| Document Code No.: INF 15-3 (AP)
Department/Issuing Agency: DEA/Records and/Elections, Records Management Section
Effective Date: November 2, 1991
Approved: /s/ Jesus Sanchez
Type of Action: Supersedes Summary Sheet INF 15 (AP), and Form RM-3, "Destruction of Public Records". Signed document (PDF, 7.30 MB) Note: This policy is currently under revision. For more information or questions, please contact: Tony Adams, Section Manager
701 Fifth Avenue, Suite 2000
BOA-ES-2000
Seattle, WA 98104-7097
206-296-1925
tony.adams@kingcounty.gov
1.0 SUBJECT TITLE: Disposition of Records at the King County Records Center 2.0 PURPOSE: 2.1 To establish policies and procedures for King County agencies wishing to use the Archives and Records Management Program for centralized destruction as well as for the legal and timely destruction of records stored at the Records Center. 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 Washington Administrative Code 414-24-060 - Records Retention and Disposition Guidelines. 4.3 King County Code 2.12 - Retention of Records. 4.4 R.C.W. 42.17 - Disclosure of Records. 5.0 DEFINITIONS: 5.1 "Archival Records" means records which are no longer needed for daily work, but which have historical or intrinsic value. These materials may document routine procedures of various offices, record the tenure of officials, or highlight early King County and Seattle history. The determination for designating a record as having archival value is made by the County Archivist in coordination with the state. Archival records are kept permanently in both the King County and State Archives. 5.2 "Confidential Destruction" means the process of destruction whereby records are pulped in a chemical bath without any sorting for paper quality. 5.3 "Disposition Authority Number" means the number assigned by the Washington State Local Records Committee to an approved records retention schedule which indicates authorization of the ongoing destruction of records according to the retentions listed. This number appears in the lower left hand corner of an approved schedule, as well as in the RRPD. 5.4 "Disposition Authorization Notice" means the computer generated form which notifies departments of records stored at the Records Center which have reached their legal retention and are due to be destroyed. 5.5 "Final Disposition Notice" means the memo sent to those departments which have not returned the Disposition Authorization Notice within the prescribed thirty days. 5.5 "Records Retention Schedule" means the document prepared by the Records Management Section of the Division of Records and Elections which lists records series, stipulates the length of time each must legally be retained, and by which the Washington State Local Records Committee authorizes the ongoing disposition of the records at the end of their retention periods. Though the state produces manuals for other jurisdictions, all county records must be listed on county schedules. Copies of a department's retention schedules are kept by the records coordinator. 5.6 "Recycled Destruction" means the process of destruction whereby records are sorted by paper quality before being generated into new paper. This process usually involves the baling or bundling of records as is by the recycling company and selling these bales for sorting. 5.7 "RRPD" means the King County Records Retention and Public Disclosure Manual prepared by Records Management, copies of which are held by department records coordinators. This three-ring binder is a list of all scheduled county records, their retentions, and their public disclosure designations. These records are grouped by functions, such as PERSONNEL, BUDGET, and PUBLIC RELATIONS, rather than by departments. The RRPD is intended to provide quick reference for correct records series title, retention, and public disclosure status. Updates to the RRPD will be distributed as needed by Records Management. 5.8 "Witnessed Destruction" means the process of destruction whereby records are shredded on-site by a destruction company under the supervision of a department or Records Management representative. 6.0 POLICIES: 6.1 All records destroyed by King County will be authorized on an approved King County Records Retention Schedule. 6.2 King County Departments, Agencies and Offices will have thirty days to request changes to the Disposition Authorization Notice. If Records Management does not hear back from a department within that time, a Final Disposition Notice will be forwarded to the department. Unless department response is received within thirty days of sending the Final Disposition Notice, all records indicated will be destroyed according to their approved schedules. 6.3 All requests to extend retention of records listed on the Disposition Authorization Notice must be approved by Records Management. Appropriate reasons for extension include involvement in litigation or audits. Unapproved extensions may result in the records being transferred back to the agency. 6.4 Records Management approved recycled and confidential destruction will be provided at no cost to user agencies. 6.5 King County Records Management discourages the use of witnessed destruction services for county records due to its high cost, and the comparative security of confidential destruction. The determination for witnessed destruction will be done on a case-by-case basis. Please contact the Records Management Section at 296-1572 for more information on this issue. 6.6 King County Records Management offers two types of destruction services: (1) Centralized destruction of records which have already reached their legal retention before being sent to the Records Center; and (2) Destruction of records which are held at the Records Center in inactive storage and have passed their legal retention. 6.7 King County Departments are responsible for the correct identification of records sent to Records Management for inactive storage and destruction. Records Management is available to assist departments in identifying and scheduling on state-approved schedules those records which cannot be found on existing schedules, but does not audit each box of records taken into the Records Center for correct identification. 