TABLE OF CONTENTS

ACKNOWLEDGEMENTS INTRODUCTION Purpose Authority Chapter 1: APPLYING EFFECTIVE RECORDS MANAGEMENT PRACTICES Definition of a Record The Life Cycle of a Record Maintaining the "Official Memory" of West Virginia The Role of The Records Officer Chapter 2: RETENTION AND DISPOSITION SCHEDULES Introduction General Retention Schedules Specific Retention Schedules Amending/ Updating the Specific Schedules Procedure Chapter 3: FILING PRACTICES Introduction File Arrangement Alphabetical Filing Advantages of Alphabetical Filing Disadvantages of Alphabetical Filing Numerical Filing Advantages of Numerical Filing Disadvantages of Numerical Filing Alpha-Numeric Filing Advantages of Alpha-Numeric Filing Disadvantages of Alpha-Numeric Filing Access Direct Access Advantages of a Direct Access System Disadvantages of a Direct Access System Indirect Access Advantages of an Indirect Access System Disadvantages of an Indirect Access System Classification Chapter 4: RECORDS CONTROLS Indexing Files Coding Documents

Sorting and Filing Tracking Files Filing Cut-Offs Maintenance Disposal Chapter 5: FILING STORAGE EQUIPMENT Vertical Filing Cabinets Lateral Filing Cabinets Open Shelving Equipment Mobile Aisle Systems Chapter 6: REFORMATTING AND/OR DUPLICATING RECORDS Reformatting Records When To Reformat or Convert Paper to Film Optical Disk Reformatting Equipment Legal Requirements for Duplicates Destroying Records After Reformatting Microfilming and Imaging Contractors Chapter 7: PROCEDURES FOR DESTROYING PUBLIC RECORDS Introduction Destruction Procedure Methods of Destruction Recycling Recycling Locations Trash Destroying Electronic Data Shredding Burning Chapter 8: STORING, MOVING, AND TRANSFERRING RECORDS Introduction Storing Records in Active Office Areas Selecting a Storage Site Selecting Records for Storage Storage Boxes and Shelving Packing and Stacking Boxes Tracking Boxes Resources for information about how to store inactive records Transferring Records to the State Archives Procedure Chapter 9: RECORDS PRESERVATION Introduction Assessing Environmental Conditions

Some well-known enemies of paper and other records Permanent Paper Preservation Photographs Bound Volumes Conserving Electronic Records Acquiring Storage Supplies & Contacting Professionals Chapter 10: PREPARING FOR DISASTER Quick Tips for Disaster Prevention Creating a Disaster Plan Handling Vital Records Vital Records Protection The Politics of Budgeting for Disaster Prevention Chapter 11: ELECTRONIC RECORDS Introduction System Analysis Procedures Manual for Keeping Electronic Records Creation Documentation Access Control Procedures Audit Verification Administration Standards Maintaining Data Refresh Recordings Maintain Access Format Not Permanent Destroying Data Electronic Filing Practices Classification Access Indexing Retention and Storage Computer Tapes 3.5-inch Diskettes CD-ROMs and Optical Disks Migration Plans Disposal Electronic Mail (e-mail) Retaining E-mail Internal E-mail Policies Web Pages APPENDIX Records Survey Form (PDF) Records Inventory Form (PDF) Records Transmittal Form (PDF) Authorization to Destroy Records Form (PDF) Records Transfer Form Electronic Records Inventory Form

ACKNOWLEDGEMENTS
Draft created and/or revised by Sharon Receveur, CRM, with oversight from Fredrick Armstrong, Director, and Debra Basham, archivist, West Virginia State Archives. Special assistance provided by interns Zachary Warren and T.W. Hindman, Nancy Waggoner, and Sharon Newhouse. Portions of this manual have been adapted from the Virginia Public Records Management Manual, published by the Records Management and Imaging Services Division of the Library of Virginia, Richmond, Virginia. Refer to: www.lva.lib.va.us/whatwedo/records/manuals/00m-toc.htm

INTRODUCTION
Purpose A responsible and effective records management program assures the retention and protection of the public records created by or for or on behalf of the State of West Virginia. The County Records Management Manual is intended as a guide for all employees in the state's 55 counties who share in the creation, maintenance, and disposition of records. It is designed to be the standard that keepers of public records housed in the 55 counties are to follow. However, all records systems are in a constant state of change, and exceptions and extenuating circumstances will influence - sometimes negatively, but often positively - the methods outlined here. The State Archives and its staff are ready to assist every county with the implementation of the foregoing procedures and/or to help solve any dilemmas that arise because these standards and procedures cannot be met. This manual will be updated from time to time. The forms included in the manual, and the other specific procedures will undergo constant scrutiny to assure county officials that the standards are beneficial for keeping the historical records of West Virginia in excellent condition. When updated pages will be forwarded to the counties, they will be numbered so that removal of the old page(s) and insertion of the new can be easily accomplished. NOTE: This publication intends to prepare all creators and custodians of records to be in compliance with the state statutes regarding records keeping in West Virginia. Any deviation from any of the procedures included in this manual needs first to be approved by the State Archivist in order to avoid penalties as proscribed by law. Authority The Secretary of the Department of Administration is considered the "State Records Administrator" (W. Va. Code 5A-8-5) and is charged with the responsibility of establishing "standards, procedures, and techniques for effective management of records" in West Virginia. The State Records Administrator also collects continuing surveys and reports from agencies to assess records keeping operations, makes recommendations for improvements in records management practices, establishes state records retention schedules, and determines which records are deemed "essential," among other duties described in 5A-8-7 of the West Virginia Code. This manual has been commissioned by The Records Management and Preservation Board (RMPB) of the WV Department of Administration, a committee that serves an advisory role to the Secretary of the Department of Administration and performs other duties set forth in the Public Records Management and Preservation of Essential Records Act (5A-8-1 ff). The board is composed of nine members: The Commissioner of the Division of Culture and History serves as chairperson; one member is the Administrator of the Court of Appeals; one member is the Administrator of the Governor's Office of Technology (or her or his designee); and six members are appointed by the Governor: a Clerk of the County Commission, a circuit court clerk, a county commissioner, a prosecuting attorney, an attorney experienced in mineral title and real estate examination, and a representative of a local historical or genealogical society. The staff of the board consists of the Director of the Section of Archives and History of the Division of Culture and History and such persons as he or she may call upon for assistance.

Chapter 1: APPLYING EFFECTIVE RECORDS MANAGEMENT PRACTICES

An effective records management program is a system that tracks the life cycle of each record. It means knowing when a record is created, what function it serves, how long it is considered useful by the agency that created it, what the parameters are for maintaining it and for how long, and what legal authority enables it eventually to be destroyed and when, if at all. The benefits of an effective program are many:

Saves office space and corresponding filing equipment, non-active storage and long-term preservation expenses Assists local and governmental officials in making informed policy and program judgments Assures the fullest possible historical documentation of official legal, administrative and fiscal actions Makes public records readily accessible to the public, thereby helping people help themselves to official government records, ensuring government accountability Protects the privacy and confidentiality of appropriate records Makes record research and future records management more organized and efficient Protects essential records from being lost, damaged, or destroyed by negligence or natural disaster

Definition of a Record The Public Records Management and Preservation Act of the West Virginia Code defines a public record as a "document, book, paper, photograph, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or ordinance or in connection with the transaction of official business." Formats can include paper, microforms, electronic records, magnetic tapes, maps, disks, photographs, film and sound recordings. In short, records are the institutional memory of an office and the lifeblood of a local government. They are used to answer all sorts of questions relating to past and present policy and business actions. The term "public record" refers to a government record, but it doesn't follow that these records must always be available to the public (e.g. personnel records are to be kept confidential). In any case, public records must be available for appropriate access throughout their retention period. The Freedom of Information Act of the West Virginia Code (29B-1 ff) governs access to public records. The Life Cycle of a Record The responsibility for maintaining a record during its active office life is that of the official in charge of the office that generates the record. Maintaining the record, especially for long periods of time or permanently, requires trained staff who take into consideration the type and value of the record, the most efficient system for organizing and accessing the record, and procedures for protecting the record. In most cases, the location for storage is the office where the record was created. Other options include moving the record to an off-site storage location (and taking

responsibility for all corresponding costs), or, if the record has some historical, research, or special value, it may be eligible to be transferred to the State Archives. When storage space is limited, some non-permanent records may be reformatted from their original medium to a more space-efficient medium, such as microfilm. Once a duplicate that captures the original in a durable form is created, the original record may be transferred or destroyed as directed by the records schedule (given permission by the administrator of the office). NOTE: For the sake of space and convenience of use, many government offices are considering the use of some form of digitized storage. Please consult with State Archives before committing to any vendor of these systems, for there are certain restrictions for the digitization of some records. Unless the record is permanent or transferable to the State Archives, it must be disposed of after its respective shelf life. An office's Records Officer writes a letter of "intent to destroy" that lists the record and sends the letter to the State Archives for prior approval. Upon approval by the State Archives the record may be destroyed. Destruction options include recycling, burning, shredding, or burying at a landfill. When recycling is a viable option, it is recommended as the most responsible means of disposition. After its disposition, the record will be permanently gone, but a copy of the intent to destroy will be retained by the creating office. Maintaining the "Official Memory" of West Virginia Each year, county records with substantial historical, legal, financial, and administrative value are pitched out, shredded, or otherwise disposed of without proper measures taken to assess their worth. This loss means that parts of the history of West Virginia are gone and cannot be recovered. Just as tragic is when moribund records of no real value are preserved, cluttering up precious shelf space and turning local archives into dusty, overgrown wastelands virtually inaccessible to the public. Natural and human-made disasters are always an impending threat. West Virginia has had more than its fair share of flooding, and many records have been lost or ruined by the waters. Fires are also extremely common. Many electronic records are lost by computer viruses and faulty computer equipment. Other electronic records are irretrievable because the equipment required to access them no longer exists or no longer functions. More often than not, though, even these disasters can be prevented with a little planning and foresight. Another obstacle to effective records keeping is a lack of consistency in management and maintenance practices in many offices across the state. Records Officers may inherit filing systems they want to change. While such restructuring is often necessary, such changes can also complicate office procedure and hinder efficient retrieval of old and new records. Also, Records Officers may refer to the same record by different names that can create confusion from office to office. And, finally, some records practices have been around a very long time, and the temptation to continue a practice because "we've always done it this way" is very strong. Consistency in records management is very important, but it must be remembered that every active filing system in every office, everywhere, is a dynamic system that changes naturally and very often. Such filing systems are never "set up" as many would refer to their imposition of a structure on their records, but if the structure is well thought out, it will be elastic enough to accommodate a variety of variables. When the filing scheme is clearly explained to others, that system will be easy for everyone to maintain and use. The Role of the Records Officer

