RECORDS MANAGEMENT MANUAL Wyoming State Archives Division of Cultural Resources Wyoming Department of State Parks and Cultural Resources August 2009 CONTENTS
Introduction Records Retention Schedules: How Schedules Are Established Electronic Records General Schedules State Records Center: Purpose and Ownership of Records Active Record Systems Transfer of Records to the State Records Center Transfer of Records Scheduled for Microfilming Records Research and Retrieval Destruction of Records Timetable Archives and Historical Research: Transferring Permanent Records Evaluating Records for Historical Value Management of Records Scheduled for Permanent Retention Archival Appraisal Criteria Microfilming the Records: Document Preparation In-House Micrographic System Electronic Document Imaging Definitions 17 19 19 20 12 13 13 16 6 6 8 9 10 10 11 1 2 3 i August 2009 INTRODUCTION Records play a vital role in the overall operation of state government activities.
They serve as an organization’s memory, as a record of past events, and as a basis for future actions. No government activity can be accomplished with out the documented evidence contained in the records. By applying the principles of records and information management (RIM), we strive to assure this role is fulfilled. Wyoming Statute 9-2-410 declares, “All public records are the property of the state. They shall be delivered by outgoing officials and employees to their successors and shall be preserved, stored, transferred, destroyed or disposed of, and otherwise managed, only in accordance with W. S. 9-2-405 through 9-2-413. ” The Records Management Unit of the Department of State Parks and Cultural Resources is founded on the law as cited.
The unit’s goals, functions, and services to governmental agencies and to the public come directly from the law and, because of the law, the unit is involved in all aspects of managing Wyoming’s public records. The six goals of the Records Management Unit are: 1. Publicize and promote sound RIM practices at all levels of government, thereby reducing tax dollar operating costs. 2. Establish records retention schedules that allow for the legal destruction or permanent retention of paper records, electronic media, and microfilm, as authorized by the State Records Committee. 3. Manage a State Records Center for the storage of inactive and semi-active state records. 4.
Provide expertise to all levels of government about image systems, equipment, and supplies, to ensure that any systems installed are economically feasible and justifiable, and that uniform quality standards are followed. 5. Organize and participate in training programs that give instruction in the philosophy, methodology and implementation of RIM programs. 6. Maintain a high level of expertise by keeping informed of the latest developments in the RIM field and throughout industry by attending seminars, equipment exhibitions, and professional meetings. These goals translate into services for your agency, and all of state government, in the management of public records.
This manual has been prepared to inform you of the RIM services available and with the sincere hope that you make full use of them. The services we will discuss are: records retention schedules, functions of the State Records Center, and destruction of records, archival preservation, and microfilming of records. These services are provided at no cost to your agency, and have been designed to give all state governmental agencies an efficient and cost effective way to manage the large volume of public records created by the State of Wyoming. There are other services of the Archives and Historical Research, Technical Services, and Records Management units that operate within the Wyoming State Archives, but are not mentioned in this manual.
Our trained and expert staff is always ready to assist you and to help you solve problems that may arise. Please feel free to call us! -i- RECORDS RETENTION SCHEDULES In order to curb the uncontrolled and costly growth of records, reduce legal exposure, while retaining information long enough to satisfy administrative, fiscal, historical, and legal requirements, a management mechanism is required. In the realm of RIM, that mechanism is records retention scheduling. Retention scheduling is the process of identifying all records and information series and assigning an appropriate time period for which the records must be kept. Without this process, it is not possible to have a RIM program.
It is important to note that all information media regardless of the physical form or characteristics, such as paper, microfilm and electronic storage are subject to the provisions of legally approved retention schedules. Retention schedules provide the guidance necessary to prevent unneeded records from consuming valuable file or server space and to assure that vital records and mid to long-term records are preserved until they have served their purpose. The objective of the Records Management Unit is to develop retention periods for all state and local government records and to revise them as changes occur. Records retention schedules are prepared by the Records Management Unit with the cooperation and participation of the agency of record, and are legally approved by the State Records Committee.
The schedules should also be reviewed periodically to see if legal, administrative, fiscal, or historical values require the retention periods to be changed. Records retention schedules are published on the worldwide web in our records management application, RIMS, at URL http://rims. state. wy. us and, for local governments, in listings located at URL http://wyoarchives. state. wy. us/Retention/index. asp. Each schedule has three elements: the AR-1 number (disposition authority), the record title, and the disposition instructions (See figure 1). To establish new schedules or update or change existing retention schedules, the scheduling process is as follows: 1.
An Analysis of Records form, AR-1 (Figure 2), is completed on each record or record series. The agency of record can complete the form or can request assistance from the Records Management Unit. 2. The Records Management Unit analyzes the request, and obtains input as to the record’s archival value from the Archives and Historical Research Unit. 3. Once the Records Management Unit and the agency of record have agreed upon a proposed retention period, the draft AR-1 form is completed and sent to the agency. After it is signed by the agency director or appointed records officer, it is returned to the Records Management Unit for further processing. 4.
The AR-1 is circulated to the members of the State Records Committee for review. Any questions that a committee member has concerning the proposed records retention schedule are answered or mediated by the Records Management Unit. The Committee formally approves the schedule during a public meeting (W. S. 9-2-411). 5. New or revised records retention schedules are updated in RIMS or in the on-line retention listings for local government and the agency is notified. Your agency may choose to keep a printed copy of your listing in a manual. If your agency chooses to do this, the on-line source should be checked regularly for updates. These schedules are your legal authority to be followed in managing your records.
Future changes to these schedules are contained in new schedules that supersede the obsolete schedules. -1- ELECTRONIC RECORDS Much of your information is being created and stored electronically, including e-mail. These records need scheduling. The scheduling process is completed as outlined above. Computer programs that create digital records such as word processing, databases, spreadsheets, geospacial applications, and graphics, are types of media, not record types. Digital records are those created, modified, or stored within a computer system. The records should be stored in a specific directory format that is recognizable and available to all who may have a need to know.
