Records Management
A guide to controlling your records…
before they control you.
Presented to PACTC May 2010
Of all our national assets, Archives are
the most precious; they are the gift of
one generation to another and the
extent of our care of them marks the
extent of our civilization.
Arthur G. Doughty, Dominion Archivist, 1904-1935
What is a record?
Content in any format…
Paper files
USB
Cell phone/handheld
Laptop/computer
CD/DVD
Camera
Video
Floppy disc, etc.
The list continues to grow. . .
 e-mail and their
attachments
 web sites
 data bases
 text messages
 instant messages
 voice mail (can now be
converted to e-mail)





digital photos
scanned documents
Outlook calendars
Spreadsheets
word-processing
documents
 Wiki’s, blogs, Twitter
Fundamentals are the SAME with
electronic records (including e-mails) as
with traditional paper records.
Content drives retention periods and
archival requirements.
Media, storage method or form does
not drive retention periods and archival
requirements.
In other words…
Apply same decisions to retaining and
archiving an electronic record as you
would another traditional format.
Chapter 40.14 RCW
“…regardless of physical form or characteristics, and
including such copies thereof, that have been made
or received by any agency of the state of Washington
in connection with the transaction of public
business.”
Nearly everything is a public record…
…but few require archival.
FACT: transfer 2.5%; destroy/discard 95-98%
Delete, shred or recycle when
appropriate.
…but beware, executive records are often
exceptions to the rules!
What is records management?
“The field of management responsible for the
efficient and systematic control of the creation,
receipt, maintenance, use and disposition of records,
including the processes for capturing and maintaining
evidence of and information about business activities
and transactions in the form of records.” (ISO
15489:2001 (International Standard for Records
Management)
Who is responsible?
EVERY public employee has a level of responsibility
for the care and management of public records.
RCW 40.14.040 mandates a records officer’s responsibility:
Inventory, or manage the inventory, of all public records at
least once during a biennium for disposition scheduling and
transfer action, in accordance with procedures prescribed by
the state archivist….”
If only we knew what we already know.
Glenn Sanders
Why care?
 Records and information are an agency’s most important assets—a vital
necessity.
 Records provide the continuity for the function and mission of an agency,
and show the evolution of its existence, culture, society, etc.
 Applying disposition reduces the volume needed to be searched and
produced.
 It’s liberating.
 Requests for archival records transferred to the state archives becomes
THEIR responsibility.
 It promotes effective business practices.
 It promotes efficient use of resources.
 It promotes compliance and cost savings in discovery/disclosure issues.
The best laid plans of mice and men are all filed
away somewhere.
Anonymous
Get started…
Take a tour.
Know your archivist.
Be proactive.
Records Responsibilities on Campus
Public Records Officer
Records Coordinators
Records Manager
Records Custodian
Retention Schedules
A guide for records that need to be
retained for operational, fiscal, legal or
historical reasons.
A retention schedule serves as an
“instruction sheet” for the rules of care
and preservation of public records.
Record Series (WAC 434-663-270)
A group of records that are created, used, filed and disposed of
as a unit because they relate to a particular…function, result
from the same activity, or document a specific kind of
transaction. (easier to manage as a group instead of single
entities)
What does a retention schedule tell you?
•Record Series Title & Description (what they are called and what’s contained therein)
•Retention period (minimum required for retention)
•Cut-off (date or event that signals beginning of retention period)
Two Types
• Date (Calendar year, fiscal year, end of biennium)
• Event (Termination of employment, termination of contract, until superseded)
• Disposition Authority Number (DAN)
• Disposition Remarks & Archival Designation (comments and if series is deemed archival,
essential or may be destroyed)
• Cut-off + Total Retention = Disposal Date
Dedicated Retention Schedules
Use the dedicated schedule (CTC) ONLY when the record would not
be found in the general retention schedule. (i.e., if it’s collegesystem specific, it would not be in the general schedule, such as
curriculum or grading records)
For a time, some common records will appear in both schedules,
with different retention requirements. The general schedule takes
precedence.