The governing body and the chief elected official of any unit of each county, hereinafter referred to as a county government entity, whether organized and existing under a charter or under a general law, shall promote the principles of efficient records management and preservation of local records. 5A-8-15a of the W. Va. Code. For the purposes of this manual, Records Officer refers to anyone who plays a supervisory or administrative role over any government records for a county office, unit, or agency. "Records Officer" is broad enough to include a variety of other titles: Records Clerk, Records Manager, Records Administrator, Records Custodian, and Records Keeper, among other similar titles. Most Records Officers are office workers with formal job descriptions that do not include "records management." Employees who are chosen to perform these extra duties should be very experienced and/or those with the greatest broad knowledge concerning office operations. They should also be very familiar with West Virginia statutes regarding records keeping in his or her particular office. The duties of the Records Manager may include performing and/or directing the performance of the following:

Sorting, filing, and consolidating office records according to a system designed for that specific office Following the records retention and disposition schedule for county units Identifying vital records (records essential to conducting and continuing business operations) and taking precautionary steps to protect them from harm, including natural disasters Coordinating with the State Archives to assure that proper protocol and procedures are followed, and that appropriate paperwork is generated for transfer or destruction of public records Making records available and accessible to the public Maintaining the privacy of confidential records (e.g. personnel records) according to law Completing records inventories biennially (every other year) to be submitted to the State Archives Transferring all records to a successor at the end of the elected or appointed term, or, should there be no successor, delivering them to the State Archives

Chapter 2: RETENTION AND DISPOSITION SCHEDULES

Introduction A "records series" is a group of like, or related documents that are kept together. Examples include: personnel records, accounts receivables, deeds, wills, court case files, etc. In these examples, each group listed is a records series. A retention and disposition schedule (also known as a "retention schedule") is the authority that lists records series and provides instructions and special guidelines for their care how long to preserve or retain them, how to maintain them, where and under whose custodianship, and when and under whose authority to dispose of them. By following a retention schedule, systematic control of information from its creation to final disposition is established. Different records series are required by law to be preserved or retained according to the length of time that they have administrative, legal, fiscal, historical or research value. For example, the minutes of all county commission meetings are to be kept permanently because of their high administrative and historical values; the certificates of rabies vaccinations for dogs, on the other hand, have less value and are to be kept for only three years, and then destroyed. Most records have a short lifespan, but others have longer retention periods for various reasons (e.g. special laws). It is not acceptable for any office to keep records longer than their retention period dictates, even if there is room for them. Conversely, no record series found in an office, nor any part of a record series, may be destroyed before the time specified on the retention schedule. General Retention Schedules General retention schedules apply to common records found in any number of public offices, from the sheriff's office to the assessor's office to the circuit court (e.g. personnel files, purchasing records, etc.). There is one General Retention Schedule for all West Virginia counties, each of which has similar offices that generate similar records. All retention schedules, general or specific, carry the force of law. Specific Retention Schedules Specific retention schedules are schedules that apply to records specific to a particular office in each county. For example, records on firearm purchases would be specific to the sheriff's office, deeds are specific to the county clerk's office, and circuit court case files would be specific to circuit court clerks. Specific schedules have been in place for circuit court clerks and magistrate court clerks since the 1990s. NOTE: For those offices that lack specific schedules, the State Archives will develop initial drafts for the Records Management and Preservation Board to issue for thirty-day comment period by various county government offices. The board will then consider this and issue the final schedule which will carry the force of law. Once issued, specific schedules can be amended accordingly to clarify unforseen retention issues or to address new needs and circumstances by completing the Proposal for Specific Schedules form and submitting it to the State Archives for approval.

Specific schedules serve several functions. Primary among them is the establishment of the office of origin. The responsibility for the content of records listed on the Specific Schedules rests with the creators of those records. Duplicates may be found in other offices, but duplicates are retained for briefer periods, and they are not the "official" records of those transactions. It is important to remember that if the retention period of a number of records is, say, five years, ALL copies of those records must be destroyed. NOTE: Questions, clarifications, or to discuss a specific record series should be referred to the State Archives. Amending/ Updating the Specific Schedules Amendments to Specific Schedules can cover many circumstances:

Some functions in an office may cease to be performed, so that the records that track those functions are rendered obsolete. Some functions may be added to particular offices, necessitating the creation of new records to track them.

Procedure A Proposal for Specific Schedules form is obtained from the State Archives and completed for each records series and returned to the State Archives. The State Archives will review the request and, if statutorily and per standards reviewable, implement the process to amend and approve or reject based on a thirty-day comment period and RMPB action.

Chapter 3: FILING PRACTICES

Introduction Records management is the science of determining how files will be arranged, categorized, accessed and stored, and in what format. Proper filing practices ensure that the right information will be in the right order, at the right time, at the right place, to be retrieved for the lowest possible cost. The Records Officer of an office is the "architect" of the filing system in use in that organizational unit. Establishing an efficient filing system involves planning the design of the system to ensure productive workflow. This includes deciding how files will be arranged, type of access, the classification system to be used, coding and indexing schemes, and selecting the proper equipment and supplies. File Arrangement All written records have one thing in common: If something is written down, then what is written is important enough either to be filed in a place where it can be retrieved, or a conscious decision to destroy it needs to be made. If there were no need to return to information, there would be no need to write it down. Both official records and grocery lists have life cycles, whether we file them in drawers or in our wallets. The first step in creating a filing system is to develop a file plan. It specifies the logical order of documents or files and the arrangement or scheme by which documents may be identified, stored and retrieved. The plan consists of:

Selecting the file arrangement (e.g. alphabetical, numerical, alphanumeric, etc.) Developing an index Planning file system maintenance

The most common methods of arranging documents are alphabetical, numerical, or alphanumeric. The file arrangement should be based on how the information will be retrieved. Alphabetical Filing These may be topical or classified arrangements. Topical filing arranges files in straight alphabetical order. For example, subject correspondence would be arranged from A-Z, based on the name of the subject. This method is also called the "dictionary" method because it is the method used in dictionaries. Classified filing places related documents under a major sub-heading. For example, customer complaint correspondence may be filed under the general heading of customer relations. An alphabetical arrangement also is appropriate for filing records that are arranged by geographical locations, such as cities, towns or counties. This system is also called "encyclopedic" because records are arranged first by broad categories (for example, "grants"), followed by sub-headings ("2001"), followed by still other sub-headings ("records" or "security").

Advantages of Alphabetical Filing

An index to records may not be needed. Can be effective, if everyone adheres to filing rules. Permits browsing through files.

Disadvantages of Alphabetical Filing

More misfiling occurrences than in numerical systems. Misfiles occur frequently with alphabetical filing due to different interpretations of order. For example, the prefix "Mac" and "Mc" may be filed in various positions if users are not adhering to the same rules of alphabetical filing. Name changes can cause problems with retrieval. It becomes inefficient and cumbersome in large systems. Unauthorized persons can easily find records.

Numerical Filing A numerical arrangement places records in order from the lowest number to the highest. This method also often tells the searcher which files are the oldest (the lowest numbered files) and which are the newest (the higher numbered files). A numerical scheme is easier to comprehend than alphabetical filing and may have fewer misfiles. Numerical filing by file number, social security number, chronologically or by patient or case number is common. Records that have preprinted numbers on them such as checks, invoices, purchase orders, and vouchers also are suited for this filing arrangement. Advantages of Numerical Filing

Users understand straight numerical sequences (1,2,3,4,5,6, etc.) quicker than some alphabetical schemes. Filing expansion is easier, because new numbers may be assigned without disturbing the arrangement of existing folders. Misfiles can be quickly identified because the number out of sequence is easily detected if color-coding is used.

Disadvantages of Numerical Filing

It is what is called an "indirect method" because if a requestor asks for a file, it is asked for by its name. If the system is numeric, then the researcher must first look at an index which cross-references the number with the name. The file system is always growing in one direction at the end. When new files are created and old ones are retired, file personnel must continually shift the files backwards to make room for new files at the highest number end of the system.

Alpha-Numeric Filing An alpha-numeric arrangement uses a combination of numeric digits and alphabet characters to create a flexible filing system. Subjects may be substituted with alphabetical or numerical codes. An index is needed to use the system effectively. For example, ADM-001 could be a code for Administrative files, Director's Correspondence. All records that relate to this subject would be filed under that particular code. Advantages of Alpha-Numeric Filing

Codes eliminate the need for long titles. File security is increased because a user must know, as in a purely numerical system, the meaning of codes before accessing files.

Disadvantages of Alpha-Numeric Filing

Access

Users must first consult an index before accessing files. Users must be trained, and, even then, one user may interpret where to file a document differently than another, leading to confusion and a breakdown of the filing order. Misfiles are common and are difficult to detect.

Another aspect of creating a file plan is deciding how files will be accessed. The two methods of access are direct access and indirect access. Direct Access A direct access plan allows the user to access the file without first referring to an index. Direct access may be ideal for small offices that produce a low volume of records. (Example: If it is easier to find information by a person's name, the system would be alphabetical. One looks for the file directly by the name.) Advantages of a Direct Access System

Eliminates the need for an index. Allows users to browse through files. Time associated with filing and records retrieval is reduced. Users require little or no training to access the system.

Disadvantages of a Direct Access System

Filing for large systems becomes cumbersome. Selecting terminology names may be difficult with subject files. File captions may be longer than codes; filing is tedious.