Digital records may also be managed in an Electronic Records Management System that may be part of an Enterprise Content Management (ECM) application. All processes of the computer system should have written policies and procedures as to how they are to be managed. In order to determine the requirements necessary for insuring accessibility for the entire life cycle of the information, electronic records should be carefully evaluated and legally scheduled like other public records. Staff of the State Archives is available to assist in the identification and evaluation of data stored on your hard drive, other storage media, on the agency’s servers, or the mainframe, and develops a plan to protect long-term information or records.
Since digital media is not suitable, at the present time, for permanent retention, these records should be printed or microfilmed, the electronic version deleted, and the record copy stored in the office of record or transferred to the State Archives as defined in your agency’s retention schedules. Non-permanent records may be stored electronically, provided protective measures are developed and implemented to insure the records are retained in a trustworthy and usable manner for the period of time required by the retention schedules, and they are routinely destroyed at the end of their life cycle. Electronic Mail (E-mail): E-mail is the electronic transmission of messages and documents, and like word processing, is a medium, not a record type. The records are the various documents created, sent, and received through the e-mail system, and may include attachments of differing types and calendar entries.
You should be aware that electronic mail of official business or used as evidence of official acts, are records of the State. Email documents can be non-records, time limited records, or permanent records, and should remained in the email system for only a short period of time. The same guidelines as described above should be used to properly manage your e-mail. Permanent and long-term documents should be printed and properly managed. Staff of the Records Management Unit is available to assist in the analysis and scheduling of your e-mail, along with providing assistance as you organize the record series and files stored on your agency’s servers.
Destruction of Electronic Records: Electronic records should be treated the same as any other state record. They should not be destroyed prior to the end of their retention period nor should they be kept past the end of their retention period unless they have historic value or are part of a pending or ongoing legal action. Destruction of records that are maintained in a digital format should be accomplished in such a way as to insure the record has been completely wiped from the storage media and from all backup media. Documentation of this destruction should be maintained in accordance with established retention schedules. For more information on the destruction of state records please refer to page 16 of this manual. -2- GENERAL SCHEDULES:
Most retention schedules are written for a specific office and do not apply to any other office. However, in recognition of the fact there are a number of records series that are common to virtually all agencies, the Records Management Unit has created general schedules, which may be used by any state office maintaining any of the record series listed therein. Examples are, fiscal records, personnel records, annual reports, minutes, publications, etc. Copies of the general schedule listings may be obtained from the Records Management Unit, RIMS, or they can be viewed and downloaded from the State Archives’ web site. – 3- Retention Schedule Report AR1 # Create Date Department Division Section Subsection Title Schedule Superseded 7003 General 1/9/2007 Schedules 3:42:15 Executive PM Branch Administrative Records and Reports (General Schedules Executive Branch) Permanent or transfer one copy of the Plan to the State Archives. Duplicate plans and other related records: Retain 1 Agency Strategic year, then destroy or follow Plans and Related specific retention schedules. Records NOTE: W. S. 9-2-1026. 6 (c) requires state agencies to provide the State Library with seven (7) copies of all state publications. Agency Performance Measure Audit Reports Retain 3 years, then destroy Authority approved for all offices of the Executive Branch, except the Department of Audit. 07002
General 1/9/2007 Schedules 3:45:21 Executive PM Branch Administrative Records and Reports (General Schedules Executive Branch) Administrative Records and Reports (General Schedules Executive Branch) Administrative Records and Reports (General Schedules Executive Branch) Administrative Records and Reports (General Schedules Executive Branch) 09156 General 3/13/2009 Schedules 3:54:18 Executive PM Branch 09145 General 3/16/2009 Schedules 8:05:34 Executive AM Branch General 4/23/2009 Schedules 3:14:28 Executive PM Branch General 12/4/2006 Schedules 16970 3:27:07 Executive PM Branch Administrative Records and Reports (General Schedules Executive Branch)
Retain 5 years after final Approved expenditure report, then American evaluate for legal, Recovery and administrative, and historical Reinvestment Act value for transfer to State application Archives. Destroy remaining records records. Disapproved American Recovery and Retain 3 years after date of Reinvestment Act action, then destroy application records Retain four years in office. Agency Office of Transfer to State Archives for Executive evaluation of enduring legal, Director’s / historical or administrative Officer’s Value, then destroy Correspondence remaining. Printed before July 1, 1972 and after July 1, 1991: transfer 1 copy to State Archives. Printed after July 1, 1972 and before July 1, 1991: transfer 1 copy to State Archives if it contains material Annual Reports NOT published in compiled edition.
Destroy at discretion other copies and background material. NOTE: This schedule does not apply to the Wyoming State Library and the Wyoming State Archives reports, which are permanent. Figure 1, RIMS Record Retention Schedule -4- WYOMING STATE ARCHIVES Cultural Resources Division Barrett Building, Cheyenne, WY 82002 Telephone # (307) 777-7826 ANALYSIS OF RECORDS AR-1# (Disposition Number) Department Division Title of Records Any Agency General Division Board Minutes Section Administrative Statutes Affecting Retention Description and Use (Includes confidentiality of information) The minutes are prepared for each board meeting and document the board proceedings.
These files may be created and managed either electronically or in paper form. CONTINUING AUTHORITY ACTION REQUESTED: Retain permanently on paper or microfilm or transfer paper or microfilm to Wyoming State Archives. Date Request Approved: W. S. 9-2-401 through 9-2-419 Denied: State Records Committee: , Chairperson Department Head / Records Officer Department of State Parks & Cultural Resources (Signature) Office of the Attorney General Attorney (local records) AR 1 Revised 2001 (Figure 2, AR-1) Department of Audit -5- STATE RECORDS CENTER PURPOSE: The Records Management Unit administers a records center that provides centralized, economical, and controlled storage of inactive and pre-archival government records.
The records center is used for the storage of state agency records which are no longer needed in immediate office space for conducting current business, but which must be kept for legal, administrative, or fiscal reasons. Records must have a disposition number, AR#, assigned before they are transferred. Records without a valid AR# will not be accepted in RIMS. OWNERSHIP OF RECORDS: While all public records are the property of the state, for the purposes of this manual, records will remain the property of the agency of record during the time they are stored in the records center. Title does not change until records are transferred to the State Archives. Accordingly, these records will be released to no other agency or person without the agency of record’s permission. Information from the records is provided the same protection.
