
Privacy: All
messages originated or transported within or received into the WSSB electronic
mail system are considered to be the property of WSSB.
Release: If
requested by a member of the public, e-mail and/or other electronic documents
will be released. For further
information see the Public Records Act (RCW 42.17.250 et seq.) and the Ethics
Board WAC (292-110-010). Tape or disk copies of deleted documents are also
subject to the Public Records Act.
Litigation Hold Process: If there is any reasonable doubt that WSSB
will be party to a lawsuit, all documents surrounding that issue must be kept,
regardless of the Records Retention schedule.
A notice will be sent to any employee who may have documentation
pertaining to the subject matter.
Retention:
E-mail messages are subject to the guidelines in RCW 40.14, regulating the
preservation and destruction of public records and as such are managed through
records retention schedules.