Sc ho o l Pe r so nne l Re c or ds Wa shing to n Sta te Arc hive s - - PowerPoint PPT Presentation

Basic s of Managing

Sc ho o l Pe r so nne l Re c or

ds

Wa shing to n Sta te Arc hive s re c o rdsma na g e me nt@ so s.wa .g o v (360) 586-4901

1

Ove rvie w

• Re c o rds Ma na g e me nt Ba sic s
• Sc ho o l Pe rso nne l F

AQs

– Re tire me nt Ve rific a tio n – T

ra ining

– Misc o nduc t – E

mplo ye e He a lth Re c o rds

• Q & A

Be ne fits o f Ma na g ing Re c o rds

E

na b le s the a g e nc y to fulfill its missio n

Pro mo te s c o st-e ffe c tive use o f a g e nc y re so urc e s Pro mo te s o pe n a nd a c c o unta b le g o ve rnme nt He lps Minimize Ag e nc y Risk

Wha t I s a Pub lic Re c o rd?

F

• r the purpo se s o f Re te ntion a nd De str

uc tion: Any r e c o r d made o r r e c e ive d in c o nne c tio n

with the tr

ansac tio n o f public busine ss r e gar dle ss o f fo r mat (RCW 40.14.010)

• F
• r public disc losur

e , re fe r to c ha pte r 42.56 RCW.

Cha pte r 40.14 RCW

All public r e c or ds sha ll be a nd r e ma in the pr

• pe r

ty of the sta te of Wa shing ton. (RCW 40.14.020)

T he y sha ll b e de live re d b y o utg o ing o ffic ia ls a nd e mplo ye e s to the ir suc c e sso rs a nd sha ll b e pre se rve d, sto re d, tra nsfe rre d, de stro ye d o r dispo se d o f, a nd o the rwise ma na g e d, o nly in a c c o rda nc e with the pro visio ns o f this c ha pte r.

My de vic e / a c c o unt = my re c o rds?

I t ma y b e yo ur pe rso na l de vic e o r a c c o unt, b ut if it’ s b e ing use d fo r a g e nc y b usine ss, ke e p in mind tha t yo u a re a c c e ssing (a nd so me time s c re a ting ) pub lic re c o rds

RCW 40.16.020 – I njury to a nd Misa ppro pria tio n

• f Re c o rd

E ve ry o ffic e r who sha ll mutila te , de stro y, c o nc e a l, e ra se ,

• b lite ra te , o r fa lsify a ny re c o rd o r pa pe r a ppe rta ining to

the o ffic e r's o ffic e …is g uilty o f a c lass B fe lony a nd sha ll b e punishe d b y impr

isonme nt in a state c or r e c tional fac ility fo r no t mo re tha n te n ye a rs, o r b y a fine o f no t

mo re tha n five thousand dollar

s, o r b y b o th.

Ho w Do I K no w Wha t to K e e p?

Ag e nc ie s a re g ra nte d o ng o ing le g al autho rity to dispo sitio n (g e t rid o f re c o rds) thro ug h le g a l do c ume nts c a lle d

r e c or ds r e te ntion sc he dule s

Re c o rds re te ntio n sc he dule s a re a ppro ve d b y the

State Re c or ds Committe e

(RCW 40.14.050; c ha pte r 434-624 WAC)

L

• c al Re c or

ds Committe e

(RCW 40.14.070; c ha pte r 434-630 WAC)

Whic h Sc he dule Do I Use ?

Sta te Gove rnme nt Ge ne ra l Re c ords Re te ntion Sc he dule

F

• r re c o rds tha t a re c o mmo nly

c re a te d/ re c e ive d b y mo st state ag e nc ie s, i.e . - F

• r re c o rds tha t a re c o mmo nly

c re a te d/ re c e ive d b y mo st lo c al g o ve rnme nt a g e nc ie s, i.e . -

L

• c a l Gove rnme nt Common Re c ords

Re te ntion Sc he dule (CORE )

Visit sos.wa.gov/Archives >> Go to “Local Governments” Tab >> Select agency type Visit sos.wa.gov/Archives >> Go to “State Agencies” Tab >> Select Records Retention Schedules  E

mplo ye e de ve lo pme nt

 Atte nda nc e a nd le a ve  Be ne fits pro g ra ms  E

tc …

Whic h Sc he dule Do I Use ?

F

• r re c o rds re la te d to sc ho o l ma na g e me nt whe re no t c o ve re d b y

CORE /State Ge ne ral Sc he dule , i.e -

Sc hool Distr ic ts and E duc ational Se r vic e Distr ic ts Re c or ds Re te ntion Sc he dule

*So o n to be update d to : Public Sc ho o ls (K-12) Re c o r ds Re te ntio n Sc he dule *

Visit sos.wa.gov/Archives >> Go to “Local Governments” Tab >> Select agency type Visit sos.wa.gov/Archives >> Go to “State Agencies” Tab >> Select Records Retention Schedules  Ve rb a l/ physic a l a b use inve stig a tio ns  I

n-Se rvic e E duc a tio n

 E

tc …

Re c o rds Re te ntio n Sc he dule

Rule of Thumb: Never destroy a record unless you can point to a

“DAN” authorizing you to do so.