Indirect Access An indirect access system requires the use of an index or codes to locate a file, such as assigning a number to a file (e.g., case number, project numbers, patient numbers). An indirect access system generally is used for large or complex filing systems. It may require the use of automated equipment to locate the files, as well as knowledge of the coding system. (Example: If a person comes to look for his/her file, but the system is numeric, the clerk assisting the individual must first look up the person's name in order to find the number of their file.) Advantages of an Indirect Access System

Codes are easier to note and refer to on a document or folder than word captions. Sorting is easier. Greater accuracy in filing and retrieving is achieved with the use of codes.

Security of the files is enhanced because users unfamiliar with the system will have difficulty accessing documents.

Disadvantages of an Indirect Access System

Classification

User access is dependent on the accuracy of the index. Coding and indexing are time consuming. Browsing is not feasible.

A classification is a grouping of records with common characteristics or which document similar functions. The point of having a classification system is to keep all like records together, which, in turn, expedites records retrieval and maintains file integrity. Generally, if the volume of records exceeds two file cabinets and consists of multiple records series, then a files classification system should be considered. Classification systems sort records by major headings and subdivisions. The major heading name usually is decided by the major function or main purpose of the records; the subdivision would be a small component of the major function. For example: Major Heading: Human Resources Department Sub-Heading: Payroll Section Tertiary Heading: Payroll Timesheets This filing system is often called encyclopedic, because the arrangement is the same as that used in encyclopedias. A dictionary classification system is straight alphabetic, and many records managers find it easier to use a dictionary rather than invent one. Of the two classification systems, the dictionary system is simpler to operate. A classification system is usually considered when:

The current filing system produces excessive misfiles. Various subjects are filed by the same name. The method for filing documents varies from user to user. The volume of records is so large that an index is necessary to locate a file quickly.

Chapter 4: RECORDS CONTROLS

Indexing Files An index is a listing of files arranged alphabetically or numerically that is used to determine where files are located. If you have an indirect access filing system (like one that is arranged numerically), you must have an index in order to find the file. The most common type of index is called a relative index. It alphabetically lists the various combinations of how records might be requested. If one is looking for property deeds, for instance, one might look under "Deeds, property." If one is looking for the Department of Highways Maps, one might search for "Maps, Department of Highways." Both the headings (Deeds, Maps) and sub-headings (property, Department of Highways) will be arranged in alphabetical order. This type of index is used in most published material such as books or periodicals. Any reference book or textbook can be used to see an example of this. Whenever multiple terms can be applied to the same records, a cross-reference is created to the indexed topic. The cross-reference acts as a pointer to redirect the user to another location where the file can be found. For example, patient records can be cross-referenced by patient number, name and Social Security number. However cumbersome it may seem to do this at the outset, if those responsible for creating individual files are taught to index those three parameters each time a file is created, the process becomes routine and easy very quickly. If a computer database is available, or the software to create a spreadsheet can be bought (many can be bought off the shelf from office supply stores), that's ideal. Through keywords or descriptors, documents and their locations can be accessed in a matter of seconds. For those who are not able to do this and must budget for it in the future, the time to set up the index manually is not wasted. Any system that is created electronically must have first created an index manually. Coding Documents When documents are released to be filed, they should be indexed and coded according to the classification systems established. Coding is the process of marking the filing segment (name, subject or number) used for filing a document. Colors and bar codes also can be used as codes. File codes must be accompanied by an index that details the meaning of each code. During the coding process, keywords in the document are marked by underlining or circling names or subjects. A subject title, name or numeric code also may be written at the top of the document to indicate where it should be filed. For example, a piece of correspondence relating to an employee's worker's compensation claim may be filed under employee payroll records, risk management records or insurance records, depending on the classification system. If the records can be requested by more than one term, a cross-reference should be created to direct the requester to another location. The person coding the text may place a mark by a name or subject to indicate a cross-reference. A crossreference card or folder is placed in a separate location; also, the source document can be photocopied and placed in a separate location, although that can lead to excessive duplicates. The following is an example of an alpha-numeric coding system:

HR HR-01 HR-01-02 Sorting and Filing

Human Resources Payroll Office Timesheets

Sorting is the process of arranging records in their correct filing order. Sorting can be performed alphabetically or numerically. The level of sorting depends on how records need to be accessed. For example, a customer service department may organize its records by region, address and customer name (three sorting levels). Tracking Files When a file is retrieved, a "charge-out" card should be inserted in the location where the file was removed. If an office can afford the expense, automated tracking systems that use bar code wands are helpful in managing the check-in and checkout process for large filing systems. Automated tracking systems also can produce reports to show what was requested, when and by whom. Most public offices, however, use some form of manual charge-out. This process is essential to maintain control over the records at all times. Filing Cut-Offs The file cut-off date is a break or stop in the filing of a current record series, based on a predetermined event. At that date, a new group of file folders is created for the same series. The file cut-off date keeps records relating to the same time frame together. Once files reach their cut-off dates, they should remain in an active file system for at least one year, and then be transferred to inactive storage. The storage site for inactive records may be an unobtrusive corner of an office or a regulated off-site storage location. Many localities use the end of the fiscal or calendar year as their cut-off date. In some cases, however, such as with case or personnel files, there is no break in filing. This is called continuous filing; individual files are removed from the series after an event. Other cut-off dates may be established to meet administrative needs, as per retention schedules. The total time you must retain your files is based on the cut-off date, plus the time stipulated on your retention schedule. Cut-off dates add structure and control to file maintenance by establishing a timeline to move files to inactive storage or off-site storage. Maintenance File maintenance involves implementing procedures that monitor and control the creation, distribution, usage and destruction of records. In the creation stage, files must have folders labeled using standard terminology developed in the classification process. Files must also be arranged according to the file plan to avoid misfiles. There should be a process that approves the release of documents from the creating office to the file room. Records should be purged of duplicates and non-records prior to being released to the file room. All folders should be the same type, cut and dimension. Labels should be typed and placed on the tab of each folder.

If there is no "file room," but merely a series of cabinets where the records are kept, it is still a good idea to periodically purge the individual records. For example, when a renewal arrives at a licensing entity, the file for that person, company, or institution is pulled, and, before it is refiled, it is looked over to see if there are individual records within the file that are no longer needed (according to the record schedule), or are duplicates. Disposal A key part of filing systems maintenance involves controlling the growth of the system. You should review records annually and, based on the retention and disposition schedules, purge and dispose of records that are no longer needed. Documents containing confidential or private information should be shredded, and then recycled. Remember, however, that you must complete the official records disposal form, submit and receive required signatures and retain the original for the official file to document records disposed of.

Chapter 5: FILING STORAGE EQUIPMENT

Years ago, filing was done by numerous ingenious ways. Thomas Jefferson invented a mechanical device that enabled him to create copies of all his correspondence at the same time he was composing the original. Official records were often copied into books or journals. Later, carbon paper could fill the function of creating one or more copies of documents simultaneously while creating the original. As the amount of potential copies of records increased, so did the need to store them. At first, records were folded into sections (imagine a business letter received in the mail), and then stored vertically in narrow pull-out drawers. This was often called "shuck filing." Over the years archivists have developed clever ways to unfold these documents without damaging them in their creases as they are unfolded. Later, documents were housed in a "new" way, in four-drawer files. These were invented in the late 19th century, and many are still in use. Folders became incorporated in the drawer filing systems, in order that a searcher could find a specific group of documents within the drawers. This system continued until the mid-twentieth century when some manufacturers noticed that libraries and grocery stores employed an efficient method for displaying books and canned goods - shelving. These manufacturers created the open lateral files, and color-coding the files came soon after. Following is a review of the kinds of filing equipment available. When selecting filing equipment, consider the following:

Volume of records requiring storage Number of retrievals Type of records being stored Space limitations Building code regulations Need for fireproofing Rate of growth or expansion Floor weight restrictions

Vertical Filing Cabinets, often referred to as standard cabinets, are commonly used in small offices. They have either four or five drawers and can be locked for file security. A typical fourdrawer cabinet can store approximately 100 linear inches of files and requires 25 linear inches of aisle space, in addition to the space required to be occupied by the person accessing the files. These cabinets are the most inefficient of all the options available. They often tip over, causing injury, and they consume the most space to operate. Lateral Filing Cabinets, often referred to as horizontal files or open-sided cabinets, also are popular in small offices. They allow files to be accessed horizontally instead of vertically, and come in four or five drawer sizes. A typical four-drawer lateral cabinet can store approximately 130 linear inches of files. They can be locked for file security. Although they may house a few more filing inches than their vertical cousins, they are really four or five-drawer vertical cabinets turned sideways. They usually have a flip-up top drawer that tends to accumulate anything but files. They also can tip over. Because they are accessed sideways, they are often used to house

hanging files. These hanging files are bulky, inefficient, and reduce the available filing space by one-fourth to one-third. Open Shelving Equipment is usually found in large offices and in central file rooms; it allows for rapid retrieval and refiling. This type of lateral file, which resembles open bookshelves, allows files to be retrieved horizontally. It also offers full viewing of the folder tabs, which makes for rapid retrieval. And there is an estimated 50 per cent saving in space when files are moved from a vertical system to an open shelf system. These units usually require professional installation, which can be negotiated with the vendor as an inclusion in the cost of the equipment. These are the most efficient kinds of files available. They may also have doors and can be locked. Some of those with doors have flush backs and can be used as attractive room dividers with the built-in advantage of providing a good deal of sound-proofing. Those with doors and 6 openings are easily accessed and provide over 200 inches of filing. Those without doors provide even more filing capacity and should be considered, even if there is a perceived need to lock them. If the room housing them can be locked, there should be no worry. Locked cabinets will not stop thieves who gain access. Cleaning people have all night to access files, if such is their intention, and the files are available to employees all day. Locked filing equipment should be limited to confidential files. Mobile Aisle Systems, also known as high-density systems, are considered when access to large quantities of files is desired and space is at a premium. These units, which can be mechanized or manual lateral file systems, are on tracks that move back and forth to conserve floor space. You must consult a structural engineer and the building superintendent to ensure your facility has a floor load capacity that can accommodate this type of system.