Agency records in the office and inactive records stored in the State Records Center, will be easily managed and retrieved if a good quality filing system is established and utilized. There are many factors to consider when establishing or revising filing systems. The choice will affect the efficiency of the system. Once a system is established, a simple filing guide should be written for staff to follow. Centralized or Decentralized Files: Security and access to the records are two major factors when considering whether to centralize or to decentralize an office’s files. Files can be centralized to serve an office, a program, a section, a division, or theoretically, a whole agency.
Advantages to centralized files: • • • • • Standardization of filing policies and procedures More efficient utilization of filing staff Improved floor space utilization Improved security and control Reduction in duplicate filing Advantages to decentralized files: • • Faster access to records when stored at the work station level Improved filing accuracy because of greater familiarity with the records ACTIVE RECORDS SYSTEMS: Filing Arrangements: The primary reason for establishing a filing arrangement is to achieve fast and accurate filing and retrieval of records. To determine the best arrangement for your office, you need to know by what attribute will the record most likely be asked for. It may be by number, person’s name, company name, sending organization, topic, project, etc. The most basic orders for files are alphabetical, numerical, and chronological.
Most all arrangements will have one or a combination of these three as their basis. File folders are normally arranged alphabetically or numerically and documents within the folders are arranged chronologically, or reverse chronological order with the current document at the front. Some filing arrangements are: Subject Files – Filing by subject brings together documents related to a particular topic or issue, grouped in a file folder, which has been properly labeled with the topic or subject represented. These folders are arranged alphabetically under a major index heading or file guide such as, ‘General Correspondence,’ ‘Administrative Subject Files,’ or a similar category.
They also share the same retention period. However, when some topics develop large volumes or have different retention values, they should be maintained in a separate location with an individual file guide. For example, an office may have a small number of travel -6- vouchers relating to travel of office personnel. These may logically be filed within the Administrative Subject File in a folder labeled ‘Travel Vouchers. ” But in an office whose primary function it is to handle fiscal matters, the vouchers may consume several file drawers. These vouchers will be maintained separately and may even have a different retention period because the fiscal office is the primary record keeper.
IMPORTANT: To make it easier to review and purge records for destruction or transfer to storage, subject files should be separated into two distinct categories: Operational Subject Files and Office Administration Subject Files. Contact the State Archives if specific retention schedules need to be established. Operational Subject Files – Each division, section, or office has specific programs or functions for which it is responsible. The files that document these functions or programs are called operational or program files. Folders should be properly labeled and should be filed under the broad heading ‘General,’ ‘Program,’ or ‘Administrative’ correspondence.
They quite likely will have a longer retention period, and should be kept separate from housekeeping records. Office Administration Subject Files – All offices have correspondence that does not relate to the primary mission, but rather to the administration of the office and its personnel. This correspondence is often referred to as ‘Office Administration’ or ‘Housekeeping Records,’ and includes matters such as timekeeping, office supplies, office security, scheduling, hiring, training etc. These files need to be properly identified and filed separately from the Operational Subject Files or Program Records. Case files – These files are grouped together because of their relationship to a particular person, organization, or set of circumstances.
Procedures must be written to identify the event or action that must occur before these records are classified “inactive. ” Examples of case files are: personnel records, mortgage records, workers’ compensation files, public assistance files, medical records, etc. Chronological Files – Chronological file folders are maintained in date order, or reverse date order, regardless of the subject. For example, they may be “reading files” which duplicate other filing systems and are used as a cross reference, or they could be fiscal files which are filed by date of payment. Records of Elected Officials and Agency Directors It is especially important for the State Archives to receive records of former elected officials and department directors.
A high percentage of these records deal with policy issues, and topics and events that are important to document the historical record. These records are scheduled for permanent retention or for evaluation of their permanent value. However, Archives staff often find non-permanent records, covered under other retention schedules, filed with these more significant records. Some rules of practice: 1. Don’t use a department director’s or an elected official’s administrative files as a catch-all for agency records. Don’t file FYI copies, routine housekeeping memos, or non-permanent records covered under another schedule with the records scheduled for permanent retention or evaluation.
Of course, records that might be covered under another schedule can be filed in the director’s or elected official’s records if that individual had an extraordinary purpose for filing them. 2. Director’s files should primarily include original records produced by the director’s office or sent to the director by subordinates or other parties because they directly relate to the department’s mission and/or policymaking. -7- TRANSFER OF RECORDS TO THE STATE RECORDS CENTER (SRC) WHEN: The cost of storing records in the records center can be as low as 20% of the cost of storage in current office space. If you’re running out of filing space and your reference rate is low, send to the records center, for inactive storage.
You may only send those records that have not completed their retention requirements. Records that have met their lifecycle will not be accepted into the SRC. MATERIALS REQUIRED: To transfer your records to the records center, you will need special records center boxes, Avery 5168 or similar gum labels, and access to RIMS. If you have questions or need assistance in transferring your records, please give us a call at 777-7040 or call your assigned analyst. LOADING BOXES: Each records center box holds one cubic foot of records. To assist you in determining how many boxes you will need for your records shipment, we have provided the chart in Figure 3. letter-size file drawer 1 legal-size file drawer 1 letter-size, 36″ open shelf file 1 legal-size, 36″ open shelf file 3″ x 5″ cards, ten 12″ rows 4″ x 6″ cards, six 12″ rows 5″ x 8″ cards, four 12″ rows 1. 5 cu. ft. or 2 boxes 2. 0 cu. ft. or 2 boxes 2. 0 cu. ft. or 2 boxes 3. 0 cu. ft. or 3 boxes 1. 0 cu. ft. or 1 box 1. 0 cu. ft. or 1 box 1. 0 cu. ft. or 1 box Figure 3, Container Capacities When loading boxes for transfer, please keep the material in the same sequential order as it was in your filing cabinet. This practice will assist us to retrieve documents when you need them later. It will also help if you can avoid intermingling record series. Do not overload or stuff records into the boxes. They should be full, but manageable. When boxes are overloaded, it wastes time and: • • • • • Lids won’t fit on the box.