7.0 PROCEDURES: TRANSFERRING RECORDS TO THE RECORDS CENTER FOR IMMEDIATE DESTRUCTION: Action By: Department Action: 7.1 Identifies records currently located in the office which have reached their legal retention period according to the RRPD and which because of their confidential nature, quantity or accountability warrant centralized destruction through Records Management. 7.2 Boxes and labels records in boxes with lids, being careful not to let any one box weigh over 25 lbs. (Please note that it is not necessary to use standard Records Center boxes or labels for direct destruction, but because they will be transferred and stored on pallets, some comparability in size and ability to stack, in addition to clear identification for comparison to the transmittal, is necessary.) 7.3 Prepares Records Transmittal Form according to directions on the back of the form. This form is available from Purchasing Stores, stock # 410-10-01. (See Appendix 9.1.) Note the following exception when preparing the form: 7.3.1 Boxes do not have to be listed separately if they are from the same records series; i.e., Box 1 through 10, Payroll Transmittals 1981 through 1989, is sufficient. However, the transmittal must include the correct records series titles, inclusive dates of records being sent and chronologically numbered boxes for identification. Write "For Destruction" at top of transmittal under Records Series Title area. 7.4 Sends Records Transmittal Form to Records Management at Mail Stop 5-A. Action By: Records Management Action: 7.5 Reviews form for correct records series titles, retentions, and potential archival value. Calls department to clarify any problems that can be cleared up over the phone. 7.5.1 If problems cannot be cleared up over the phone, schedules an appointment with the department to prepare new schedules, or to fix whatever is necessary to solve the problem. 7.6 After approval of Records Management, arranges for a date to either pick up the records from the department pickup location, or in the case of those departments with couriers, schedules a time for the records to be dropped off at the Records Center. (See Appendix 9.2 for Box Pick-up Locations and Instructions.) Action By: Department Action: 7.7 Arranges with Facilities Management to have records moved to department pick-up location. Action By: Records Management Action: 7.8 On scheduled pick-up date, verifies with department that records have been transferred to the appropriate pick-up location. 7.9 Picks up records from scheduled pickup location and stages at Records Center. 7.10 Within two days, returns yellow copy of transmittal to department records coordinator as a receipt of transfer. 7.10.1 If a problem occurs at the point of pick-up, completes a Problem Pick-up Form, (see Appendix 9.3), indicates the problems that need correcting before pick-up can be completed, leaves it with the person(s) transferring the records, or if they are not available, tapes the form to the pallet and calls them upon return to the Records Center to let them know the boxes were not picked up. 7.11 Completes the disposition of records in next centralized destruction. 7.12 Mails to the department records coordinator a computer printout confirming the records destroyed. INVENTORY DESTRUCTION OF RECORDS HELD AT THE RECORDS CENTER WHICH ARE DUE FOR DESTRUCTION: Action By: Records Management Action: 7.13 In the first week of each month, prints a Disposition Authorization Notice by department, listing records currently stored in the Records Center which will have reached their necessary legal retention by the end of the following month. 7.14 Reviews Disposition Authorization Notice printout and compares to original transmittal and records retention schedules, and appraises for potential archival value. 7.14.1 If printout does not match transmittal, makes correction online and reprints report. 7.14.2 If printout and transmittal list an incorrect retention, makes correction online, reprints report, and initials box on disposition notice that states "Retentions have been changed from those noted on original transmittal to conform to current legal retentions." 7.15 If records are determined to have potential archival value, Archivist prepares an additional Transfer of Custody Form, (see Appendix 9.4), which will be attached to the Disposition Authorization Notice for department signature. 7.16 If printout is correct, mails a copy to the department records coordinator. Action By: Records Coordinator Action: 7.17 Receives Disposition Authorization Notice. 7.18 Signs and returns notice within thirty days. Action By: Records Management Action: 7.18.1 If notice is not returned within thirty days, mails Final Disposition Notice, (see Appendix 9.5), with copy of Disposition Authorization Notice.
Action By: Records Coordinator Action: 7.18.2 Receives Final Disposition Notice and copy of Authorization Notice. 7.18.3 Signs and returns Authorization Notice within another thirty days.
Action By: Records Management Action: 7.19 Completes the disposition of records in next centralized destruction. 7.20 Mails to the department records coordinator a computer printout confirming the records destroyed. 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 and State Law. 8.2 Departments are responsible for designating one employee in the department as the records coordinator, for ensuring that the records series titles listed on transmittals for records sent to the Records Center accurately represent the contents of the box, and that information contained in this policy is properly circulated. 8.3 Records Coordinators are responsible for signing and returning within thirty days the notice listing all legally scheduled records which are due for destruction. 9.0 APPENDICES: These appendices are available from Records Management: 9.1 Records Center Transmittal Form. 9.2 Pick-Up Locations and Instructions for Boxes Sent to the Records Center. 9.3 Problem Pick-Up Form. 9.4 Transfer of Custody Form. 9.5 Final Disposition Notice. |
