Introduction

The University Archives & Records Center is located in the Washington State Archives (Goltz-Murray) Building on the southeastern edge of campus. The Center can be reached at (360) 650-3124 from 8:00 A.M. to 5:00 P.M. Monday through Friday. The Archives & Records Center provides the following services to University academic and administrative units that have state-approved Records Retention Schedules in place or are using the General University Records Retention Schedule:

Storage

The Archives & Records Center provides economical and convenient storage for semi-active and inactive records and for those records identified as archival on University Records Retention Schedules.

Transfer Assistance

Records are picked up from campus offices and transported to the Archives & Records Center.

Records Retrieval and Delivery to University Offices

The Archives & Records Center provides reference retrieval and delivery of records, usually within 24 hours of the request.

Records Destruction

Records stored in the Center are destroyed with the approval of Records Coordinators in accord with established records retention periods. In addition, assistance is provided to offices which need to have confidential/sensitive records shredded/obliterated when those records are eligible for destruction directly from the office.

Summary

Records storage and retrieval services for semi-active and inactive scheduled records are provided by the Archives & Records Center to avoid the high costs associated with office storage and to make such records easily accessible.

Records Coordinator Responsibilities

• Prepare the office's records for transfer to the Archives & Records Center, and prepare the Records Transmittal form according to the instructions on the following pages.
• Receive and file "office copy" of Records Transmittal form after records have been processed by the Archives & Records Center for storage.
• Act as liaison with the Records Center to coordinate retrieval and refiling records from storage. (See Records Retrieval/Reference Service).
• Update office copy Records Transmittal forms when records are destroyed from Records Center storage (see Records Disposition).

How to read and use retention schedules to transfer records to the Records Center:

Records Retention Schedules are an important tool to manage the records in your office. Retention Schedules list the types (records series) of records created in an office and throughout the University. (See the section on Records Retention Scheduling) and the General University Retention Schedule for detailed information about creating/using retention schedules.)

Records retention schedules tell you:

• The exact title of the records series
• How long each records series must be retained (retention period)
• When to begin counting the retention period (cut-off)
• How long the records should be kept in the office and in the Records Center
• The unique, identifying Disposition Authority Number assigned to the records series
• Whether the records have historical (archival) value and will be retained indefinitely

Check to make sure the records being transferred are listed on an approved records retention schedule:

Make sure that the records you are transferring are listed on your office schedule or on the University General Records Retention Schedule. Look in the columns labeled "Records Series Title" and "Function/Purpose" to find the name and description of the records you are working with. If the records are not listed on either retention schedule, contact the University Archives & Records Center to add them to your retention schedule. Until new records series are submitted to the State Records Committee, the records may not be transferred to the Records Center.

Records retention schedule definitions:

Once you have located the records on one of the retention schedules, take note of the cut-off column. (The cut-off is part of the retention period column on the General Schedule.) The cut-off is the date (for example, end of fiscal year) or event (termination of employment) that begins the retention period for the records series. Determine if the record series have reached their designated cut-off.
Reference the column(s) pertaining to the retention period. On your office retention schedule, the retention period is divided into three columns: office, Records Center, and total. The records must be retained for the total retention period. Contact the Records Center if you need to transfer records before the suggested office retention period has been reached.
If the records series is designated as "archival," or "selected files potentially archival," the records have enduring historical value and need to be transferred to the Archives & Records Center at the end of the specified retention period. Please box archival records separate from records with short-term retention periods.

Place Records in Standard Storage Boxes

Contact the Archives & Records Center office (650-3124) or e-mail to request standard storage boxes (10 x 12 x 15).Plan for three storage boxes per legal-size drawer and two boxes per each letter-size drawer.

Before preparing Records Transmittal information, organize records in boxes by records series , according to the Records Retention Schedule. Whenever possible, all records in a box should have the same disposition date. Do not place potentially archival records in the same box with records that will be destroyed at the end of their inactive retention period. Do not overfill boxes, or place hanging files in boxes. To ensure shelf clearance, the box lid must sit firmly on the rim of the box.

Organize records as follows: For example--Office A plans to send 20 boxes to the Records Center in July to include 12 record series. The boxes will be numbered 1 through 20 and will be listed on the Transmittal forms. Later in the year, Office A sends another shipment of six boxes. They will be numbered 1 through 6.

More than one records series may be placed in a box, if they share the same disposition date.

Prepare Records Transmittal Data using the web-based on-line form on the Archives & Records Center web page.

The web-based version of the Records Transmittal form was designed to provide campus offices with a user-friendly method to list records for transfer. After the Records Coordinator sends the Records Transmittal to the Records Center, labels will be prepared based on the information provided. Labels and a temporary copy of the Records Transmittal will then be sent to the Records Coordinator along with a scheduled pick-up date. After the records have been transported and shelved, a final copy of the Records Transmittal will be returned to the Records Coordinator. Allow for several days for small transfers, and a week or more for larger groups of records.

Click on the web-based Records Transmittal form and follow instructions below:

• Log into the form by selecting your office from the pull-down menu, entering the full name of the records coordinator as the user name, and ‘western’ as a password (password not case sensitive). Note: The records coordinator name may be different from the user name.
• Once logged in, choose a Records Series Title from one of the three options listed at the top. When you click on one of the options, you will be directed to the appropriate records retention schedule.
• Click on the circle to the left of the Records Series Title you need, and click the ‘Next’ button directly following that section.
• Then enter the Container Number, File Description (required), and Inclusive Dates of the records you are transferring. The File Description field is optional. All other fields are required. Click the ‘Next’ button.
• After reviewing the information you have submitted, either click the ‘Previous’ button to edit the information or the ‘Save’ button to save it.
• After saving the information, you have the option to enter another record, save the records you have submitted and add more at a later time, or submit a request for transfer. Another option is to view the records you have saved. You may do this by clicking “View Records” found on the left-hand side of the screen.
• When you are in the "View Records" screen, you may add records or choose "Save or Submit" to either save to add records later, or submit the information to the Archives & Records Center.