Chapter 6: REFORMATTING AND/OR DUPLICATING RECORDS

Reformatting Records Reformatting from paper to another medium is often viewed as the cure to records storage woes. However, while records conversions can make a significant improvement in efficiently managing information, they should be carefully considered and planned in careful detail. Reformatting is not always the best solution to a record keeping problem, and it definitely is not the least expensive solution. Before implementing a reformatting plan, explore alternatives, such as applying retention schedule requirements regularly, using a commercial or non-commercial facility for storage, and purging files. Rule of thumb: Low use, inactive paper records with retention periods of less than 20 years generally should be kept in their original form and stored in the most secure, lowest-cost space available. When To Reformat or Convert The most important thing to remember about reformatting is that records should not be converted or reformatted solely for space-saving purposes. An analysis of the records - their use, their retention periods, and their inherent long-term value - should be completed before any final decision is made. Consider the following when evaluating the necessity and practicality of reformatting:

Historical or otherwise valuable records that are in bad physical condition Records that have a long retention period, are permanent, vital or historical Records that have a high retrieval rate Records that are needed by multiple users simultaneously Records needed at multiple locations Records that have important research value Records that are oversized and bulky and meet one or more other criteria for reformatting Records that need to be stored separately for security reasons Records that incorporate workflow (i.e., purchase orders, claims)

It is also necessary to do a detailed cost analysis prior to making any decision to reformat, as the long-term economic benefits should be greater than short-term expenses. The allure of the technology is not a sufficient reason to reformat records but the progress and rate of technological developments, with continued reductions in cost, are promising and reason for delay. There are two major methods used for imaging records - microfilming and optical scanning. Both have their advantages and disadvantages, depending on their application and the anticipated use of the reproduced documents. Paper to Film

Source document microfilm is a method of converting paper to film. It is a fairly low-cost storage and retrieval alternative for any size operation. It generally costs from three to five cents per image for normal commercial type filming. It is one of the most widely used means of reproducing records. Conversion costs are fairly easily controlled, and the output has been a reliable reformatting norm for decades. Microfilm has standard formats. The retrieval equipment is fairly inexpensive. One can assume that once information is recorded on microfilm, it will be permanently available at a reasonable cost. Multiple copies of the film can also be made for wider distribution and access to the information. Microfilm is the only "eye-readable" format that reduces space requirements. No matter what the evolution of records keeping equipment in the future, microfilm can always be available to be read, since all that is required to access the information on a roll of film is a light source and a magnifying glass. Optical Disk Optical imaging converts information stored on a computer, film, or paper to a digitized image that is then stored on a compact disk (CD). Optical imaging is often the choice of those with a need to drastically reduce space, or to have multiple users accessing the same information at the same time. Optical imaging is expensive, however, it is not eye-readable, and the CD medium (disk) has only a ten year shelf life. Care must be taken by the end-user to make sure that the computer software used to access the information stored on a CD is up-to-date at the time of the conversion, and is maintained up-to-date as the technology evolves. Since the information stored on CDs is not eye-readable, extreme care to plan the conversion to this format should be taken so to insure that the software is non-proprietary, flexible, open ended and portable. Always remember that just because a technology exists doesn't mean it should be used. Further, storing permanent records on optical media is NOT ACCEPTABLE for permanent records UNLESS those records have first been microfilmed or are filmed as imaged or immediately through computer output microfilm. Part of the reason lies in the nature of the technology. Aside from not being eye-readable, records on CDs, like those stored on computer disks, floppies, zip files, hard drives, etc., are software-dependent, and can be easily altered. In fact, for all these formats, software and hardware to read stored data must be upgraded and kept compliant and maintained in good working order to access the records throughout their retention period. Reformatting Equipment Most public offices in West Virginia - as elsewhere in both the public and private sectors - will need to outsource their microfilming and optical imaging work. The start up and training phases, not to mention the equipment, supplies, supervision, and quality control, are cost-prohibitive to most operations. Furthermore, few offices have staff who are available to devote their time away from their primary duties to perform these records keeping functions. It is recommended that the State Archives, Governor's Office of Technology and Purchasing Division of state government be contacted before purchasing reformatting equipment. The State Archives has contacts with reputable vendors who may be available to provide expert assistance. Legal Requirements for Duplicates

Film or images duplicating records must be quality checked, and all film must meet American National Standards Institute (ANSI) standards. West Virginia law requires that all duplicates of original records must:

Accurately reproduce the original in all details Be accessible for the required retention period Be unalterable and unerasable* Be reviewed or otherwise authenticated by the office or court's chief records officer

* In the case of records duplicated in a digital format, the vendor used for this process must be able to guarantee that the image - if transmitted via computer from one office to another cannot be altered by the receiver, and this protection must be included in the price they quote. Following duplication, it is generally permissible to destroy/recycle the originals, provided that the proper destruction procedure, as outlined below, is followed. Please note that retention schedules or some other legal authority may preclude destruction of the originals. And, if the originals are stored in an offsite location, the site must have proper storage conditions, as outlined in state guidelines. Both the state and federal governments recognize the legal status of copies made from various sources, including electronic data stored on microfilm, CD-ROM, and optical media (see W.Va. Code, 57-1-7b, 5A-8-15c, 51-4-3, and other relevant sections). Destroying Records After Reformatting Once a record has been reformatted according to legal standards and any other regulations that may apply, the original may be destroyed before its stated retention period has elapsed, provided that the standard procedures for destroying records are followed. Standard procedures for records destruction involve: 1. Complete the Authorization to Destroy Records Form by following the directions printed on it, remembering to record the record series number and to mark the record with an asterisk to note that it has been copied and stored in approved alternate format. 2. Retain a copy of the completed form in the office files. By law, it needs to be available for audit. 3. Submit the form to the State Archives. 4. Upon receipt of the approval to destroy the records, file it as a permanent record and proceed with destruction of the approved records by recycling, shredding, etc. Microfilming and Imaging Contractors There are private microfilming and document imaging contractors in the West Virginia area that can be hired to convert paper records to microfilm or images. If you have the economic means for this option, you may want to search around for the most cost-efficient arrangement. Contact the State Archives for a complete list of reliable vendors.

Chapter 7: PROCEDURES FOR DESTROYING PUBLIC RECORDS

Introduction To determine when you may destroy records, approved records retention and disposition schedules (also called retention or R&D schedules) are consulted. These describe the types of records created by public offices in West Virginia. They list the records series, and state how long each type of record must be retained according to statute. They specify when (after their creation) to destroy the records, and they document other relevant retention and disposition information by records series. A schedule also may state if records are to be reformatted, or if they must be destroyed in a certain manner. Retention schedules constitute a legal plan for the destruction of records. Destruction Procedure As in the case of the destruction of records after duplicating them in another format, definite and prescribed procedures are followed: 1. The retention and disposition schedules are consulted to ensure that the legal limit for the retention of the records in question has been reached. NOTE: If the record has been stored in another format (such as microfilm) or is an unnecessary duplicate, it may be destroyed before its full retention period has elapsed. 2. Relevant and pending audits, investigations and litigation involving the records or their management must be resolved before records having any bearing, or that have the potential to have any bearing, on these types of proceedings may be legally destroyed. It must be ascertained that the records don't have any remaining interest to law enforcement agents or judiciary or administrative entities. 3. The Authorization to Destroy Records Form (see forms appendix) is completed and returned to the State Archives for review and approval. 4. When the records are destroyed, they may be shredded, recycled, shredded and recycled, burned (under certain restrictions), buried, or simply thrown away (if information contained in them is not personal or confidential). Both the state and federal governments recognize the legal status of copies made from various sources, including electronic data stored on microfilm, CD-ROM, and optical media (see W.Va. Code: 57-17b, 5A-8-15c, 51-4-3, and other relevant sections). Methods of Destruction The nature of the information contained in the record, as well as the record's format (paper, film, disk, floppy, etc.), dictates the method by which it should be destroyed. Disposition by recycling or daily waste pick-up is usually appropriate. However, when records contain personal, private or confidential information, they must be destroyed so as to prevent unauthorized access to them. A good rule of thumb to apply is to see if names appear on the form. If so, don't choose throwing them away as a viable destruction method. A county can be sued if records containing personal information (even a name and address) are found to have merely been thrown away.

Recycling Recycling (also known as pulping) is the most responsible way to dispose of paper records that are not sensitive, private, or contain personal information. However, even records containing these information elements can be recycled, provided they are shredded first. Private or confidential records can be recycled if the recycling company and its personnel are bonded, which means that they will certify that the record information has been protected from public access. An additional fee usually is charged for certified disposition. Solid waste recycling programs are required by state law: (W.Va Code: 20-11-6). And beyond the legal mandate, they make good common sense. They offer long-term benefits, are environmentally friendly, and they may also be economically productive. Recycling Locations There are recycling locations in nearly every county in West Virginia. To find out which one is nearest to you, contact your county's solid waste authority, or, for a manual containing all state recycling locations, contact: WV Division of Natural Resources Environmental Resources Section Environmental Resources State Capitol Complex, Building 3, Room 732 1900 Kanawha Blvd, East Charleston, WV 25305-0665 Phone: (304) 558-3370 Fax: (304) 558-6207 Trash The parameters of throwing away records in any format have been listed above. However, it must be understood that throwing records into the trash is a means of disposal that should only be used when recycling is not an option. Destroying Electronic Data To protect individuals who may have private or confidential information stored in an electronic format, data must be obliterated, or "wiped" from hard drives and portable devices. Deleted records can be recaptured. They have not been wiped. Special software programs wipe records to make them permanently irretrievable and inaccessible. Disks must also be properly destroyed. Shredding Shredding is the most popular method of destroying private or confidential information. Shredders come in a variety of sizes and capacities. If the volume is too large for an office shredder to handle, some vendors will bring equipment to your facility and shred documents on site. If records are to be shredded on the vendor's premises, certified shredding is recommended. Shredders have become a very economical piece of office equipment, offering a degree of confidence that confidential, sensitive, or personal information, once shredded, cannot be recaptured. The best type of shredder to buy is the type that offers a fine cut or that minces the

records. The type that merely shreds the documents into strips, while less expensive, can create a series of strips that can be reassembled into a complete document. Burning Once a common means of destroying records, environmental regulations now generally restrict burning, making it a less viable destruction option. If used, ensure that the burning is legal at the burn site and environmentally safe, and that after the burn all private or confidential information has been obliterated. Burning should be utilized only when recycling, trashing, and shredding are not options.