KEEPPUBLIC RECORDS for

MINIMUM RETENTION

then

DESTROY TRANSFER

HOL D I T !

T he re a re time s whe n yo u must ha ng o n to re c o rds e ve n if the ir re te ntio n re q uire me nts ha ve b e e n me t:

 L

itig a tio n ho lds (must ke e p until ho ld lifte d)

 Ope n pub lic re c o rds re q ue sts (must

ke e p re la te d re spo nsive do c ume nts until re q ue st fulfille d/ c lo se d)

“Bo rn Dig ita l” Re c o rds

• E

le c tr

• nic r

e c or ds must be r e taine d in e le c tr

• nic for

mat…fo r the le ng th o f the

de sig na te d re te ntio n pe rio d.

• Pr

inting and r e taining a har d c opy is not a substitute fo r the e le c tro nic

ve rsio n.

(WAC 434-662-040)

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

L

• c al Gove r

nme nt (CORE )

• E

mplo ye e Re tire me nt/ Pe nsio n Ve rific a tio n (DAN GS2017-009): Re tain fo r 60

ye ars afte r se paratio n fro m ag e nc y o r 100 ye ars afte r e mplo ye e ’ s date o f b irth o r 6 ye ars afte r b e ne fit/b e ne fic iary payme nt c o mple te d State Gove r nme nt Ge ne r al

• Re tire me nt Ve rific a tio n (DAN GS 03032):

Re tain fo r 60 ye ars afte r date o f se paratio n fro m ag e nc y the n De stro y What infor mation is ne e de d to ve r ify r e tir e me nt e ligibility?

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

• E

mploye e na me (first, middle , la st), da te of birth, a nd SSN;

• Se rvic e and bre a k in se rvic e da te s (hire , te rmina tio n,

le a ve , e tc .). I nc lude s type of le a ve ta ke n (a nd) whe the r c o mpe nsate d o r no t;

• Hours wo rke d pe r mo nth;
• Compe nsa tion e a rne d pe r mo nth. Also inc lude s lump-

sum pa yme nts suc h a s re tro a c tive c o st-o f-living a djustme nt (COL A), c o ntra c t se ttle me nt, misse d e a rning s, e tc . (inc luding b e g in & e nd da te s a nd type o f pa yme nt);

• Ra te of pa y spe c ific to e mplo ye e (sa la ry, ho urly, e tc .);
• E

lig ibility de te rmina tio n.

Washington State De par tme nt of Re tir e me nt Syste ms (DRS) r e quir e s doc ume ntation of all

• f the following

e le me nts as r e tir e me nt be ne fit e ligibility and e ntitle me nt ve r ific ation:

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

Inc lude s, but is not limite d to:

• I

ndividua l pa yro ll re g iste rs/ summa rie s/ da ta b a se s;

• T

ime c a rds/ time she e ts;

• Appo intme nt le tte rs;
• Applic a tio ns fo r e nro llme nt/ pa rtic ipa tio n/

e le c tio ns/ e xte nsio n;

• De te rmina tio n a nd no tific a tio n o f e lig ib ility/ e ntitle me nt
• r ine lig ib ility;
• Co ntra c t/ a g re e me nt, po lic y/ pla n b e twe e n e mplo ye e

a nd b e ne fit pro vide r;

• Na me , a ddre ss, sta tus, a nd b e ne fic ia ry/ de pe nde nt

mo dific a tio ns/ c ha ng e s;

• Withd ra wa l fro m pla n/ syste m.

E xample s of r e c or ds that may c ontain the se e le me nts:

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

L

• c al Gove r

nme nt (CORE )

• E

mplo ye e Pa y – Histo ry (DAN GS50-03E

• 15)
• Pa yro ll Re g iste r (DAN GS50-03E
• 22)
• Pa yro ll Pro c e ssing , Distrib utio n a nd Re po rting (DAN

GS50-03E

• 02)

State Gove r nme nt Ge ne r al

• Pa yro ll F

ile s – E mplo ye e Pa y Histo ry (DAN GS 03031)

• Pa yro ll Re g iste r (DAN GS 01060)
• Pa yro ll Pro c e ssing , Distrib utio n a nd Re po rting (DAN

GS 03033)

If NOT ne e de d to ve r ify r e tir e me nt e ligibility:

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

• Do the r

e c or ds doc ume nt tr aining pr

• vide d by the distr

ic t, or tr aining r e c e ive d by individual distr ic t e mploye e s?

• Is the tr

aining mandator y?

• Ar

e c ontinuing e duc ation/ c loc k hour s awar de d?

Whic h r e c or ds se r ie s c ove r s e mploye e tr aining?