Notification to Records Coordinator

A copy of the transmittal form indicating the assigned accession number and shelf locations will be returned to the Records Coordinator to be retained in the office. Information from the transmittal forms will be needed when making future retrieval requests to the Records Center.

Coordination of Records Retrieval From Storage

The office of record retains access authority for stored records. Records Coordinators are responsible for files checked out from the Archives & Records Center and for their return.

Coordinators should maintain the office's system and paperwork for retrieval of records from storage.

Requests for retrieval or reference of records must be initiated or authorized by the Records Coordinator or designee. Retrieval may be requested either by e-mail, by using the online form, by telephone, or in-person. Follow the guidelines below. Records to be checked out to the office of origin may be picked up by the Records Coordinator (or designee), or will be delivered by a Records Center student assistant. Requests received by noon will generally be delivered the following day, barring unforeseen delays caused by emergencies or illnesses. Records are not sent and should not be returned through campus mail.

Retrieval Request Procedure

1. Contact the Archives & Records Center (via phone, e-mail, or using the online form) and supply the following information (Items a through d are found on the Transmittal form):
   • Accession number
   • Box number
   • Records Center location (if available)
   • Identification of file folder or documents
2. A Reference Retrieval form is prepared in the Archives & Records Center and signed by the recipient of the materials. One copy is filed in the Archives & Records Center, and the second copy is held by the office until the records are returned.
3. If review of records at the Archives & Records Center is all that is required, arrange with the Center for a convenient time to see the materials in the Archives Building reference room. Your signature will be required on a form prepared in advance by the Center.

Returning Records to the Archives & Records Center

Return records to the Archives & Records Center to be refiled, along with copy two of the Reference Retrieval form. Records may be returned in person, or call for pick up. Do not send records through the campus mail. The Archives & Records Center may send the office a return reminder notice if the records have not been returned after a reasonable amount of time.

Summary

The Records Coordinator supervises disposition of the office's records by applying the retention standards given on the office Records Retention Schedule or the General Records Retention Schedule.

NOTE: "Disposition" does not always mean "destruction."

In general, disposition may take the following forms:

• Disposal from the office.
• Transfer of confidential records to the Records Center for shredding.
• Disposal of records held in storage by the Records Center.
• Transfer of permanently valuable records to the University Archives.

Disposal From the Office

Apply the state-approved retention standards on the Records Retention Schedule and/or the General Records Retention Schedule to identify and "cut-off" files which have fulfilled their minimum legal retention period.

Non-confidential/proprietary records that have fulfilled their minimum legal retention period may be placed in campus recycling receptacles.

Records series identified as "archival," "potentially archival" or "selected files potentially archival" should be transferred to the Archives & Records Center, per procedures outlined in the Archival Records section of the site.

Transfer of Confidential Records to Records Center for Shredding

State of Washington legal statute RCW 40.14 and University regulations require the shredding/obliteration of records containing information of a proprietary, confidential, or highly sensitive nature. The University Archives & Records Center provides for the destruction of such records to eliminate the possibility of illegal or undesirable disclosure, with the exception of examination and faculty grade book material.

Examples of proprietary or confidential records are student grade files, client files, personnel records, and patient files.

Records should not be destroyed without prior establishment of a state-approved retention schedule. Check the individual departmental/office Records Retention Schedule or the General Records Retention Schedule for retention standards or call the Archives & Records Center at 650-3124 for assistance.

Procedure

1. Identify records series eligible for destruction by consulting the General or departmental/office Records Retention Schedule.
2. Place records in boxes that can be closed or sealed.
3. Prepare Request for Destruction of Confidential Records form, including records series title, inclusive dates, and the disposition authority number for each series included. Records will not be accepted without a completed request form. Sign the request form and attach it to the materials you are sending for destruction.
4. Contact the Archives & Records Center to arrange transport of the materials to the Center for destruction. Allow for several days advance notice for small shipments; a week or more for larger transfers.
5. Verification of destruction will be forwarded to the office of origin.

Disposition of Records Held in Storage by the Records Center

The Archives & Records Center systematically identifies records eligible for destruction. When records held in storage by the Records Center have fulfilled their minimum legal retention period, the office of record is notified via a Records Disposition Notice forwarded to the Records Coordinator.

The Records Coordinator reviews the Records Disposition Notice and notifies the Archives & Records Center of any records requiring extended retention.

If the Records Coordinator agrees the records may be destroyed, the Records Coordinator signs the Records Disposition Notice and returns it to the Archives & Records Center as verification of receipt. The Records Coordinator deletes the records listed on the Disposition Notice from the office copy of the Transmittal form. After a minimum of five working days following notification of destruction eligibility, the records will be destroyed.

Consult the Records Retention Schedule for records which have fulfilled administrative requirements in the office, but which are identified on the schedule as "archival," "potentially archival," or "selected files potentially archival." These records have historical value and should be transferred to the Archives & Records Center for permanent preservation when retention periods in the office have been fulfilled. Use the standard transfer procedure for Archives & Records Center storage.