Disposition of Public Records in King County
Document Code No.: INF 15-3-1 (AEP)
Department/Issuing Agency: DES/Records and Licensing Services Division
Effective Date: January 19, 2009
Approved: /s/ Ron Sims
Type of Action: Supersedes INF 15-3 (AP)
Signed document (PDF, 578 KB)
This policy was superseded by INF 15-3-2 (AEP) on May 23, 2011.
1.0 SUBJECT TITLE: Disposition of Public Records in King County
1.1 EFFECTIVE DATE: (10 days after Executive Signature)
1.2 TYPE OF ACTION: Supersedes INF 15-3 (AP), "Disposition of Records at the King County Records Center" dated November 2, 1991.
1.3 KEY WORDS: Records Center, Records Retrievals, Retrievals, Records, Disposition, Destruction, Electronic Records Management System, ERMS
2.0 PURPOSE:
To establish King County policies and procedures for the legal and timely disposition of public records that have fulfilled the required retention period. This policy applies to all County records stored and maintained in paper and electronic format.
3.0 ORGANIZATIONS AFFECTED:
All King County Agencies, Departments and Offices.
4.0 REFERENCES:
4.1 R.C.W. 40.14 - Preservation and Destruction of Public Records.
4.2 King County Code 2.12 - Retention of Records.
4.3 R.C.W. 42.56 - Public Records Act.
4.4 WAC 434-640 Methods of Records Disposal
4.5 INF 7-12.2 (AEP) - Public Disclosure Response Protocols.
5.0 DEFINITIONS:
5.1 "Agency" means all county departments and administrative offices including divisions and sections within a department.
5.2 "Archival Records" means those records designated as having archival value by the Washington State Archives or the King County archivist. Such records have fulfilled their retention period as per R.C.W. 40.14, but have enduring historical or intrinsic value or a research use beyond the use for which the records were created. Archival records may include records with a permanent retention and an archival designation on approved records retention schedules, which may be transferred to the King County Archives six years after creation.
5.3 "Confidential Destruction" means the process of destruction whereby records are picked up by uniformed vendor employees from a county facility using a covered and properly secured vehicle. The records are taken directly to the vendor's processing facility, sorted for paper quality, shredded beyond practical recognition and baled. Baled materials are loaded into a locked sealed shipping container within 72 hours and sent to a paper mill to be pulped and made into new reusable material.
5.4 "Cutoff Date" means a date or event triggering a change in the status of the records, from active to inactive. Examples include year end, case closed, termination, etc.
5.5 "Disposition" means the actions taken with regard to noncurrent records as determined by approved records retention schedules. Actions include either the destruction or transfer to the King County Archives of public records that have reached the end of the legally mandated retention period reflected on State Local Records Committee approved records retention schedules as per R.C.W. 40.14.
5.6 "Disposition Authority Number" means the number assigned by the Washington State Local Records Committee to a record series on an approved records retention schedule which authorizes the ongoing disposition of records according to the conditions listed on the schedule.
5.7 "Disposition Authorization Notice" means the form which notifies departments of records stored at the Records Center which have reached the end of their legally mandated retention period and are due for disposition.
5.8 "Electronic Records Repository (ERMS)" is the storage infrastructure consisting of multiple servers and a storage area network used to maintain records associated with the records application known as ERMS/FileSurf/CARM.
5.9 "ERMS (FileSurf/CARM)" is the records application used to manage electronic records and physical records in the County Records Center in accordance with records management policies of the County. The ERMS performs the same functions for electronic records as provided for at the King County Records Center for physical records.
5.10 "ERMS File Plan" means the file structure built by the agency under the "categories" or record series provided by Records Management. The ERMS File Plan houses the folders, boxes and documents managed by the system.
5.11 "Electronic Record" means any writing on electronic media. Examples include; e-mail messages and attachments, electronic documents, images and databases.
5.12 "Final Disposition Notice" means the memo sent to departments which have not returned the Disposition Authorization Notice within the prescribed sixty days.
5.13 "Hard copy Record" means any writing taking a physical form. This includes but not limited to paper, microfilm, photographs, video or audio tape recordings.
5.14 "King County Archives" means the King County program responsible for selecting, acquiring, preserving, and making available archival records of enduring historical value. May also mean the repository, operated by King County, to house and preserve the County's archival records or the collection of historical records held in this repository.
5.15 "King County Records Center" means the facility operated by King County for the controlled storage and retrieval of inactive records for the duration of the legally mandated retention period, and the destruction of records past retention.
5.16 "Records Coordinator" means the individual who is designated by division/section heads to coordinate and work closely with Archives and Records Management on the agencies' records management issues. This individual is usually the agency staff member who is most knowledgeable of their agency business records. Duties include; signing and authorizing destruction of agency records with expired retention, preparing and reviewing Records Transmittals prior to sending records to storage; maintaining agency approved records retention schedules, and acting as a point of contact for issues and questions relating to business records created or received in the agency. .
5.17 "Retention Schedule" means a list of record series approved by the State Local Records Committee. The schedule indicates the length of time the record series is to be retained and when and if such series may be destroyed or transferred to the Archives. The schedule also designates record series as essential and/or archival. Unique retention schedules are prepared by the Records Management Section of the Division of Records and Licensing for agencies owning records not listed on the State Local Government General Records Retention Schedule. Unique King County retention schedules are approved by the Local Records Committee for use by King County. King County employees on the ERMS system have electronic access to their unique retention schedules. Agencies not on ERMS can obtain copies of their unique retention schedule(s) from the Records Management Section.
5.18 "Retention Period" means the length of time after the cutoff date that records must be maintained by an agency. This period is defined by records retention schedules approved by the State Local Records Committee.