Chapter 8: STORING, MOVING, AND TRANSFERRING RECORDS

Introduction Records with short retention periods are usually placed in temporary storage areas prior to disposal, while records with longer retention periods are placed in long-term storage areas. Records that need to be stored for a long time, including records that have permanent retention periods and records with historic value, may be moved to the back of an office, or even transferred into a storage facility away from the office. Inactive records in West Virginia are often stored in hallways, closets, basements and attics, as well as more "exotic" spaces. A great deal of creativity has turned garages, tool sheds, county jails and local bank vaults into records storage areas. Usually, the decision is made to move records to storage when the filing cabinets in the active office areas are full. After the closets or back rooms or other, usually inhospitable areas are full, the decision is made to find very remote inactive storage for the records. These areas tend to be attics or basements or the like, and the records often share the space with vermin or rodents. Storage sites should be chosen that adequately preserve the records and spare records from potential disasters, including leaks, fires, theft, and destruction by pests and animals. Those Records Officers who can afford it sometimes store their permanent records in a commercial storage facility. Those records with historic and research value may be transferable to the State Archives. In any situation where records with long retention periods are at stake, special storage spaces and special precautionary measures to insure their preservation should be taken. The staff at State Archives can consult with public offices to be sure the best decision for the safety and security of the records is made. Storing Records in Active Office Areas Storing records in your office rather than an off-site location ensures that records are kept near their users and enhances record accessibility when they are well organized. It may also spare some of the financial burdens that might result from storage in a commercial off-site facility. The unfortunate temptation is to stuff unsorted records into neglected spaces that lack protection from natural disasters - and to throw away large quantities of records without properly assessing their legal and research value or following legal procedures for destruction. A well-designed in-house records storage system will:

Remove inactive records to protected storage locations in the building, away from central areas of the office Assure fast and easy retrieval of stored records by creating an organized retrieval system Ensure that the records are not subject to access by unauthorized personnel Facilitate the timely disposition of records, according to approved retention schedules

Selecting a Storage Site

Criteria for suitable inactive records storage sites:

The space chosen must have heating and air-conditioning (especially for permanent records or records in other formats other than paper) providing an ambient temperature range between 65-70 degrees F and humidity range of 50 to 55 percent. A storage area central to its users is best. If necessary, several storage areas may be designated. Active records that are commonly accessed should be positioned in the central location; inactive records should be stored in places that are not expensive to maintain and which are somewhat removed from locations of daily business activities. Receiving and removing records from the storage area should be easy to do. If records are stacked on the floor of a closet or stuffed beneath a table, they may be harder to find, update or remove quickly. It may also make it harder to keep track of which records are due for disposal. Worst of all, records stored in a haphazard way are less likely to be accessed, even when needed, because finding them is "too much trouble," and tends to be an unpleasant process. The records storage area should have fire suppression equipment. Sprinklers are best, but if not those, then the area should have smoke detectors and fully charged fire extinguishers. Local fire and safety specialists can be helpful in evaluating the area. Water damaged records usually can be restored; burned records are lost forever. Records should not be stored on the floor but rather on shelves at least three inches above the floor and at least three inches from ceiling and sprinklers, if present. Access to the area should be limited to the personnel in whose office the records originated. If space is shared, it should be separated with access restricted to appropriate office staff. The storage area should not be used for the storage of any other materials. Storage areas exposed to smoke, dust or chemical fumes produced by paints, chemicals, or copying devices should not be used for records storage. Attics, basements, garages and warehouses are rarely acceptable for storage because of temperature and humidity variances. Areas with water pipes in the ceiling can be used, if no other spaces are available, but deflectors should be installed so that any water that accumulates will run off away from the records. Above all, the storage area should not be in a flood zone or other area susceptible to natural disaster.

Permanent, historic, and vital records have special storage considerations. Ideally, these records are stored in a secure vault or, if appropriate, at the State Archives. Records that should be duplicated or backed-up for protection should be identified as needing special handling. Floods, fires, and other natural disasters in West Virginia have already caused many essential records to be lost forever. Selecting Records for Storage Since office space is expensive and limited, only current and frequently used records should be housed in an active office area. Records that are accessed less often are sent to storage areas where they can be retrieved quickly when needed. Ideally, retention schedules specify when a records series should be sent to storage. The terms "active" and "inactive" for records indicate how frequently users reference a records series. As records get older, they usually are needed less often.

Criteria to consider include:

Records series that are referred to more than once a month per file drawer (or 2 cubic feet) are generally considered active, and are kept in active office space. Records series that are referred to less than one search per file drawer per month generally can be sent to storage. To check the reference rate of a group of records, a small piece of paper is placed on each file drawer for a few months. Tally marks are made on the sheet each time a file is pulled from that drawer. The results usually surprise office employees. The fact is 85 per cent of all records created today will never be accessed again! Records that are considered to be of historic value should be placed in a special, secure and environmentally stable area.

Storage Boxes and Shelving Storage boxes should:

Be uniform in size. Whenever possible, the standard one cubic foot (15" x 12" x 10") size box with a separate lid should be used. These fit compactly on shelves, are easily handled, and can hold either letter-size or legal-size documents. One box will be needed for every 14 inches of letter-size files and one box will be needed for every 11 inches of legal-size files. Have double walls and bottoms so they can be safely stacked and reused. Be made of acid-free cardboard for storing permanent and long-term records (e.g. minutes, executive correspondence, certain project files, etc.). Standard storage boxes, which are less expensive, can be used for normal, nonpermanent records storage.

Storage shelving units should:

Be sized to ensure the weight of the loaded shelves meets the floor load capacity (the most common shelf size is 42" wide x 30" or 32" deep, but heights do vary). Be sturdy enough to hold boxes loaded with as much as 50 pounds of paper. Bottom shelves should keep boxes at least three inches off the floor. Enough space should be provided for the boxes to be pulled off the shelves easily. Where possible the shelving should be anchored to the floor and to the wall. The vendor providing the shelving should be held responsible that the leveling guides are adjusted properly, and the shelving is stable enough to take the torque and weight of boxes being retrieved and reshelved. A sturdy and appropriately sized ladder should be provided so that those who retrieve and reshelve boxes can maintain safe leverage during the process.

IMPORTANT NOTES: Finding an area to serve as a storage area for inactive records in a government office doesn't have to be expensive or difficult. In fact, many offices without a budget for inactive storage begin by simply boxing the records appropriately, labeling them, and stacking them 4 high in a closet until shelving can be purchased. It is important to remember that ONLY records storage boxes of the type described in this manual should be used. Boxes that are cardboard imitations of four-drawer filing cabinets and that hook together with metal struts, boxes that are 24" long and that have cords that tie the top to the side of the box should NEVER be used. They are too heavy to be picked up when loaded with records, and if one is stacked on top of the other, the bottom box is easily crushed.

Packing and Stacking Boxes Some methods of packing and stacking boxes are safer and more efficient than others. We suggest that you follow these recommendations for packing and stacking:

Letter-size files fit across the 12" side; legal-size fit across the 15" side. Records should be kept in their original file folders when they are placed in boxes. However, permanent records should be placed in acid-free folders and boxes. Hanging folders should be removed to save space and prevent wear and tear on the boxes. Boxes should be filled completely, but not packed tightly. Tight packing makes removing files difficult. Room should be left for missing files and a "charge-out" card inserted in the place where those missing files would go. Larger records and materials, such as maps and drawings, require special handling and may require a separate storage system and area. Infrequently accessed records should be stored at the top or bottom of shelves. Boxes may be stored near the floor, but should be stacked on pallets up to four boxes high and in rows. Neither records nor boxes should be in contact with a wall or floor. Smoking, eating and drinking should be forbidden in storage areas.

Tracking Boxes Keeping track of all the contents of all the boxes in an inactive storage area is simple. Four copies of the contents of each box are made. One copy is attached with tape to the front of the box, one copy is placed inside the box, one copy is kept in a file in the office of origin, and one copy is filed by the destruction date. Paper index cards can also be used to identify the contents, or a computer software database or program can keep track of the inactive records. Any method used identifies the characteristics and location of each box.

Boxes should be marked with their number and storage location. Black markers can be used to write on labels, or printed labels can also be used. Many boxes have a preprinted area on one end. Box labels are placed on the handle-end side of the box. The contents in each box must share the same destruction date. The objective is to discard the entire box of records when its retention period is met, rather than to separate folders in a box. By entering box control information into a software word processing or database program, boxes can be sorted according to the following fields: Box number. Each box is given a unique number, usually just the next consecutive number in the storage system or a two-part number, with the first part consisting of the last two digits of the year the box was placed in storage. Note: Do not reuse numbers, even after a box and its contents are destroyed. Location of box: building (if applicable), room, shelving aisle and shelf location Scheduled destruction date, as set by retention schedules Records series title (as stated in retention schedules) Date range of records in the box Department or Section that created the stored records Date records were removed or destroyed, and the method of destruction

Resources for information about how to store inactive records Association of Records Managers and Administrators (ARMA)