Boxes won’t fit on records center shelving. Bottoms fall out. Records are damaged during removal and especially upon return to the box. They will not be picked up! LABELING BOXES: Each records center label is created in RIMS using Avery 5168 or similar gummed labels. As you enter the box information into RMS, the information needed for the label is created. Please be sure to place the label on the handle end of the box. To Create a new box in RIMS: (Steps are similar for new Users and Places, except on different tabs. ) -8- 1. Click the Boxes Tab, then click the New Action Button. Assign and enter a unique Box Number, date range, and Contents to each box.
Tip: Create unique Box Numbers to fit your requirements. Do not exceed 14 characters and spaces. Accurately describe the contents of the box. It is difficult to match a records series with its disposition schedule when the contents do not agree. 2. An AR1# is required. This number is assigned to each record series. If you have more than one record series in the box, Please select the longest retention for the records. This will insure the records in the box are not destroyed too soon, Do not place permanent records or records to be microfilmed in a box with time-limited records. Boxes will not be picked up if this number is not assigned. Select it from the list. 3.
Click the Save & Close Button to return to the Home Page grid or click the Save & New 4. Button to continue creating a series of similar items. 5. Box labels are automatically generated and sent to the Label Queues. Note: Rolled plans (construction drawings, maps) are tracked like boxes. Plan # = Box # (Click the “Rolled Plan” checkbox). Important: Do not click Save & View, then Save & Close – a duplicate box will be created! Please confine any distinctive markings you wish to make to the space within the boundaries of the label, since most boxes will be reused after your records are destroyed. Please be sure to not cover the bar code on the label. The bar code is the way your boxes are tracked in RIMS.
The label will only display the first 200 characters and spaces, If you need more information about the contents, you may enter 2,500 descriptive characters and spaces. The entire contents field is searchable in RIMS but does not appear on your box label. To Create a Brand New Record or File: (Tip – Create a new box first! See steps 1-3 above) 1. Click on the Records or Files Tab — then click the New Action Button. 2. Enter the desired information and choose applicable drop-down values. 3. (Note: “Land” information applies to agencies which use legal land descriptions. ) 4. Click Save & Close or Save & New to continue creating a series of similar records. 5. Transfer new records or files to the new box, not to a pickup place.
NOTE: Creating and tracking individual records in RIMS is optional, but may help you identify the exact record you need to request. Shipping the Records: Once your records are boxed and labeled, they are ready for transfer to the records center. To Transfer New Boxes, Old Boxes, Old Records/Files to a Pickup Place: 1. Click the Boxes or Records/Files Tab. Quick-Search the items you wish to transfer. 2. Click the checkbox next to item(s) to be transferred. Click the Transfer Action Button. 3. See *)Time-Saver, or… click Search. Search & select a pickup Place from the 4. Places Tab list. This is where you want the boxes or files to be picked up. Click OK. 5. Click the Transfer Button on the Transfer page. * Time-Saver: Transfer pickups to a Place Barcode.
First search the Places tab, click on Place Description, find the Place Barcode near the bottom and write it down (include zeros) or save in Notepad, then you don’t have to Search for it every time you Transfer items to your regular pickup Place. Just type or copy/paste it into the Destination field. ? Important note for Field Offices bringing new boxes to Cheyenne: First transfer boxes to the Destination Barcode similar to this example: 0000118093 (include leading zeros). Unless you are notified otherwise, your records should be picked up within five working days. ? For more completed instructions on the use of RIMS, please visit our website at URL: http://wyoarchives. state. wy. us/RimsUserGuide. pdf.
TRANSFER OF RECORDS SCHEDULED FOR MICROFILMING: The procedures described above also apply to records that are transferred for microfilming. (See also “Microfilming the Records” in this manual. ) -9- RECORDS RESEARCH AND RETRIEVAL: Your records are available from the SRC during normal working hours. We attempt to deliver within forty-eight hours of your request, and in urgent cases it is possible to get service within 2 hours. When requesting records, Please use RIMS at URL: http://rims. state. wy. us/Default. aspx. If you do not have access to RIMS, Please contact the Records Management Unit at 777-5586 or 777-7040 to talk with your agency’s Analyst to establish an account. If simple information is all you need from a file, tell us and we’ll relay it to you by phone. No one else has access to your records. Therefore, if you wish to provide your records to another agency or individual, you will have to initiate the request. A written authorization from your agency’s Records Officer or administrator will allow access to your records. Your records may be returned to record center storage through the centralized mail system. If entered in RIMS, we will pick them up at your request. Each request for records retrieval is electronically recorded by RIMS and printed out for delivery and reporting purposes. A copy of this transaction log may be provided to your agency upon request. DESTRUCTION OF RECORDS
When records have completed their life cycle as prescribed by the legally approved records retention schedules, they may be destroyed. Even though the records are scheduled for destruction, they may need to be screened for on-going legal or historical value. If records are being used in any legal action, they have to be retained until settlement of litigation. See the Archives portion of this manual for help in evaluating records for historical value. All financial records must be kept until they have met all audit requirements and all audit findings have been resolved. If an audit has been done by an independent certified public accountant, you must send a copy of this report to the Department of Audit.
Destruction of records should be documented by preparing a Certificate of Records Destruction (Form AR-6). The Records Management Unit maintains the original of the certificate, and a duplicate may be created and retained by the agency of record. If your agency is going to destroy your records in-house, you may document the destruction using the AR6 form available on-line at URL http://wyoarchives. state. wy. us/RecMan/pdf/AR-6. pdf. Your agency has the option of sending a copy of the completed AR6 to the Records Management Unit for documentation of the action. After obtaining approval of your department head or Records Officer, State Archives personnel will accomplish disposal of records stored in the records center.
We will identify records eligible for disposal, prepare a certificate of destruction, and send it to you for approval. This is your opportunity to see if there is any reason why destruction should be delayed. When the signed original is returned, we will destroy the records by the most appropriate method. The timetable in Figure 4 should assist you in determining when records are eligible for disposal. Please keep in mind that a record’s retention period begins when the record is cut off – not when it is transferred to the records center. For example, records maintained on a calendar year basis are normally cut off on December 31, and records maintained on a fiscal year basis are normally cut off on June 30.
