Presented by: Megan Shoemaker Electronic Records Management Consultant [email protected]...

Presented by:

Megan Shoemaker Electronic Records Management Consultant

[email protected]

CORE Records RetentionSchedule Updates

&Replacing Hard Copy Originals

With Scanned Images

CORE Records Retention Schedule Version 2.2

Updates

Effective January 1, 2012

CORE’s Face Page

Pg. 1

Contents

Function

Activities

Pg. 3

Contents

Pg. 4

CORE Version 2.2 Records Series Format

• Disposition Authority Number (DAN) in left column• Records series title and description for all series• Retention cutoff and disposition action

• Designation column identifies archival records

• Also tells us which records require appraisal by a Washington State Archives archivist.

Elements of the new records series format

Pg. 6

Overview of Version 2.2

• CORE 2.2 became effective January 1, 2012.

• It governs the retention of all records currently in agency custody.

• It is 36 pages smaller than the previous version.

• 77 records series were discontinued.

• 34 records series were revised.

Overview of Version 2.2• 28 new records series were added.

• 19 Meeting and Hearing series have

been consolidated into 2 existing and 4 new

records series.

• 31 series relating to financial transactions

have been consolidated down to

2.

CORE 2.2 Revisions

31 existing records series relating to financial transactions have been

consolidated into two series:

1. Financial Transactions – General Retention Period: 6 years

2. Financial Transactions – Bond, Grant and Levy Projects

Retention Period: 6 years after final bond payment, or 6 years after completion of levy/grant project or per terms of grant

agreement, whichever is later

CORE 2.2 RevisionsFinancial Transactions – General

• Purchase/field orders• Bills of sale

• Receipts• Cash books

• Remittance Advices• Vouchers

• Purchasing/receiving documentation

Covers purchase and sales documentationPg. 67

• Cash receipt transmittals• Daily cash reports and summaries• Expenditure/transaction reports

• Treasurer/finance officer reports


Also covers purchase and sales documentation…

… and registers and journals

• General and subsidiary for all funds and functions

• Check/warrant registers• Petty cash documentation


Financial Transactions – General does not cover:

• Levy-, grant-, or bond-funded transactions covered by GS2011-185

• General and subsidiary ledgers covered by GS50-03A-15

• Contracts and Agreements

• Annual financial reports covered by GS50-03D-02

CORE 2.2 RevisionsFinancial Transactions – Bond, Grant and

Levy Projects

Only applies to documentation of bond, grant, or levy funds

including…

Pg. 66

• Contracts and Agreements (bond, grant, and levy projects)

• Announcements, applications, evaluations, award notifications or grants issued or received

• Documents supporting purchase/acquisition/construction

• Documents supporting disposition/sales

• Cancelled (and voided) checks, credit card slips, project cost records, etc. for capital assets

constructed by the local government agency


Levy Projects

• Financial statements and reports (cash receipt transmittals, daily cash reports,

expenditure transactions, treasurer/finance officer reports, etc.)

• Project cost/expenditure journals for all funds and functions (including numerical listing of checks/warrants/vouchers, etc.)

• Revenue bonds and coupons, registers, etc.

• Trust indenture, loan agreements, etc.


Levy Projects

Financial Transactions – Bond, Grant and Levy Projects does not cover:• General and subsidiary ledgers covered by

GS50-03A-15

• Unsuccessful grant applications covered by GS50-03C-07


Levy Projects

Break!

CORE 2.2 RevisionsMeetings & Hearings

19 records series were consolidated down to 2 existing series and 4 new series on

meetings and hearings:1. Appeals Hearings – Local Decision Making

Bodies (General)

2. Appeals Hearings – Local Decision Making Bodies (Land Use/Valuation)

3. Meetings – Governing/Executive/Advisory

4. Meetings – Inter-Agency

5. Meetings – Staff

6. Meetings - Arrangements

CORE 2.2 RevisionsAppeals Hearings – Local Decision-Making

Bodies (General)

Pg. 21

Includes, but is not limited to:• Animal control dispute

appeals;• Billing dispute appeals

hearings (utilities, etc.);• Civil asset forfeiture

hearings;• Civil Service

Commission hearings and employee grievance appeals;

• Board of Equalization property tax exemption appeals;

• Case files,

decisions/orders/rulings, minutes (if taken);

• Oral/written testimony, exhibits, etc.;

• Agendas, meeting/agency packets (briefs, reference materials, etc.);

• Audio/visual recordings and transcripts of proceedings;

• Public notices (affidavits of mailing, posting and publication, etc.)