This organization publishes information on establishing records storage facilities. Refer to www.arma.org. Preserving Permanent, Historic or Archival Records Certain permanent, historic or archival records may be transferred to the State Archives. To determine whether the records are suitable for the State Archives, or to find more information about how to store such materials in government offices, call the State Archives at (304) 5580230. Transferring Records to a Commercial or Non-Commercial Storage Facility In West Virginia, there are very few commercial storage facilities that meet all the state regulations and standards for proper records management. Archive Services, Inc. (ASI) is under contract with West Virginia state government to be the official Records Center for all state agency records. It is not mandatory that any facility be used as the inactive storage repository, but it is mandatory that all offices keep a record of which files have been transferred, where, when, and by whom. Commercial Storage Facility Information Archive Services, Inc. (ASI) provides record management and storage to state agencies as well as to county and municipal governments under state contract -- Rec. Mgt. 00. ASI may be reached by calling (304)-346-8878 to request that an account be opened under Rec. Mgt. 00. ASI will obtain the necessary information to service the account and will forward record transmittal and authorization forms to the proper person. ASI will index and barcode each box, or each item where appropriate, and will maintain a retention schedule for items to be destroyed on predetermined dates. Once the retention date is reached, ASI will automatically notify its customer (the county office) that the retention period for the particular records is over. ASI will request the office confirm in writing its desire to destroy those records before destruction can proceed. It must be noted that the office must obtain the approval to destroy the records from the State Archives prior to the destruction of any records. ASI will provide each account with a full inventory on magnetic disc or a hard copy showing box number, description of contents and retention dates. Accounts may be broken down into subaccounts by category, departments, function, etc. ASI personnel are available to assist in setting up numbering systems at no charge. New material may be brought to ASI's facility at 1545 Hansford St., Charleston, WV 25311, or ASI will arrange to pickup records using its vehicles. For services and charge rates check with State Purchasing Division, 2019 Washington St., East, P.O. Box 50130, Charleston, WV 25305-0130; Phone: (304) 558-2306. Transferring Records to the State Archives Some record schedules explicitly say to transfer certain records to the State Archives. Procedure 1. State Archives should be contacted to ascertain if an office's records are appropriate for a transfer. The phone number is (304) 558-0230, and the business hours are from 8 am-5 pm, Monday through Friday.

NOTE: Records are required to be transferred as a condition of complying with a records schedule, or having enduring historical and research value. 2. Records must be in records storage boxes. Box lids must be flat when closed. Overloaded boxes will not fit on the shelves at the State Archives. Strapping tape should be applied to the bottoms of boxes that appear to be weak. Ledger size books must be packaged and labeled to identify individual volumes, and combined weight should not exceed fifty pounds. 3. Organize the records in a logical sequence before boxing them, and then number the boxes using a common ordering system (e.g., 1 of 12; 2 of 12; 3 of 12, etc., or A of A-E; B of A-E, etc.) by writing the sequence on a piece of paper taped to the handle end of each box and placing a copy of that sequence on the inside of the box. Remove records from hanging folders before boxing them. Hanging file folders make it difficult to close a box's lid. 4. A label should be firmly affixed to a small end (an end with a handle hole) that details: a. The name of the office that created the records b. The name of the records in the box (e.g. minutes from xyz, birth certificates from Logan County), as it would be stated in a retention schedule, if applicable c. The dates of the records (e.g. 1972-1975) d. The record series number, as it is stated in a retention schedule, if applicable It is critical that the label information be correct in order to prevent permanent records from being destroyed, or time-limited records from being destroyed too early, and to facilitate location and retrieval of records when needed. 5. Records with the same retention period should be put together in a box. Permanent and non-permanent records should not be housed in the same box. The State Archives does not accept non-permanent records. 6. Records that may need to be reformatted should be filed into separate boxes. 7. Care should be taken not to send non-record materials to the State Archives. Blank forms, duplicate publications, or publications that were not created by or for the office of origin should not be sent. 8. A Request to Transfer to the State Archives Form should be completed and sent to: The West Virginia State Archives 1900 Kanawha Boulevard East Building 9 Charleston, WV 25305-0300 Fax: (304) 558-4193 The State Archives will act upon each request, respond, and provide the details for transfer and transport.

Chapter 9: RECORDS PRESERVATION

Introduction The purpose of this chapter is to raise an awareness of issues associated with the preservation and conservation of permanently valuable and other important public records stored in any county. The Society of American Archivists defines preservation and conservation as: Preservation = The totality of processes and operations involved in the stabilization and protection of documents against damage or deterioration and in the treatment of damaged or deteriorated documents. Preservation also may include the transfer of information from one medium to another, such as paper to microfilm. Conservation = The act of restoring a document and one aspect of an overall preservation program. Conservation treatment generally is used to stabilize materials in their original format by chemical or physical means. (Because conservation is a complicated process, though, treating any records with enduring historical value by anyone other than a professional conservator is not recommended.) In short, preservation is about maintaining records as they are (by protecting them from decomposition or damage), and conservation is about restoring them to what they were by countering the damage that has already been done to them, whether by natural or human actions. Assessing Environmental Conditions A site survey is an evaluation of the suitability of work and storage environments for safety, security, stability of temperature and humidity levels, fire detection and suppression, and disaster prevention. A site survey documents areas that need improvement in order to be proper storage environments. Surveys assess the following criteria:

Temperature and humidity. Fluctuations in temperature and humidity, even if they are not in the ideal range, pose more of a threat to records than steady, less-than-ideal temperatures and humidity. Stable temperatures in the range of 68 degrees F, and a relative humidity of 50 to 55 percent are accepted environmental guidelines for paper records. It is important that temperature and humidity levels remain constant with only small fluctuations within the recommended range. Some offices have severe temperature and humidity fluctuations during weekends and over long holiday periods. Fire and smoke detection. Smoke detectors, fire alarms connected to a 24-hour monitoring station, and sprinkler systems provide a good line of defense against records destruction by fire. Even fire extinguishers, if kept charged and ready for a fire emergency are often all that is needed to avert a disaster. Well-trained staff and communication ties with fire department personnel enhance fire safety. Local fire departments can assist in assessing records storage areas.

Vulnerable storage locations. Records in attics and basements tend to suffer greatly. Attics are frequently too hot in summer and too cold in winter and often can become infested with squirrels, birds and other animals. Basements are subject to floods, and their normally damp conditions are hospitable environments for roaches, silverfish, and other insects, in addition to rats and mice. For humans who must access records in these areas, either space, where such conditions exist, poses a health hazard. A site survey will determine if records are being subjected to improper storage and handling. Special care should be taken in the placement of permanent records for safety and access. Records should be kept at least three inches off the floor, and away from windows, steam, sewer or water pipes. Toilets, sinks, windows, pipes, and drainage inside and outside the building should be checked periodically for leakage.

Some well-known enemies of paper and other records: Pests: Insects, mold and mildew result from improper maintenance of storage areas. Food and drinks in storage areas attract insects and rodents. Mold and Mildew: High humidity encourages mold and mildew. Once mold or mildew is allowed to grow, the environment is contaminated, perhaps forever. Records stored in a facility where mold or mildew has been found must be moved. Even after a move (which is usually expensive), spores may blossom on the records in a new location. If the records are permanent, professional mitigation personnel, with special breathing machines, chemicals, protective clothing, etc., must be called in to remedy the problem. Such services cost many tens of thousands of dollars. It is far better to do all that is possible to prevent the problem from occurring in the first place. Sunlight and ultraviolet (UV) light: Light fades and discolors paper. Ultraviolet shields are available to shield fluorescent light tubes. They are inexpensive to purchase and easy to install. If a facility is being equipped with lighting, and there is a choice of which type of light is to be installed, the preference is to choose incandescent lighting, like the kind found in home lamps. This type is far less harsh for the records. In addition, the advantage in choosing incandescent lighting is that separate switches or separate pull cords can control which areas of the storage area are lit. As for sunlight, one has only to think about what happens to a newspaper that is left on a porch for a day or two. The resulting discoloration is what will also quickly happen to paper records which are exposed to sunlight. Air flow: Air streaming onto records can cause them to deteriorate by changing the temperature and humidity around them. Air ducts can be diverted, or boxes of non-permanent records can be placed nearest the ducts so that they become deflectors of the air away from more valuable records. Permanent Paper Preservation Some general guidelines for handling permanent paper records are as follows:

All permanent paper records should be created using alkaline (acid-free) paper. This type of paper is available from office supply stores. All archival and permanent records should be stored or housed in acid-free folders and boxes to ensure protection from acidity normally found in regular folders and storage boxes. Acid-free boxes can be purchased from office supply stores, too, but often they or acid-free folders have to be special ordered. Over a period of time, acid in "regular" folders and boxes will destroy the records inside. Adhesive tape should never be used to repair archival or permanent records. It deteriorates over time, and the adhesive browns and darkens the paper to which it was attached. Archival repair tape can be purchased from a reputable archival supply dealer.

Access to catalogues for suppliers of archival materials is available online, or contact the State Archives for information on reputable suppliers. Use only rust-proof or plastic paper clips on permanent records. These are available at office supply stores and frequently come in colors. Rubber bands and staples should be removed from permanent records before they are stored. Papers should be unfolded and arranged for flat storage in acid-free folders that are labeled in pencil. Folds and creases weaken paper. However, the flat filing of fragile documents that have been folded for many years should not be forced. The State Archives can render assistance in specific instances where such preservation help is needed. Much information and instruction can be gained over the phone, and irreparable pitfalls in handling delicate records can be avoided.

Photographs Photographs often are among the most important historical records in an office and they present unique challenges. Photographs range from early tintypes, ambrotypes, daguerreotypes, and black and white to color pictures and slides or the latest digital photographs. Photographs are physically and chemically more complex than paper materials. A print or negative is composed of a base material, usually paper or film, coated with a light-sensitive emulsion. Over the years, different substances have been used for the base material and the emulsion. Photographs are subject to deterioration from chemicals left after processing, careless handling, and exposure to light and heat. The instability of color dyes makes color photographs transient or nonpermanent. It is difficult to convince people that the color photographs of their weddings, children, or other significant people and events in their lives will fade, often in as soon as 25 years. These photographs will deteriorate even faster if they are on desks or furniture exposed to sunlight or fluorescent lighting, or if they are stored in photo albums that are not acid-free. Following these basic practices will extend the life of photographs:

Prints and negatives should be held by their edges in order to avoid touching the emulsion surface. Ideally, those who plan to handle government photographs should use cotton gloves, available from any photo supply store. Pressure sensitive tape, metal clips, rubber bands or adhesives should not be used to keep photographs together. A separate envelope, marked with a pencil describing the contents, is a better way to make sure photographs that should stay together are kept together. Ballpoint and felt-tip pens should not be used on photographs for identification purposes. Instead, identifying information should be recorded using a soft lead pencil on the back edge of the pictures. All important photographs should be copied in black and white. Black and white photographs are permanent, color photographs are not.