However, records may also be cut off at other times, such as monthly, semi-annually, or upon the occurrence of a certain event, such as the completion of a case. – 10 – TIMETABLE HOW TO USE THE TIMETABLE • • • Note the retention period of the record in the retention listing. Find the latest date of your record on the left scale. Follow the scale horizontally until it intersects the retention period column. This is the disposition date when you may destroy your record. THE RETENTION PERIOD (IN YEARS) 4 5 6 7 8 9 • RECORD DATE 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 1 2 3 10 11 12 2008 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 Figure 4, Time Table Don’t let records on a fiscal year basis throw you. A fiscal year begins on the preceding July 1. Therefore, a fiscal year record created in July 2009 is a record of FY 2010. If scheduled for a two-year retention, it should be destroyed by July 1, 2011, which is FY 2012. – 11 – ARCHIVES AND HISTORICAL RESEARCH A large percentage of your agency’s records are to be retained for a specific period of time (one year, three years, five years, etc. ), then destroyed.
Some records are scheduled for permanent retention, and still others are scheduled for evaluation, for on-going legal, historical, and administrative value. The records scheduled for permanent retention have been judged by your agency and our staff to have enduring legal, historical, or administrative value, and should be transferred to the State Archives for preservation. The records scheduled for review, have potential value worthy of permanent preservation, and it is important that you assist the Archives in evaluating them. Transfer Procedures for Records Scheduled for Permanent Retention: 1. Make sure permanent records are not mixed with non-permanent records. a.
Consult your retention schedules. b. Non-permanent records will not be transferred into permanent collections. c. Unscheduled records will not be transferred. 2. Load the records in the boxes in the order you maintained them in your filing system. 3. Do not pack boxes too tightly. 4. Include any indexes. 5. Put an identifying label on the box. a. b. c. d. Name of agency. Type of records (Correspondence, minutes, case files, etc. ). Range of case numbers, if applicable. Range of dates. Box number. TRANSFERRING PERMANENT RECORDS: 6. Sign Transfer of Records form (AR -9). (Figure 5) 7. A copy of the completed transfer form will be sent to the office of origin.
Records transferred to the state’s permanent archives are still available to you. Copies of the records can be sent to the transferring agency free of charge if the copy job is small. However, if a copy job is large, or if requests for copies are frequently received, your agency will be charged $. 50 per copy. If you anticipate that you may need to refer to the records on a regular basis, please wait to transfer until this activity ceases. Original files can be returned for short periods of time for official business, such as updating the file. A receipt to document the return will be sent with the file. Please sign and mail the receipt to the Archives without delay.
Files that have been checked out should be returned to the Archives as soon as possible. Please do not return checked out files with new transfers of records. If there is a continuing need to keep a file checked out from the Archives, please let Archives staff know. Records that need to be added to a file that has been transferred to the Archives, can be sent to Archives staff with the information needed to identify the proper file. Unlike records sent to the State Records Center, transfers to the permanent archives result in a change in custody. This means researchers may access these records without contacting the agency, unless statutory restrictions apply. Reference requests should be referred to the State Archives.
Mailing files for local reference use is discouraged because of the danger of lost or damaged files, and postage costs to both the Archives and the local office. Simple reference requests are usually completed within 24 hours. Archives staff are authorized to certify copies of records in their custody. – 12 – EVALUATING RECORDS FOR HISTORICAL VALUE: As you review records for destruction or preservation, consider the following criteria listed in Figure 6. Your evaluation will primarily involve questions listed under sections A and B. The question is, how can I make it easier to perform the historical review. The first step is to identify, from your records retention schedules, those records series which are scheduled for review.
In most cases, the records scheduled for historical review are the correspondence of agency administrators below the level of the agency director. The second step is to establish a filing system so that administrators’ correspondence to be reviewed is filed separately. Their correspondence reflecting the business of your agency, program development, program changes, shifts in goals or program emphasis, program problems, and program achievements should go into the review files. Do not intermingle routine materials, memorandums, product information, published materials of any kind, or personnel materials with the correspondence to be reviewed. Your historical review should be on going, applying the suggested criteria to the records.
When you need file space, it will be easy to identify, pull, and transfer the review files. For information about managing current files in order to facilitate and expedite purging of inactive records, read again the Active Records Systems section in the manual. Publications (see Definitions) created by state agencies contain information that is valuable for future generations. Wyoming laws require that seven copies be sent to the State Library. The Library will send one copy to the State Archives for permanent preservation and access. Consider yourself in partnership with the State Archives, and if questions concerning the long term value of records and information arise as you proceed with your historical review, call us.
Management of Records Scheduled for Permanent Retention or for Historical Evaluation Background: Government records are scheduled for permanent retention when their value for legal documentation or for documenting the administration of government and public services is determined to have no end. Citizens have long term needs to access government records to document transactions, achievements, the fulfillment of obligations, and for a wide variety of legal and evidentiary needs. Records may also be classified as permanent if they contain information that could be valuable for historical study, information which documents why decisions were made and actions were taken. Historical value may also be found in statistical and aggregate information that illustrates demographics, as well as social development and concerns.
There are also records which provide evidence of our cultural development and attributes, or who we were and what we did. Identifying and maintaining these records is generally seen as the responsibility of archivists and records managers. However, records professionals need the assistance of staff in the agency that produced the records. How the agency files and evaluates their own records has a great impact on access to information, archival operations, and costs of records storage. Everyone involved in the creation, management, and final disposition of these records can take routine steps to facilitate the process of archiving and reduce the costs of government. Listed below are some of these measures: File Management: 1.
The creator of a record should determine the appropriate retention period for the record, based on established retention schedules, and file it appropriately. Making this determination at the time of the record’s creation helps produce an efficient filing system, aids the management and disposition of records, and eliminates the need to weed and sort when it is time to transfer records to the State Archives. If an existing schedule does not apply, the Records Management Unit of the State Archives should be contacted – 13 – about creating an appropriate schedule. 2. Develop a filing system that separates permanent records from non-permanent records. Do not mix records scheduled for permanent retention, or for historical evaluation, with non-permanent records in files or records series.