Bodies (General)


Bodies (Land Use/Valuation)

Includes, but is not limited to:• Board of Equalization valuation

appeals;• Land use administrative

appeals;• Case files,

decisions/orders/rulings, • minutes (if taken);• Oral/written testimony, exhibits,

etc.;• Agendas, meeting/agenda

packets • (briefs, reference materials, etc.);• Audio/visual recordings and

transcripts of proceedings;• Public notices (affidavits of

mailing, posting and publication, etc.).

Appeals Hearings – Local Decision Making Bodies (Land Use/Valuation) does not

cover:• Indexes or other finding aids;

• Records covered by Appeals Hearings – Local Decision-Making Bodies (General);

• Meetings – Governing/Executive/Advisory

• Meetings/Hearings - Arrangements


Bodies (Land Use/Valuation)

CORE 2.2 RevisionsMeetings –

Governing/Executive/Advisory

All meetings regulated by the Open Public Meetings Act (Chapter 42.30 RCW), such as

regular and special meetings, public hearings, etc.

Pg. 23



Also includes…

• Meeting notices (affidavits of mailing, posting and publication, etc.);

• Agendas, meeting packets (briefs, reference materials, etc.);

• Speaker sign-up, written/oral testimony;• Audio/visual recordings and transcripts of proceedings;

• Minutes.• Also includes indexes and other finding aids.



Meetings – Governing/Executive/Advisory does not include:

• Records covered by Appeals Hearings – Local Decision-Making Bodies (General);

• Records covered by Appeals Hearings – Local Decision-Making Bodies (Land Use/Valuation);

• Records covered by Meetings/Hearings - Arrangements

CORE 2.2 RevisionsMeetings – Inter-Agency

Includes:Agendas, meeting packets, sign-in lists, meeting notices (affidavits of mailing, posting, and publication), minutes, audio/visual recordings, transcripts, etc.

ExcludesMaterials relating to meetings regulated by the Open Public Meetings Act (Chapter 42.30 RCW), which are covered by GS50-05A-13.Also excludes records covered by GS2011-174 and -176.

Pg. 24

CORE 2.2 RevisionsMeetings – Staff

Includes:Agendas, meeting packets, sign-in lists, meeting notices, minutes, audio/visual recordings, transcripts, etc.

ExcludesMaterials relating to meetings regulated by the Open Public Meetings Act (chapter 42.30 RCW), which are covered by GS50-05A-13.Also excludes records covered by GS2011-173, GS2011-175, and GS2011-176.

Pg. 24

CORE 2.2 RevisionsMeetings – Arrangements

This records series is for records relating to the administrative arrangements of meetings held by or on behalf of the local government

agency.

Includes, but is not limited to• Meeting date and place scheduling records;

• Agenda requests;• Arrangement of catering, facilities, and/or

equipment

Pg. 25

Meetings – Arrangements does not include financial records (e.g. facility rentals,

catering payment, equipment rentals, etc.)

CORE 2.2 RevisionsMeetings – Arrangements

CORE 2.2 Revisions

CORE 2.2 Revisions6 records series relating to banking have been consolidated into one existing series

and one new series:

1. Banking – Accounts and TransactionsRetention Period: 6 years after end of fiscal year

then destroy.

2. Banking – Deposited ItemsRetention Period: Until deposit verified by bank

then destroy.

CORE 2.2 RevisionsBanking – Accounts and Transactions

This series covers all records documenting banking transactions and activities.

Pg. 72


Includes, but is not limited to:

• Deposits and withdrawals (including Electronic Funds Transfers (EFT), International Money Transfers (IMT), Automated Clearing House (ACH), etc.;

• Statements (bank, dividend, investment, etc.) and reconciliations;

• Records documenting the status of and adjustments to accounts;

• Stop payment reports/requests (and supporting documentation);

• Checks and warrants issued by the agency (if returned by bank).


Meetings – Arrangements does not include:

• Master depository contracts covered by GS50-01-11;

• Cancelled and voided checks for capital assets constructed by the agency which are covered by

GS2011-183 (Financial Transactions – Bond, Grant and Levy Projects);

• Deposited items covered by GS2011-186.


Includes:• Original paper checks/warrants imaged using Remote

Deposit Capture (RDC) or Imaged Cash Letter (ICL), or returned by the bank after redemption;

• Images of checks/warrants created in lieu of depositing the original item (such as Imaged Cash Letter [ICL]).

ExcludesChecks returned to agency due to non-sufficient funds covered by GS50-03B-14.

Pg. 72

Break!

Replacing Hardcopy Originals with Scanned

Imagesaka

“Scan and Toss”

Version 1.0 Released March 2012

Replacing Hardcopy Originals with Scanned Images

Transfer Archival Originals to State Archives

WAC 434-663-640

GS2010-017 provides disposal authority for any imaged records with an Archival

designation. (Hint: Disposal = Transfer to the State

Archives.)