Bound Volumes Bound volumes and books are composed of a variety of materials and can require complex preservation measures. In the U.S., during the earliest years of bookmaking, the paper was made from rags. This paper is more stable - even today - than the paper made in the last 125 years or so. Over the years, cheaper construction materials were used to create bound volumes, making paper production far easier, quicker, and cheap enough for everyone to have access to as much paper as they want. However, the wood pulp-based paper and the chemicals used to create it cause rapid deterioration. Regular handling and improper storage accelerate deterioration and damage. Newsprint is the most unstable paper of all. One has only to consider

what happens to a newspaper left out on the front porch for a few days, in sun or rain, to understand how unstable it is. Extensive measures, if needed, should be undertaken by a professional conservator. Some methods professional conservators and archivists use to slow down the deterioration process are listed below:

Volumes should be shelved vertically to avoid the stress placed on a book's spine. Oversized or thick volumes may require filing horizontally. Space should be left between volumes. Crowding can cause damage - especially during retrieval. Volumes should be retrieved by pulling them from the shelf from their middle, not by pulling on the tops of their spine. Flat bookmarks should be used to mark places in a bound volume. Heavy items should not be placed in or on a volume. Marking parts of a book using metal paper clips, holding the volume together with rubber bands, and turning down the edges of pages are practices to be avoided. Pencil, pen, or high lighters should not be used to mark portions of important bound volumes. Photocopying volumes is discouraged, but if it can withstand photocopying, the spine should not be pressed down on the glass platen of the copier.

Conserving Electronic Records Master copies of records in an electronic format must be kept in some manner so that access is assured for the full retention period indicated on a Records Retention and Disposition Schedule. Long-term storage of records held in electronic formats presents numerous challenges. While information stored in an electronic format may have a permanent retention, the media are not considered permanent. Most electronic storage media are expected to last from a relatively few years (disks) up to as long as 20 or more years for some CDs and optical disks. The information is what is being managed, not the media. Data (information) might well have to be migrated (updated or changed) to another medium before its retention period has been reached. Before any migration to a format that is not eye-readable (especially electronic or digital), the vendor must assure the government office that migration plans are built into the specifications and pricing, and include guarantees against any data loss or drop out in process.

How long the media lasts depends on factors such as the conditions in which they have been stored (stable temperatures, stored flat) as well as the wear and tear that they have experienced in daily use. The manufacturing date of media, not the recording date, is the "start" date. Information storage media should be bought only as it is needed. The cost of the retention and maintenance of hardware devices that allow access to the data must also be considered when committing to a new technology. Even under the best of conditions, hardware becomes obsolete, parts are difficult to locate, and service for the equipment becomes limited. Software operating systems also become obsolete as new versions are created, making some earlier versions incapable of being accessed, or discontinued and therefore no longer supported by the developer.

Acquiring Storage Supplies & Contacting Professionals Acid-free folders and envelopes, durable boxes, colored record labels or any number of record storage supplies that might be needed, are available from dozens of companies that manufacture and distribute storage supplies. Some of these may also be found at local office supply stores. Many Records Officers order their supplies from mail-order catalogs or through the internet.

A wonderful source of information can also be found by contacting a chapter of the Association of Records Managers and Administrators (ARMA) nearest you (there are none in West Virginia at this time, but there are several in the surrounding states). The web site www.arma.org is a rich resource as well. Your colleagues who also manage records are generous with their time, their experiences, and their expertise. Records that have been damaged by fire, water, or some other means, may require that professional conservationists be hired. Conservation can be expensive, but in some cases, the expense is necessary. The most important phone call after such a disaster should be to the State Archives. The State Archives maintains an up-to-date listing of companies and individuals with this kind of expertise. -------------------------------------------------------------------------------1. Glossary, 1992.

Chapter 10: PREPARING FOR DISASTER

Everyone hopes that a disaster - natural or man-made - doesn't strike our homes or workplaces. But West Virginia does have a history of disasters: floods, fires, hurricanes, and, as well, computer viruses, theft, and vandalism. Disasters cannot always be prevented, but everyone can take steps to assure their homes and businesses are as protected from them as possible, and can certainly take measures to recover from them quickly in case they do occur. Even though "disaster" is a word that generally connotes large-scale destruction, disasters can come about from everyday problems. Leaky roofs and pipes, for instance, can take significant tolls on records. A single soaked box of records can spell disaster if the information is valuable and irretrievable. The purpose of this chapter is to offer guidelines for disaster planning. Included are a few "quick tips," some suggestions for setting up a disaster plan, requirements for the handling of vital records, and advice on how to garner support for disaster prevention efforts. Quick Tips for Disaster Prevention

Records should never be stored in a basement or an attic. Records should never be stored near water pipes or air conditioning. Records should never be stored near a heat source. The ideal climate for records storage is between 65 and 70 degrees F, and 55 percent relative humidity. Records should be stored away from natural and ultraviolet light sources. Natural oils from human skin contaminates records. Critical records should be kept in a separate location. Tape (Scotch or any other commercial, non-archival adhesive type), paper clips, staples, or folded portions of records should not be accepted. Ballpoint or felt-tip pens should not be used to label photographs or records. Instead, a soft number two pencil should be used to label the back edge of photographs. Plastic covers should always be placed over computer equipment when not in use. ALL RECORDS MANAGERS SHOULD REMEMBER THAT damage to computers, disks, and peripheral equipment requires professional restoration.

In the event of a disaster, electronic equipment should not be used until examined by professionals, as any damage to that equipment could cause further harm to records. The creation of backups and/or careful attention to the migration of electronic records when new software is installed on office computers is critical in the prevention of the loss of data. Creating a Disaster Plan A disaster plan outlines the measures an office needs to take to be prepared in case a disaster strikes. The outlines of a plan are given below. It is important to remember that in the event of a disease pandemic, a nuclear attack, a terrorist action, or other disaster that affects a wide area of West Virginia and/or other states, everyone will need to follow local and national civil defense officials' instructions. Some functions, businesses, buildings and equipment might be nationalized for the common health and welfare of the State of West Virginia or a wider area. This may be a

temporary or even long-term condition. However, if all other precautions to care for the "official memory" of each county of West Virginia are taken, the records, and their prominent place in returning government operations and services to conditions prior to such a disaster, will be preserved. There are three objectives for establishing a disaster preparedness plan: 1. The identification of vital and other valuable records critical to the functioning of the government office or agency. Vital records are defined as those that are essential for conducting business, e.g., certain operational records, payroll records and fiscal records. Once vital records are identified, special efforts must be taken to ensure they are protected or duplicated before a disaster occurs. 2. The identification of structural, logistical or other vulnerabilities to which office records and information are exposed, and the mitigation of as many of these as possible. For example, if records must be stored in areas where water damage from pipes or mechanical equipment is possible, a staff discussion about what can be done to protect them should prove useful. 3. The creation of a viable plan to implement in the event a disaster occurs. The plan should be practical, clear, supported by management and distributed to all those who would be expected to respond to a disaster (e.g., staff members, local Department of Emergency Services offices, local police and fire departments, and any cooperating local offices or agencies). Handling Vital Records Some records under the care of West Virginia's public employees are vital records. Vital records typically include birth, death, marriage, and divorce certificates, but they may also include records such as payment vouchers, active personnel and payroll records, bills, and board minutes. By definition, vital records contain information crucial for daily operations of an office, and are often marked as active files. They should constitute approximately three to five percent of the average records found in all government offices. Without vital records, business operations would virtually come to a halt and the public interest would be adversely impacted. Vital records are those without which it would be difficult - if not impossible - to continue to fill the purposes for which the office housing them exists. Further, the loss of its vital records makes a government office:

Vulnerable to litigation Exposed to unplanned expenditures or lost revenue Lose information and therefore efficiency Lose the continuity of office operations

Vital Records Protection Two methods are used to secure the safety of the vital records of all businesses, from banks to healthcare facilities to government offices. They are duplication and dispersal, and they are usually used in tandem. Duplicates, where practical, should be stored for security purposes at a secure, off-site location. Duplicates can be carbon copies, paper copies, microfilmed images, optical disk data, etc., but they must be true representations of the original. During the development phase of a disaster plan, office personnel will want to ask whether or not the records that are considered vital can be found or recreated from other data that is available in other locations already. If so, that should

be noted so that in the event of a disaster, the records can be duplicated, even if it will be a labor-intensive task. The Politics of Budgeting for Disaster Prevention In some areas, elected officials may prefer to avoid disaster planning. Disaster control costs money and only rarely produces tangible rewards, so there is little immediate incentive. Frequently, money is not budgeted for disaster control until after disaster strikes -- after a flood destroys valuable records stored in a basement, or after a fire decimates vital records that lack fire-proof shelving. There are at least two ways of garnering financial support for disaster prevention. One involves describing the consequences of disaster, sharing others' experiences of inadequate planning and what happened when the fire truck beat them to work one morning. Another involves describing the benefits and advantages of disaster prevention measures. It is important to remember that no one plans for a disaster to happen, but happen they do. Although it is not easy to do, everyone who has control over the public's records has a moral and often fiduciary responsibility to provide the best care for them possible. Disasters (ranging from the loss of a single record, to the loss of office functions, to the loss of a building, to a nuclear attack) will without doubt:

Severely impair the functions of daily business Incur additional financial expenses in potential lawsuits, damaged records recovery, disaster cleanup, reconstruction of the storage space, etc. Destroy records that document the culture and history of the local community Inhibit government accountability to the people it serves Lead to public disfavor, especially in the form of bad press and resentment from members of the community

The benefits and advantages of a good disaster prevention program include:

Potential praise and kudos from the community, especially if a disaster prevention plan has saved many records from destruction A sense of comfort and security for the government officials and employees and the public they serve An image of responsibility in long-term management practices Knowledge that disaster prevention is a long-term investment that will make life easier for future Records Officers and future office staff members who may be terrorized by disaster

As the disaster plan is being discussed and budget monies are being allocated for it, the best question for elected officials and employees to ask is, what is the cost of doing nothing versus the cost of doing something? Disasters happen, and happen frequently.