Review retention schedules for guidelines. 3. Records scheduled for permanent retention should be sent to the State Archives as soon as they cease to be regularly referenced, or their business use ends. Records scheduled for evaluation should be sent to the State Archives to be evaluated by Archives staff. 4. Duplicates of permanent records created for reference copies should be destroyed when their reference value ends. 5. When transferring records to the State Archives, do not pack boxes so tightly that files are difficult to grasp and remove. Files should easily slide back into place. 6. When possible, include box inventories when records are transferred to the State Archives.
Records of Elected Officials and Agency Directors: It is especially important for the State Archives to receive records of former elected officials and department directors. A high percentage of these records deal with policy issues, and topics and events that are important to document for the historical record. These records are scheduled for permanent retention or for evaluation of their permanent value. However, Archives staff often find non-permanent records, covered under other retention schedules, filed with these more significant records. Some rules of practice: 1. Don’t use a department director’s or an elected official’s administrative files as a catch-all for agency records.
Don’t file FYI copies, routine housekeeping memos, or non-permanent records covered under another schedule with the records scheduled for permanent retention or evaluation. Of course, records that might be covered under another schedule can be filed in the director’s or elected official’s records if that individual had an extraordinary purpose for filing them. 2. Director’s files should primarily include original records produced by the director’s office or sent to the director by subordinates or other parties because they directly relate to the department’s mission and/or policymaking. Questions for an Agency’s Self-Evaluation: 1. Are filing procedures established which separate permanent records from non-permanent records? 2.
Are there sufficient classifications in the agency’s filing system to allow for the proper filing of records with similar functions and retention requirements? 3. Are permanent records being identified and maintained? 4. Are records scheduled for permanent retention regularly sent to the State Archives? 5. Are there procedures in place to review and archive records when a department director or elected official ceases employment with the agency? 6. Are permanent records maintained by the agency being stored in a secure manner in a location that is conducive to preservation of the records? (See “Preservation and Management of Paper Records”) – 14 –
GOVERNMENT RECORDS, WYOMING STATE ARCHIVES Cultural Resources Division Department of State Parks & Cultural Resources Barrett Building, Cheyenne, WY 82002 Tel (307) 637-4887 Archives: Permanent Records Tel (307) 777-7040 Records Center: Non-Permanent Records For WSA Use Only MA# TRANSFER OF RECORDS – TO STATE ARCHIVES or STATE RECORDS CENTER Transfer Date Department Division Title of Records AR1# of Records Date Range of Records Department Code Section No of Boxes (Note: Please use one AR9 form for Permanent Records and a separate AR9 for Non-Permanent Records. If transferring records with multiple titles, please list all AR1#’s and record titles in space provided below. ) Check One: Transfer for microfilming Transfer of nonpermanent records to State Records Center Transfer of permanent records to State Archives (Note: Transfer to State Archives constitutes a transfer of custody)
Agency Records Transfer Contact Name: Phone: Building: Mailing Address: Room No: Department Head or Records Officer Please sign, complete contact information, and return to the above address AR9 Revised 10/2006 Figure 5, Transfer of Records – 15 – Archival Appraisal Criteria A. Functional Analysis: Overview of the office of origin. 1. 2. 3. 4. 5. Administrative level of the office – location in the decision making hierarchy. Duties of the office – impact on the mission, policies, and functions of the agency or organization. Identify which record types created by the office best document its functions. Identify records that are required to be maintained by statute.
Identify records that are declared confidential by statute. B. Content Analysis: Quality of information within the records. 1. Evidential value. a. How well do the records document the function, policies, structure, and activities of the agency or organization? b. Preserve the original source materials when possible, rather than secondary sources or transcriptions. 2. Informational value. a. Do the records contain information about significant people, events, trends, and topics affecting the history of Wyoming? b. Are significant policies or activities described? c. Are the interests, values, and experiences of the people of Wyoming well represented? d.
Do the records provide information, insight, or perspectives not documented by records currently maintained by the archives? e. Is the information well documented and reliable? f. Consider the value of the information to genealogical researchers. g. Does the information in the record complement other records in the agency or organization? C. Object Analysis. 1. Does the record have intrinsic value as a particularly significant or revered document, or because of the author or an original signature. 2. Is the physical form, material, or design of the record unique, special, or important? 3. Is the medium upon which the information is recorded difficult to access or preserve? 4. Condition. a. Is the record intact? b.
Will conservation measures be necessary? c. Is the value, accessibility, or reliability of the record’s content affected by its condition? D. Accessibility and Use. 1. Assess the anticipated use of the materials based on past reference activity and the significance and popularity of the topic. 2. Assess the potential increase in the value of the record to future researchers. 3. Are there legal or donor imposed restrictions on the use of the records? 4. Can the archives preserve and use the record in its original format? If not, does an alternative format affect the value of the record and the information it contains? E. Cost Benefit Analysis. 1.
Does the value of the record, especially compared with current holdings, warrant the time, cost, and space that will be required to maintain it? 2. Does the value of the record justify the application of needed conservation measures? 3. Can the archives adequately store and access the records? 4. Does accessing the information on the record require the acquisition of special equipment or materials? Figure 6, Archival Appraisal Criteria – 16 – MICROFILMING THE RECORDS DOCUMENT PREPARATION: Records that have been scheduled for microfilming are transferred to the State Records Center through the same process as records that are sent in for storage, but there are several steps that should not be overlooked before the records are shipped to our agency.
Records that are to be microfilmed need to be prepared for the filming process prior to transfer. Records that are not to be filmed should not be included in the same boxes as those to be filmed. Your documents should be “camera ready” when you call our staff to pick up the records. “Camera Ready” means: o Organize the documents in the order that the files originally existed – alpha, numeric, or chronological – and correct any misfiles. Records are microfilmed as received from the agency; o Purge duplicate copies; o Remove all paper clips, staples, and rubber bands; o Do not include tape recorder cassettes, license plates, or other items that cannot pass through the camera.
