Washington State Archives Public Records Management for Conservation Districts

Transcription

1 Washington State Archives Public Records Management for Conservation Districts Presented by: Scott Sackett Electronic Records Management Consultant, Eastern WA June 17, 2013

2 Overview Key Records Management Concepts Public Record Retention Schedules Archival vs. Non-Archival Records Retention Requirements for Conservation District Records Going Paperless: Born-Digital and Digitized Records Mobile Devices, Social Media, and Other Burning Electronic RM Topics

3 What is a Public Record? For the purposes of retention and destruction (chapter RCW): 1. Made or received in connection with the transaction of public business 2. Regardless of format For purposes of public disclosure, refer to chapter RCW.

4 What needs to be retained? Per RCW (2)(a), no public records shall be destroyed until approved for destruction by the Local Records Committee.

5 Retention Schedules Per chapter WAC, the Local Records Committee grants disposition authority in the form of records retention schedules. Records retention schedules (RRS) identify: Type of records approved for destruction; Minimum period for which they need to be retained; and Whether the records have archival value or are essential.

6 What Schedules Do I Use? The Conservation Districts Records Retention Schedule addresses those records that are specific to Conservation Districts. The Local Government Common Records Retention Schedule (or CORE) addresses those records that relate to the common functions of the management of the agency, and management of its physical assets, finances, human resources and information resources. Records-Retention-Schedules-for-Conservation-Districts.aspx

7 What Do Agencies Do with 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.

8 Sample Page Common Records Retention Schedule (CORE)

9 Sample Page Common Records Retention Schedule (CORE)

10 What Do Agencies Do with Archival Records? Archival records must not be destroyed. Agencies must either: 1. Retain the records themselves indefinitely; OR 2. Arrange with Washington State Archives for appraisal/transfer (at no cost) once the records have met their retention.

11 Sample Page Conservation Districts Records Retention Schedule

12 Essential Records Chapter RCW: In order to provide for the continuity and preservation of civil government the state shall designate those public documents which are essential records and needed in an emergency and for the reestablishment of normal operations after any such emergency. Essential records need appropriate offsite backup (digital, microfilm or naturally occurring copies).

13 Essential Steps in Effective RM 1. Identify/classify as early as possible: What is the function of the record? Primary or secondary copy? 2. Retain in a standardized filing structure that facilitates access and disposition 3. Apply same retention and disposition practices to electronic records and paper-based records 4. Regularly schedule disposition to get rid of those items that have met their required retention 5. Document records destruction/archival transfer

14 Retention Requirements for Conservation District Records

15 How Long Must Conservation District Records Be Retained? There are only two records series in the Conservation Districts RRS, both of which are designated Archival Appraisal Required: Agreements with Landowners in which the Conservation District Is a Signing Party - 6 years after completion of transaction or termination/ expiration of instrument Agreements with Landowners in which the Conservation District Is Not a Signing Party - Until obsolete or superseded

16 Okay What If It s Not an Agreement with a Landowner? For functions that are not specific to Conservation Districts, consult the CORE Schedule. A few examples (see also handout): Communications Governing/Executive/Advisory (Retain for 2 years after communication received or provided, whichever is later; appraisal required) Communications Non-Executive (Retain for 2 years after communication received or provided, whichever is later) Banking Accounts and Transactions (Retain for 6 years after end of fiscal year)

17 Going Paperless: Born-Digital Records and Digitized Records

18 Paper or Electronic: Which Is the Primary Copy? Regardless of how it was created: If the transaction of public business occurs in paper then the paper record is the primary copy for retention purposes. If the transaction of public business occurs electronically then the electronic record is the primary copy for retention purposes.

19 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 )

20 Why Printing Doesn t Work for Born Digital Records Metadata associated with born digital records establishes the authenticity of the record, providing evidence of the transaction taking place. Printing electronic records (e.g. s) preserves the informational content but not the authenticity of the record.