Chapter 11: ELECTRONIC RECORDS

Introduction Electronic record keeping involves the use of a computer to create, retrieve, analyze, transmit manage, preserve or delete records. Electronic records are data in a form that can be read and processed by a computer and/or other electronic devices with digital memories and that satisfy the legal definition of a record. Electronic records may include data files and databases, magnetic tapes and disks, optical disks, compact disks (CDs), and any other form of magnetic, electronic, or digital media and their associated software programs, documentation, manuals, or instructions, machine readable indexes, word processing files, electronic spreadsheets, electronic mail and messages, as well as other text, video, or numeric information. Generally, the retention and disposition requirements for records are the same regardless of their format (paper, microfilm, or electronic). Electronic records not listed on a retention schedule but used in an office must be added to the Specific Records Retention Schedule. System Analysis Establishing record keeping requirements for an information system that uses electronic records and data necessitates:

Accurate and full documentation of the system Identification of what functions are supported by the system Documentation of operational, audit, legal, oversight, vital, and historical requirements for the information Knowledge of how the information will be used, accessed, and maintained on each media to meet the differing requirements Procedural controls necessary to preserve the integrity of the data in the system

Generally, certain practices are associated with maintaining a sound and compliant electronic record keeping system. Procedures Manual for Keeping Electronic Records Each office that creates electronic records should create a manual describing how the information is created or imaged, maintained, retrieved and stored. The system's hardware and software characteristics should be fully documented, indicating the type, brand names, and model numbers of all hardware components including media which are used in the system together with the dates that specific components were put into or taken out of service (refer to vendor technical specification sheets). All software and application programs used in the system should be described, including version numbers and implementation dates for upgrades. Custom software applications should have documentation for flowcharts, source code and other developmental information. Creation Documentation

Information added to the system by document scanning or data entry, as well as quality control procedures, should be documented for each application. This includes written instructions for operators of all equipment used in creating and managing electronic records. It also should include periodic training and routine checks of information in the system. Access Control Procedures A list of all users and their access privilege authorizations should be audited regularly to ensure document password protection. The list should differentiate users who are authorized to record or edit images from those who can only read or retrieve them. Changes should be documented, along with the name of the person who performed the changes and reasons for making them. Audit Annually review all information changes, practices and system security, re- document where necessary and date. Verification In an imaging system, copies made from the system are verified against the original image and must be authenticated by the custodian of the records or the system administrator. Administration At least one person is designated as the system administrator with responsibility for system operations. This person should be able to give knowledgeable testimony about the system if required in a court of law. Standards The system should be checked periodically to ensure it meets relevant state standards. Maintaining Data Refresh Recordings Each locality is responsible for recopying or "refreshing" its electronic recordings scheduled for long-term retention. This is done at least once a year for magnetic disks or diskettes and at least every 10 years for magnetic tapes or optical disks. Procedures must also be in place that require this to be done when hardware and software operating system changes are made, or when media may have been compromised by environmental failure. Maintain Access Each office must maintain the hardware and software needed to retrieve electronic records until the expiration of the applicable retention period listed on the appropriate Records Retention Schedule, or the records must be converted (migrated) to newer systems. Format Not Permanent Since the media on which electronic records are maintained is not considered permanent, presently electronic records are not acceptable for archival storage. If the information stored in

electronic format is required by a retention schedule to be kept permanently or to be transferred to the State Archives, the records must be converted to paper or microfilm, the two accepted "eye-readable" media that meet the standards for permanent archival retention. Destroying Data Similar security precautions required of paper records must be employed when destroying or reusing recording media that contain privacy-protected or confidential information. Electronic storage media containing such information must be electronically wiped clean or physically destroyed in such a manner that the information cannot be reconstructed. As with other records, electronic records must be destroyed pursuant to approved records retention schedules. Electronic Filing Practices Generally, electronic files are stored by program of creation rather than by file function. Issues in managing electronic files include:

Classification

Identifying authorship Tracking versions of a file Managing large volumes of files Standardizing filing practices

The same concepts used to manage paper, or document-based, records are also used to manage electronic records. The classification schemes developed in the document-based system can be applied to electronic files. "Main heading" and "subheading" in the document-based file management system are called "directories" and "sub-directories" in an electronic filing system. These directories are stored by the application in which the document was created. Deleted files created in any application should be brought together in one sub-directory, if not already linked. In an electronic filing system, files are stored in the main or root directory. The sub-directory level would include the department/office which maintains or creates the records, and the actual file would be located in a folder under the sub-directory. Having a classification system for electronic records is essential due to their huge volume and the number of versions produced. Access An electronic filing system allows files to be accessed through the use of a personal computer on a stand-alone basis or by using a local area network (LAN) or wide area network (WAN). A stand-alone system does not permit more than one user to access files at the same time. A networked system allows a number of users to have simultaneous access. Files on a standalone system are stored on the computer hard drive; files on the network system are stored on the network's computer server. The level of access is controlled by the use of authorities assigned to users. Computer software has "search and find" capabilities which allows files to be retrieved in seconds. The computer will only retrieve documents by the specific name created in the directory or sub-directory. An index should be created so that all documents can be referenced. Some systems allow for full-text retrieval. Indexing

Unlike paper-based file systems which only allow one user to access a file at a time, electronic files can be accessed by many users simultaneously. Therefore, it is important for file names to be indexed in a logical manner. A data dictionary or thesaurus should contain a listing of terms and cross-references which identify files. This provides structure and consistency to the process of naming files. A data dictionary or thesaurus should be distributed to all users so the same indexing terms are used to create and access files. File names should not be excessively abbreviated to the point where the name cannot be understood. In addition, the file names should not be too broad ("correspondence") or too narrow. The search capabilities of computer software enable fast retrieval when the right keywords are known. Retention and Storage There are special filing media designed to store electronic data. The preservation of all non-paper media such as diskettes, film, magnetic tapes, cassettes, CDs and optical disks is dependent on the environment while stored. This type of media will deteriorate rapidly if proper temperature and humidity are not maintained. All electronic media should be labeled accurately, and, to avoid contaminating the media, they should not be stored near magnetic fields or placed in smoking or eating areas. Computer Tapes can be stored on special lateral files or in open files which use canister racks or hanging racks. Magnetic media should be stored in a climate-controlled environment between 63-68 degrees F, with a relative humidity of 35-45 percent. 3.5-inch Diskettes should be placed in protective pockets and storage boxes to minimize their exposure to dust. CD-ROMs and Optical Disks can be stored in jukeboxes or plastic containers, lying flat. Migration Plans: If the retention period for any electronic media is 10 or more years, consideration should be given to building into a storage plan a strategy for the migration of the recorded information to the next generation of technology's record media. The software and/or source codes need to be stored with the electronic records. Technological obsolescence should not be allowed to prevent the retrieval of records from their original formats. Disposal Electronic records should be included in general (and specific) retention and disposition schedules, the same as in paper-based records. The State Archives should be consulted to obtain necessary approvals prior to disposing of electronic records. Electronic Mail (e-mail) E-mail is not a records series or a classification of records; it is a generic term used to describe a mode of communicating information through an electronic media. Records in e-mail systems include messages sent, messages received, header information, attachments, and transmission and receipt data. E-mail has become an integral part of how government conducts business. Through e-mail, approvals are made and authorizations given. It is the content of the records transmitted in an e-mail system that determines the value of the records. Therefore, the value of the records, regardless of the format they are in, is determined by a Records Retention Schedule.

Retaining E-mail To determine the disposition of e-mail, refer to the appropriate retention schedule for the type of information contained in the e-mail (e.g., correspondence, projects, planning, working papers). Most records transmitted via e-mail are covered by general retention schedules. E-mail may require retention of transmission data to be intelligible and to understand the context. When a record in an e-mail system is preserved, the transmission data also must be captured to maintain a complete record. If retained in electronic form, a system of retrieval and access, related to the records schedule, must be developed. Permanent records must be scheduled to format to eye- readable format. By storing the e-mail document in paper format, it can be integrated with other types of records in a series. The information is then in the records series one would expect to locate it in and accessible to all users. Internal E-mail Policies Public employees should assume that e-mail messages are public records. E-mail should be used for appropriate government purposes only. Incidental and occasional use of e-mail occurs, but it should be used wisely and with consideration for the perspective of others. It is important to remember that public employees' e-mails can be accessed by others without prior notice, so nothing should be written in an e-mail which would be objectionable for third parties to read. Email cannot be used for soliciting business ventures, promoting particular religions, personal, or outside causes. The best method for dealing with e-mail locally is for each office to determine the retention period for e-mail messages and then cause them to be erased electronically. Most businesses and many governments have adopted as little as a 30-day retention period, although each government office must determine the retention period that works best for them. There is a difference between e-mail used in the normal conduct of the government's business, and the use of e-mail to convey policies or procedures or official opinions on public matters. In these latter cases, a paper hard-copy of the information should be made. Then the Records Retention policy for that particular record is easier to follow. Web Pages Sometimes government localities create their own World Wide Web sites. These pages are not records series, nor are they record keeping systems. Because of the enormous volume of information on the Web and the speed with which it changes, it is difficult to capture in the manner we have traditionally used to identify records. Web pages are more and more able to offer the citizen swift, informed access to local records, government offices, and helpful public information. The State Archives encourages the development of these Web sites, but also encourages taking a periodic "snapshot" of the information contained on the page and either printing it out, or if it is too voluminous, at least capturing a printout of the home page and index. These methods of recording the official correspondence with and the services provided to the citizens of West Virginia and elsewhere via the Web are the least sophisticated methods available, but they are very valuable for research purposes.

APPENDIX
Records Survey Form (PDF) Records Inventory Form (PDF) Records Transmittal Form (PDF) Authorization to Destroy Records Form (PDF) Electronic Records Inventory Form