If it is necessary that these items appear in the film, make a paper copy of them and include that with the files; o Flatten any folds if possible (tape may be used on the REVERSE side of a document to flatten a crease if there is no information to be filmed on that side; o Unfold any turned corners; o Repair tears with transparent mending tape (not cellophane tape); o Tape very small documents to a letter-size sheet of white paper so that they will not become caught in the camera; o Do not use any type of “sticky notes”. If you have additional information write it on the original document (front or back) or on a separate sheet of white paper; o Return documents to original file folders and load into our record boxes; o Label as you usually would for Records Center transfer; o Complete a Transfer of Records (AR-9) and follow the procedures for “SHIPPING THE RECORDS” in this manual. As part of our routine filming, a target stating “The following document is illegible in part or in total” will be run preceding any illegible documents. These documents will then be destroyed in the same manner as the remainder of that record series.
Once filming of your records has been completed, you will receive a copy of the Microfilm Project form AR-2 (Figure 7). This form contains an MA number in the upper right corner. Use this number when requesting information from the microfilmed records. Those agencies that receive research copies of the microfilmed records should use this number to request duplicate copies of the film in the event of lost, damaged, or destroyed film. – 17 – WYOMING STATE ARCHIVES Cultural Resources Division Department of State Parks & Cultural Resources Barrett Building, Cheyenne, WY82002 Telephone (307) 777. 7826 Fax (307) 777. 7044 MICROFILM PROJECT DATE: MA #:
The following records are to microfilmed by authority of Wyoming Statutes 9-2-401 through 9-2-413, 1977 as amended. DEPARTMENT: TITLE OF RECORDS: DATES: DIVISION: VOLUME: ARRANGEMENT: DESCRIPTION: A Roll Only A & B Rolls Comic Mode Cine Mode Jackets Color jackets Fiche # Fiche Color Fiche Roll Duplicates Sil. Pos Direct Print Diazo Microfilmed By: Roll Numbers: Originals were: Signature: Research copy to: Agency: DISPOSITION # TRANSFER # Archives: RESTRICTIONS No Restriction See archivist Research copy at agency of origin Restricted to agency of origin Access restricted to individual and agency of origin DISPOSITION AFTER FILMING: Recycle Shred Returned to Agency
To Archives DATE: DATE: Micrographics Supervisor AR-2 Revised October 2006 IN-HOUSE MICROGRAPHIC SYSTEM: If you are already microfilming records within your agency, or are considering it, then you must follow Micrographic Standards which are published by the department (W. S. 9-2-406(a)(vii). State statute also requires the camera negative of permanent records to be sent to the State Archives. We offer a free service to help you perform a micrographics system study. Next to storing paper records off premise, microfilm is the least expensive storage media. It costs less to produce a microfilm image than any electronic media including optical disk.
Original Computer-Output-Microfiche (COM), which is produced for your agency by the Information Technology Division of the Department of Administration and Information, should be forwarded to us with an inventory list, if the records or the COM are scheduled to be kept longer than ten years. We will store them in our climate controlled microfilm vault. The research copy can be retained for use by your agency. ELECTRONIC DOCUMENT IMAGING: Electronic document imaging refers to the capture, storage, retrieval, and manipulation of electronic images of office documents. While it is similar in concept to micrographic technologies, electronic imaging offers faster retrieval, allows shared use of document images, reduces paper document storage space, and permits manipulation of the image itself.
However, due to the cost of this new technology, the complexity of selecting and installing it, and the lack of standards for permanence, agencies should contact the State Archives for assistance in reviewing the information systems when considering solutions for their business needs. We can provide advice as to alternative solutions at no cost to the agency. The staff of the State Archives realizes that there are many systems capable of alleviating the storage and retrieval needs of the agencies. Records of a non-permanent nature may be candidates for electronic storage systems. However, since electronic storage media, at the present time, are not permanent, records that have been scheduled as permanent by the State Records Committee cannot be destroyed after entering them into a database or onto optical disk.
Permanent records can be transferred to the State Archives or microfilmed and destroyed. We evaluate records systems for cost effectiveness as well as the business needs of the agency. Microfilming and/or saving the paper after records have been scanned onto electronic media or entered into a database, greatly increases the costs of the information management system. Also, agencies must adhere to standards and to the Governor’s Executive Order 1991-8, and succeeding orders. – 19 – DEFINITIONS ACTIVE RECORDS: Records that are referred to more than once per month per file drawer. They are normally maintained within the agency of record. ADMINISTRATIVE VALUE:
That usefulness of a record that is determined by the minimum length of time required to have the record or record series available in the agency office for the conduct of day-today operations; generally, administrative value is inherent through program or project completion or the completion of a business transaction. AGENCY OF RECORD : ARCHIVES: The office responsible for maintenance and disposal of the records it creates and receives in performing its official functions . A facility designated under W. S. 9-2-406 as the repository for the preservation of permanent records of the State of Wyoming and its political subdivisions. The State Archives is responsible for selecting, preserving and making available permanent archival records. CONFIDENTIAL RECORDS: CUBIC FOOT: Those records that are not generally available for examination by the public as stipulated by state or federal legislation or regulations.
A standard measure of volume for records, 12 inches high, 12 inches wide, by 12 inches thick. The volume of records that will fill a standard records storage box, which will hold legal and letter size files. CUTOFF DATE: The time that filing within a group of records is ended. Normally, this is done annually, December 31 or June 30. Files may also be cut off at other times, such as monthly, quarterly, or upon a specific event. Retention periods normally begin when records are cut off. DELETING: The process of permanently removing, erasing, or obliterating recorded information from a medium which then may be reused. (See also Purging) DIGITAL RECORDS: as electronic records.
Records created, modified or stored within a computer system. Also referred to DISPOSITION: The various actions taken with records, normally after they become inactive. These actions include reproduction on microfilm, transfer to the State Records Center for temporary storage, transfer to the State Archives for permanent preservation, or destruction. ELECTRONIC MAIL (E-MAIL): EVIDENTIAL VALUE : E-Mail is the electronic transmission of messages and documents of various formats including calendar events. The usefulness of records in documenting the organization, function, and activities of the agency creating or receiving them . FILE ARRANGEMENT : FILING:
The manner in which a record series is organized in a file, e. g. alphabetically, numerically, chronologically. The process of arranging, sorting, and storing records so that they may be retrieved rapidly – 20 – when needed. FISCAL VALUE: That value of a record that is determined by state and/or federal audit requirements or by the informational value relating to financial transactions and obligations of the agency. FORMS MANAGEMENT: The function that establishes standards for the creation, design, analysis, and revision of all forms within an organization and assures that they are designed, produced, and distributed economically and efficiently.