21 Organize, Using What You Have Agencies that have established file structures for their paper records should consider applying these structures to electronic filing systems Mirror the plan throughout use same structure for paper, , desktop, network drives and servers Retention schedules already exist Also serves as excellent preparation prior to implementing any automated processes

22 CORE Example Additional file folders can be created as necessary under each record series

23 What each user needs to know What records they themselves create and receive Which records have minimal retention value and can be destroyed when no longer needed What they are NOT required to know Disposition Authority Numbers (DANs) and retention values (if that information is already linked to the pre-determined folders)

24 Messages: Identifying the Agency Record Copy Generally speaking, for records originating within the agency, the person who creates and sends the message holds the agency record copy. For records received from outside the agency, the primary recipient or the agency recipient taking action holds the agency record copy.

25 Threads A Cautionary Note Considering keeping only the last in a thread? Be aware: The preceding s (and their metadata) are captured only as text in the body of the Authenticity how easy is it to change that text? Was the discussion a thread, or more of a tapestry?

26 Digitized Records Scanning and indexing of source documents does not automatically authorize the destruction of the source documents for which images have been created. (WAC )

27 Agencies wishing to scan paper records and then destroy them before their required retention has been met must meet or exceed State Archives requirements as set forth in the document Requirements for the Destruction of Non-Archival Paper Records After Imaging. DestructionofPaperRecordsAfterImagingScanning.aspx

28 How Do I Use This Document to Scan and Toss? The agency self-evaluates its compliance with the requirements. If an agency determines that its procedures for scanning and managing the records meet or exceed the requirements, that agency may destroy Non-Archival source records once they have been scanned and verified.

29 Scanning and Tossing : Primary Concerns Are the records designated Non-Archival? Are the records being scanned in a way that ensures a complete, accurate, and durable copy? Will the images be accessible and protected from unauthorized deletion/alteration for the entire required retention period?

30 Mobile Devices, Social Media, and Other Burning ERM Topics

31 My Device = My Records? It may be your personal device or account, but if it s being used for agency business, keep in mind that you are accessing (and sometimes creating) public records

32 Scenario: Accessing Agency via Personal Laptop or Smart Phone Provides a means of remote access to agency server Retain s sent/received by agency server as primary copy Metadata/flash memory created by your smart phone is a transitory record in this scenario Have a policy: If it relates to agency business, use agency-controlled account

33 Scenario: Using a Personal Account for Agency Business Should be avoided this should be reflected in agency policies If business needs to be conducted remotely, agency should have that permits remote access and is accessible by agency If you must send from a non-agency account, copy to agency address at same time If you receive a business-related on a personal account, forward to agency address and retain that as primary copy

34 Scenario: Text/Instant Messaging Third-party provider retention can be problematic Who has custody/control of the record? How is the agency ensuring that the record is captured/retained appropriately? If used for agency business, recommend that its use be limited to those for whom it is truly necessary

35 Social media: Do you?

36 1. Are they public records? Ask the Questions 2. Are they primary or secondary copies? 3. How long do they need to be kept? 4. How will they be retained by the agency? 5. Is this technology appropriate? Consider benefit vs. risk make a business case

37 Considerations: Using Social Media Records with retention value need to be captured and retained by agency Generally entails 3rd-party capture tools, e.g., TweetTake, SocialSafe, PageFreezer, etc. Cannot rely on social media provider to retain Agency should have policy delineating terms of use, authorization, training required

38 Moving to the cloud CLOUD Issues to consider: Custody Co-mingling of data (will probably not be held separately from others using storage server) Privacy, security Data transmission/flow (Where is the server, exactly?) Disaster preparedness and recovery

39 Local Government Records Management Homepage RecordsManagement/records_local.aspx View, search, and download current retention schedules Download advice sheets, recent PowerPoints, and other guidance on RM topics View our training calendar and register for upcoming classes Sign up for our Local Government Agency Notification List

40 Records Management Consultations Searching the schedules for an appropriate record series? Staring down decades /gigabytes worth of paper/ e-records and not sure where to start? Contact us! We can provide advice and consultation by , by phone, or (if appropriate) in person

41 Thank You, WSACT! Washington State Archives: Partners in preservation and access.