5.19 "Shredding" means a process of destroying public records by pulping beyond practical recognition. Shredding is usually conducted by the county contracted vendor either on- or off-site.
5.20 "State Local Records Committee" means the committee which has the authority to review and approve the disposition of all local government records in accordance with RCW 40.14.070 and WAC 434-630. Members include the State Archivist and representatives from the State Auditor and the State Attorney Generals offices.
5.21 "State Local Government General Records Retention Schedule" means the document prepared by Washington State Archives and Records Management and approved by the Local Records Committee, which lists minimum retention standards for records series common to all local government agencies.
6.0 POLICIES:
6.1 Disposition of King County records shall be pursuant to a records retention schedule approved by the State Local Records Committee. Disposition will be documented using the appropriate forms prescribed by the Archives and Records Management Section.
6.2 All King County Agencies will appoint a Records Coordinator to work closely with Archives and Records Management on the agencies' records management issues. Duties include records retention scheduling, ERMS file plan development, records transfer to inactive storage, maintenance of records transmittals, and coordination of records retrievals and refiles).
6.3 Disposition of records past retention, destruction, or transfer to the Archives will be authorized by a manager or supervisor. Agencies may designate and authorize their records coordinator to sign and/or approve records disposition authorization. This authorization must be in writing and on file in the Archives and Records Management office.
6.4 The Records Coordinator will have a total of thirty days to coordinate a response to receipt of a Disposition Authorization Notice. A response shall consist of the signature of a supervisor/manager or other authorized signer, authorizing disposition of the records. Disposition may consist of destruction, transfer to the Archives, or a request for an extension of the retention period. For agencies on ERMS, the disposition authorization will be sent via e-mail, and must be approved and returned by the section manager or his/her designee. Unless a response is received within 60 days of the initial notice, all records indicated on the Disposition Authorization Notices will be transferred back to the agency.
6.5 All requests to extend retention of records listed on the Disposition Authorization Notice must follow procedures prescribed by the Archives and Records Management Section. Appropriate reasons to extend the legally mandated records retention include those records involved in an ongoing or pending litigation, audit, public disclosure requests and government investigation.
6.6 King County Archives and Records Management offer three types of destruction services: (1) Direct destruction of hard copy records which have reached their legal retention period. (2) Destruction of hard copy records held in inactive storage at the Records Center. (3) Destruction/deletion of electronic records in the ERMS that have passed their records retention period.
6.7 For records which have been designated or appraised by the County Archivist as archival, a signed Disposition Authorization Notice or an Archival Records Transmittal and Transfer Agreement serves as the authorization to transfer both physical and legal custody of these records to the Archives. For agencies on ERMS, approval of the electronic disposition authorization serves as this authorization.
7.0 PROCEDURES:
Refer to the appendices for specific procedures covered by this policy.
8.0 RESPONSIBILITIES:
8.1 The Archives and Records Management Staff are responsible for reviewing all transmittals of records transferred to the Records Center to ensure that records are not destroyed before their legal retention date, that records with archival value are maintained, and that records are not held longer than is required by County Code and State Law.
8.2 The Records Management and Archives Section will produce records disposition manual. This manual will list all business records produced by county agencies. It is the responsibility of the Records Management and Archives Section to update the manual as procedures change, and notify client agency's Records Coordinators of the changes. The Records Management and Archives Section will provide the records disposition manual in electronic form on their website.
8.3 Agencies are responsible for designating, at least, one employee, and an alternate, who are most knowledgeable of their agency business records as records coordinators. Designations must be accomplished in writing and sent to Records Management for filing. A new letter of designation will need to be accomplished and sent to Records Management if there are any changes to Agency Records Coordinators.
8.4 Agency Records Coordinators are responsible for working closely with Archives and Records Management on all of the agencies' records management issues. These include:
8.4.1 Records retention scheduling, records transfer to inactive storage, maintenance of records transmittals and coordination of records retrievals and refiles.
8.4.2 Ensuring accurate and up-to-date retention schedules are used on transmittal forms when sending records to the Records Center.
8.4.3 Obtaining or signing disposition authorization notices within thirty days of the receipt of such notices, listing all legally scheduled records which are due for destruction.
8.4.4 Acting as a point of contact between the Records Management and Archives Section and their agency to receive changes in policy, procedures and forms, and disseminating information to agency employees.
8.4.5 Acting as a liaison with ERMS Records Management Team to:
8.4.5.1 Request additional ERMS categories for new records;
8.4.5.2 Notify Records Management when ERMS categories become obsolete or organizational ownership of records changes;
8.4.5.3 Participate with the Records Management ERMS Team in maintenance of the agency's records including populating cutoff dates on records, requesting changes and updates to ERMS File Plans, etc.
8.5 Archives and Records Management staff are responsible for supplying disposition confirmation information to the Agency Records Coordinators. Agencies on the ERMS have online access to disposition information for their records.
8.6 King County agencies are responsible for the correct identification of business records sent to the Records Center for inactive storage, for direct destruction, or to be stored on the ERMS system. Archives and Records Management is available to assist agencies in identifying and scheduling on state-approved schedules those records which cannot be found on existing schedules.
8.7 King County Agencies are responsible for the security of hard copy records scheduled for destruction until those records are picked up by Records Center staff or an agency-selected vendor.
9.0 APPENDICES:
9.1 Records Disposition Procedures (PDF, 14 KB)
9.2 Records Disposition Forms
9.2.1 Records Destruction Forms (Records Center) (PDF, 56 KB)
9.2.2 Records Destruction Forms (Agency) (PDF, 55 KB)
| 