FREQUENCY OF REFERRAL: The number of times to which a records series is referred during normal business activities, e. g. daily, weekly, monthly, less than once a month, etc. GENERAL RETENTION SCHEDULES: HISTORICAL VALUE: IMAGE SYSTEMS: Disposition schedules that apply to all offices within a particular branch of state government. They are prepared for records that are common to most agencies . The long-term value of a record as determined by the Archives, Records Management and Micrographics Section and the State Records Committee. Methods and procedures for optically producing exact representations of documents onto a variety of mediums. INACTIVE RECORDS:
Records that are seldom, if ever, referred to in the conduct of current business. They are normally stored in the State Records Center until their term is expired. INFORMATIONAL VALUE: The value of a record that provides unique and permanent information for purposes of research; relates to archival record analysis. LAWFUL CUSTODIAN OF RECORDS: The head of a state department, office, commission, board, or other unit of state government, or his/her authorized deputy, or the custodian to whom the records were transferred pursuant to law. LEGAL SIZE: records. A standard paper size, 8-1/2″ x 14″, or a container capable of holding legal size papers or LEGAL VALUE:
That value of a record that is determined by statutory provisions of the Wyoming State Statutes, Federal Code of Regulations, Federal Rules of Civil Procedures, and any other applicable provisions or the value inherent in records that provides legal proof of a business transaction. LETTER SIZE: or records. A standard paper size, 8-1/2″ x 11″ inches, or a container capable of holding letter size papers MICROFILM: A high-resolution film containing an image greatly reduced in size from the original; the recording of microphotographs on film. MICROGRAPHICS: NON-RECORD: A term applied to the uses of microimage recording, retrieval, and reproduction technologies in an information system.
A convenience copy such as a reading file, unofficial copies kept for reference, stocks of publications, blank forms, and non-government related publications and correspondence. OPTICAL DISK: A non-contact, random access medium tracked by optical laser beams and used for mass storage and retrieval of digitized text and graphics. – 21 – PERMANENT RECORDS: Records appraised as having sufficient historical or other value to warrant continued preservation by the State beyond the time they are needed for administrative, legal, or fiscal purposes. PRE-ARCHIVAL RECORDS: PUBLIC RECORDS: Records which are ultimately destined for preservation in the State Archives, but are currently stored in the State Records Center due to occasional reference requirements.
The original and all copies of any paper, correspondence, form, book, photograph, photostat, film, microfilm, electronic record, optical disk, sound recording, map, drawing or other document, regardless of physical form or characteristics, which have been made or received in transacting public business by the state, a political subdivision, or an agency of the state. (W. S. 9-2-401) PUBLICATION: Any item distributed in multiple copies outside the agency, or within the agency if it contains information needed by the public (including agency employees). Examples include newsletters, annual reports, strategic plans, books (including those commercially published), laws/regulations/rules, magazines, program brochures, directories. Contact the State Government Information Coordinator at the Wyoming State Library for more information or guidance. PURGING:
Removal of individual papers, folders, or groups of folders from a larger group of records, usually to permit disposal of parts of the group and retention of the selected portions. Eliminating material before it is stored. (See also Deleting) RECORDS: All books, papers, electronic records, photographs, maps, or other documentary materials, regardless of physical form or characteristics, made or received in connection with the transaction of public business, which are maintained because they serve as evidence of the functions, policies, decisions, procedures, operations and other activities of state organizations or because of informational value contained therein. RECORDS INVENTORY: organization. An identification and description of all of the records possessed by an RECORDS MANAGEMENT:
That function of administrative management and business operations concerned with the creation, protection, retention, retrieval, and preservation of records and recorded information required for the continuance of operations. RECORDS OFFICER: An employee appointed by the director or administrator of a state agency to represent the agency in RIM matters and who functions as a liaison between the agency and the State Archives. (W. S. 9-2-409) RECORDS RETENTION SCHEDULE: RECORDS RETRIEVAL: RECORDS SERIES: A timetable that identifies the length of time that a record must be retained in active and inactive status before final disposition. The process of locating documents and delivering them for agency use. A group of identical or related records that are normally used and filed as a unit. SECURITY MICROFILMING:
The process of filming documents while continuing to retain the original documents. The film serves as a backup to the original. This procedure is usually applied to records judged to be vital to an agency’s operation. SEMI-ACTIVE RECORDS: SHREDDING: Those records that are referred to only once or twice a month. The destruction of documents and microfilm by mechanical shredding or other methods that render them illegible and beyond reconstruction; generally limited to the destruction of confidential records. – 22 – STATE RECORDS CENTER: The facility designed for the organized storage of inactive records retained for administrative or legal purposes. (W.
S. 9-2-406) STATE RECORDS COMMITTEE: A committee composed of the Attorney General, the Director of the Department of Audit, and the Director of the Department of State Parks and Cultural Resources, or their appointees. The director of the Cultural Resources Division serves as the Chairperson to the committee as appointed by the Director. (W. S. 9-2-411) SURVEY, RECORDS: TRANSFER: (See Records Inventory) The movement of records from one location or custodian to another, usually moving records from the active files to inactive files or from agency office space to a records center or an archival establishment. UNSCHEDULED RECORDS: VITAL RECORDS:
Records or record series for which no decision on disposition has been made and which must be preserved until legal authority on disposition has been approved. Records which are absolutely essential to continue and/or reconstruct the operations of a state agency or office subsequent to an emergency’s arising from enemy action or a natural or man-made disaster such as flood, fire, tornado, riot, explosion, etc. ; those records which are necessary to recreate the agency’s legal and financial position and to preserve the rights of the agency, its employees, and the general public. WORKIN