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

L

• c al Gove r

nme nt (CORE )

• Ag e nc y Pro vide d T

ra ining – Ge ne ra l (DAN

GS2011-181) State Gove r nme nt Ge ne r al

• T

ra ining – Ge ne ra l (DAN GS 22007)

• T

ra ining is no t re q uire d b y fe de ra l, sta te o r lo c a l sta tute a nd/ o r the e mplo ye r;

• Qua lific a tio ns/ c re de ntia ls/ lic e nse s a re no t e a rne d;
• Co ntinuing e duc a tio n ho urs/ c re dits/ po ints a re no t

a wa rde d.

Age nc y Pr

• vide d –

not mandator y

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

L

• c al Gove r

nme nt (CORE )

• Ag e nc y Pro vide d T

ra ining – Ce rtific a te d, Ho urs/ Cre dits E a rne d, o r Ma nda to ry (DAN

GS2011-180) State Gove r nme nt Ge ne r al

• T

ra ining – Ma nda to ry o r Ce rtific a te d/ Ho urs/ Cre dit Pro vide d (DAN GS 22008)

Mandator y T r aining – NO c loc k hour s/ c r e de ntials

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

Sc hool Distr ic ts & E duc ational Se r vic e Distr ic ts

• Ag e nc y-Pro vide d T

ra ining – I n-Se rvic e E duc a tio n Pro g ra ms (DAN SD51-04G-01)

• Re c o rds do c ume nting a ppro ve d in- se r

vic e e duc ation pro g ra ms pro vide d b y the lo c a l

g o ve rnme nt a g e nc y to the pub lic , c usto me rs, c o ntra c to rs, o r a g e nc y e mplo ye e s, whe re c o ntinuing e duc atio n c re dits/c lo c k ho urs are awarde d. Mandator y T r aining – c loc k hour s/ c r e de ntials awar de d

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

L

• c al Gove r

nme nt (CORE )

• E

mplo ye e Wo rk Histo ry (DAN GS50-04B-06)

State Gove r nme nt Ge ne r al

• Pe rso nne l – E

mplo yme nt Histo ry F ile s (DAN GS

03042) T r aining r

e c e ive d by e mploye e

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

Ge ne r al Misc onduc t L

• c al Gove r

nme nt (CORE )

• Misc o nduc t I

nve stig a tio n F ile s – F

• unde d

(DAN GS50-04B-46)

• Misc o nduc t I

nve stig a tio n F ile s – Unfo unde d

(DAN GS50-04B-47) State Gove r nme nt Ge ne r al

• Co mpla ints a nd Grie va nc e s – Uphe ld (DAN

GS 03003)

• Co mpla ints a nd Grie va nc e s – E

xo ne ra te d

(DAN GS 03006) Whic h r e c or ds se r ie s c ove r s misc onduc t inve stigations?

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

Ve r bal/ Physic al/ Se xual Abuse Sc hool Distr ic ts & E duc ational Se r vic e Distr ic ts

• E

mplo ye e Ve rb a l Ab use / Physic a l Ab use Ac c usa tio ns/ I nve stig a tio ns – Susta ine d a nd Unfo unde d (DAN SD2014-021)

• E

mplo ye e Se xua l Misc o nduc t Ac c usa tio ns/ I nve stig a tio ns – Susta ine d a nd Unfo unde d (DAN SD2014-020)

Whic h r e c or ds se r ie s c ove r s misc onduc t inve stigations?

Sc ho o l Pe rso nne l Re c o rds F AQ’ s

L

• c al Gove r

nme nt (CORE )

• E

mplo ye e He a lth Re c o rds (Ro utine )(DAN

GS2017-015)

• E

mplo ye e Me dic a l a nd E xpo sure Re c o rds

(DAN GS50-04B-30) State Gove r nme nt Ge ne r al

• Pe rso nne l – He a lth-Re la te d Re c o rds (Ro utine )

(DAN GS 03054)

• E

mplo ye e Me dic a l a nd E xpo sure Re c o rds

(DAN GS 03039) Whic h r e c or ds se r ie s c ove r s e mploye e me dic al r e c or ds?

Pe rso nne l Re c o rds – F uture Upda te s

If the r e have be e n c hange s in…

• L

a ng ua g e a nd te rmino lo g y

• Ne w re c o rds se rie s
• Ob so le te re c o rds se rie s
• F

e de ra l a nd sta te re q uire me nts

… ple ase le t us know!

We want to he ar fr

• m you.

Re c o rds Ma na g e me nt Re so urc e s

• We b site : so s.wa .g o v/ a rc hive s

– T

ra ining – o nline a nd in-pe rso n

– Ho w-to vide o s – Re te ntio n sc he dule s – Advic e she e ts

FREE CONSULTATION, TRAINING, AND ADVICE

Wa shing ton Sta te Ar c hive s

re c o rdsma na g e me nt@ so s.wa .g o v www.so s.wa .g o v/ a rc hive s Pho ne : (360) 586-4901

29