Pg. 118


Destruction After ScanningAgencies wishing to scan paper records and

then destroy them before their required retention has been met must meet State Archives requirements as set forth in the

document Requirements for the Destruction of Non-Archival Paper Records After Imaging.

http://www.sos.wa.gov/archives/RecordsManagement/DestructionofPaperRecordsAfterImagingScanning.aspx


Requirements for the Early Destruction of Paper-Based Source

Records after Scanning

Paper-based source records must be eligible for destruction; they cannot be Archival.

There must be an appropriate records series approved for agency use before the agency

can destroy the source records.

The records must be designated NON-ARCHIVAL.


Agencies may destroy non-archival originals after they are replaced with images managed

according to pertinent retention requirements.

Pg. 118


The Imaging Process

The imaging process should be guided by requirements in WAC 434-663-325.

• Capture a complete and accurate image of each source document.

• Records with retention requirements less than 6 years can be imaged with an

acceptable lossy or lossless format such as PDF, PDF/A, JPEG, or TIFF.

The Imaging Process

Records with retention requirements more than 6 years must be scanned using a lossless data compression format (e.g. TIFF Group 4,

PNG, or GIF).

Imaging density (resolution) and format requirements are in WAC 434-663-305.

Tip: Scanning all textual documents at 300 dpi ensures you are meeting the minimums.



The Imaging Process – Indexing & Metadata

WAC 434-663-710Requires consistent indexing and metadata

for identification, access and retrieval of public records.

• Indexing is a way to attach metadata that facilitates access and retrieval of

information.

• Developing a consistent structure is key to managing and maintaining images.

• An agency should develop consistent naming conventions and file/directory structures to facilitate organization,

The Imaging Process – Indexing & Metadata

Agencies should capture appropriate business and recordkeeping metadata such as:


• Office of record• Disposition Authority

Number (DAN)• Retention period• Destruction date

The Imaging Process – Quality Control

WAC 434-663-530


Consistent, documented scanning and quality control processes are

important.

Requires trained staff familiar with requirements

and documented procedures.

The requirements apply to images produced by

vendors, too!


Specific quality control procedures may include, but are not limited to:

• Enhancements or other manipulations of the images (such as de-skew, de-speckle, etc.)

which may be employed to improve the quality of the resultant image;

• Routine use of scanning targets to verify configuration settings;

• Visual comparisons and inspections of each or selected images and source documents;



Specific quality control procedures may include, but are not limited to:

• Periodic checks that the indexing/metadata is appropriate and accurate. You do not want

to have to re-do thousands of images!

• In instances where a complete and accurate capture of the source document’s content cannot be obtained, the image should be labeled or tagged as “best scan possible”.


The Imaging Process – Retention and Management of Images

The agency must retain legal custody of record images. This is especially relevant to those who do – or are

considering – storing images in the cloud.

Have a documented plan for system/vendor failure.

Store and manage record images for the required retention period. (WAC 434-

663-615)



When agencies choose to use outside vendors (including other government agencies and cloud

storage) to store/host imaged records:

• Contracts must require that legal custody remain with the agency;

• If the contract terminates, all imaged records and metadata must be returned to the agency in an

accessible format;

• Agencies should apply appropriate mitigation strategies to ensure they can fully recover records and metadata that have not met required retention periods.



Agencies must take adequate preventative measures.

• Establish security protocols• Designate approved users• Do regular system checks

• Calculate check sums• Develop disaster response and recovery plans• Generate regular backups which are stored at

least 50 miles away from the agency to enable access to and recovery of the imaged records

during a disaster or emergency.



Agencies must take adequate preventative measures.

• Incorporate record images into the records management system

• Keep record images authentic and accessible for their required retention period

• Plan for migration to future systems and formats to ensure access and use until retention

is satisfied

WAC 434-663-770


The Imaging Process – Destruction of Record Images

Record images are destroyed only in accordance with approved records retention schedules. WAC

434-663-615

Retain record images until open public records requests or litigation holds are satisfied or

terminated.

Ensure that record images are actually destroyed at the end of their required retention periods.


Compile and maintain consistent records destruction documentation.

Records destruction documentation proves:

• Paper originals were converted to digital images and destroyed lawfully

• Images were destroyed lawfully after their retention requirements were met

Note that you are documenting the destruction of the paper originals

and the images.



Helpful Resources:

We have published two advice sheets about the document Requirements for the Destruction of

Non-Archival Paper Records after Imaging

You Are Not Alone!

For advice and assistance:[email protected]

Subscribe to Local Government Records Management Listserv at

http://sos.wa.gov/archives/RecordsManagement/records_local.aspx

Megan ShoemakerEmail: [email protected]

Phone: 360-650-2813

Washington State Archives: Partners in preservation and

access.www.secstate.wa.gov/archives

Thank you!

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