1. Washington State Archives October 2010 Presented by: Russell Wood - State Records Manager Julie Woods – Local Government Records Retention Specialist Basics of Probation Records Retention Washington State Archives Documenting Democracy

2. Overview Basic Records Retention Requirements Records Retention Schedules Putting it into Practice Washington State Archives Documenting Democracy

3. Basic Records Retention Requirements Washington State Archives Documenting Democracy

4. 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. Washington State Archives Documenting Democracy

5. What needs to be kept? No public records shall be destroyed until approved for destruction by the Local Records Committee. (RCW 40.14.070) Washington State Archives Documenting Democracy

6. 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 Washington State Archives Documenting Democracy

7. 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. Washington State Archives Documenting Democracy

8. 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. Washington State Archives Documenting Democracy

9. 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). Washington State Archives Documenting Democracy

10. 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. Washington State Archives Documenting Democracy

11. “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) Washington State Archives Documenting Democracy

12. What is “Born Digital”? Regardless of how it was created: –If the transaction of public business occurs in paper then the paper record needs to be retained. –If the transaction of public business occurs electronically then the electronic record needs to be retained. Washington State Archives Documenting Democracy

13. What is “Born Digital”? Example #1: –Minutes are drafted using Microsoft Word and then printed. –Chair signs the printed minutes at the next meeting. –Transaction of public business occurs in paper so the signed paper minutes need to be retained. Washington State Archives Documenting Democracy

14. What is “Born Digital”? Example #2: –Agendas are drafted using Microsoft Word. –Agendas are distributed to Committee members via email with the Word attachment. –Transaction of public business occurs electronically so the email (and attachment) need to be retained. Washington State Archives Documenting Democracy

15. What is “Born Digital”? Example #3: –Confirmation of training attendance and medical reports are submitted in hardcopy to Probation Officer. –Information entered into database. –Transaction of public business occurs in paper so the submitted hardcopy records need to be retained. Washington State Archives Documenting Democracy

16. 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. Washington State Archives Documenting Democracy

17. 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) Washington State Archives Documenting Democracy

18. Records Retention Schedules Washington State Archives Documenting Democracy

19. Which Schedule do I Use? 1)Local Government Common Records Retention Schedule (CORE); AND 2)District and Municipal Court Records Retention Schedule www.sos.wa.gov/archives Washington State Archives Documenting Democracy

20. Local Government Common Records Retention Schedule Covers records relating to: 1.Agency Management 2.Asset Management 3.Financial Management 4.Human Resource Management 5.Information Management 6.Records with Minimal Retention Value Washington State Archives Documenting Democracy

21. Probation Case Files District and Municipal Court Records Retention Schedule Probation Case Files (DM52-06H-01) Reports and correspondence regarding the progress and status of individuals on probation. Also includes copies of the Court’s orders related to probation. “3 years after completion or termination of probation”

22. Putting Retention Into Practice Washington State Archives Documenting Democracy

23. Organize to Destroy Organize paper and electronic records by probation case. Separate current and completed probation case records. Group completed probation cases by year completed. Washington State Archives Documenting Democracy

24. 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 Washington State Archives Documenting Democracy

25. 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. Washington State Archives Documenting Democracy

26. You Are Not Alone Washington State Archives is here to help. For advice and assistance: recordsmanagement@sos.wa.gov www.sos.wa.gov/archives Washington State Archives Documenting Democracy

27. Washington State Archives: Partners in preservation and access Thank you! Washington State Archives Documenting Democracy