Use the record series number in the general schedule if
available.
Some examples…
CTC Retention Schedule
•Professional Leave
•Grading records
•Curriculum
http://www.sbctc.ctc.edu/docs/general_retention_schedule.pdf
General Retention Schedule
•Board Minutes
•Correspondence (incoming & outgoing)
•Executive-level/mgmt minutes
•Subject files (different for exec/mgrs) (vs. correspondence)
•HR Documents
•Photos
•Combined Fund Drive
•Financial Records
http://www.sos.wa.gov/_assets/archives/RecordsManagement/GSFinalVersion_2005_v10_2010.pdf
Special Note—Executive Level Correspondence
vs. Subject Files
Most executive level correspondence (incoming or outgoing)
requires retention. Be careful not to bury it in subject files that
may not require retention.
Consider “correspondence files”—incoming and outgoing.
Questions to consider (along with the retention schedule)…
 Does it address your work, office or program and document actions taken?
 Does it require action?
 Will someone else need it for operational, fiscal or legal reason?
 Will I need it in the future?
 Will this substantiate a decision, action, policy, financial transaction, proof of
ownership, etc. ?
 Does it relate to policies, significant decisions, commitments or important
meetings?
 Does the message facilitate or document actions affecting the conduct of
business?
 Does it request or provide substantive information?
 Does the content protect rights/authority, legal, fiscal, property, other?
Primary vs. Secondary Records
It’s not black and white!
Methods to Determine
• Whose record is it?
• Only one of a “unique” record typically
needs to be maintained. Who does so?
• Interdepartmental agreements
(internal retention schedule)
• Stamp to identify (originals vs. copies)
• blue ink vs. black ink
Primary vs. Secondary
If you know, remove the guesswork...
…label your files (electronic and hard-copy) with
retention information.
Auditor, WA State
2008-09
(no retention)
Correspondence,
Incoming 2008-09
(4 yrs, archival 6/14)
A word about drafts and primary copies…
When do they become the official record?
And are drafts public records?
Minutes
Correspondence
•hard copy
•e-mail
Draft Project Files—Major projects which show
development stages may be an exception.
If you purge it, they will come
Jan Schuffman
.
Public records and legal discovery…
Litigation Holds
Everything must be kept, regardless of retention & disposition until
the case is resolved. (whether you’ve been notified or not)
Must keep information when there is “reasonable anticipation of a
lawsuit.” (even if you ordinarily could have discarded it)
FACT: The number one most requested items for discovery are now
e-mails!
If it exists somewhere…anywhere in your “possession”…you must
produce.
In 2008, the average user sent and received 160
e-mails per day.
Average 30% increase in growth in electronic records
per year.
What’s in your inbox? (How many e-mails?)
e-mail you don’t need…delete them! (again, content
and function direct value, not format)
•Content of a transitory nature
•Social, meeting or announcement type of
notices (exception: applicable Agendas)
•Information only—requires no action (think
through this)
•Personal messages/chit-chat
•Spam/junk mail
Assessing Your Records…
•Who has records?
•What are the records?
•Where are the records?
•Why are those records there?
•How do we manage those records?
•Identify records managers
•Do you really need to keep it?
•Do you “get to” keep it?
Ready to archive or toss?
•Archival Form
•Records Destruction Logs
•Boxes
Records management means never having
to say you’re sorry!
Jan Schuffman
Applicable Laws & Rules
RCW 40.14 Public Records Act (1957)
RCW 40.10 Essential Records
RCW 42.56 Public Records Act
WAC 434-663 Imaging Systems
WAC 434-662 Preservation of Electronic Public Records
The end…
…which is just the beginning.
Presented by Ann Jurcevich
Executive Assistant to the President
Spokane Falls Community College
(509) 533-3535 annj@spokanefalls.edu