Title 100 W. Va. C.S.R.

Records Management And Preservation Board Records Management And Preservation Board

Series 01 County Records Management And Preservation Grant Program

W. Va. Code R. § 100-1-1 General

1.1. Scope. -- This legislative rule establishes general guidelines for a county records management and preservation grants program administered by the Archives and History section of the Division of Culture and History for the Records Management and Preservation Board.

1.2. Authority. -- W. Va. Code '5A-8-15.

1.3. Filing Date. -- May 8, 2002.

1.4. Effective Date. -- July 1, 2002.

W. Va. Code R. § 100-1-2 Definitions

2.1. AArchival quality@ means a quality of reproduction providing permanent, durable, and nondestructive storage or copying medium for records consistent with established standards specified by state and national agencies and organizations responsible for establishing such standards, such as the Association for Information and Image Management, the American National Standards Institute, the National Bureau of Standards, the National Archives and Records Administration, and others as applicable to the project submitted for funding.

2.2. AArchival record@ means all non-current records of continuing and enduring value useful to the citizens of the state and necessary to the administrative functions of counties and municipalities in the conduct of services and activities mandated by law. In appraisal of public records deemed archival, the terms Aadministrative,@ Afiscal,@ Ahistorical,@ and Alegal@ shall be defined as:

2.2.a. AAdministrative value@ means the records have continuing utility in the operation of an agency of a county.

2.2.b. AFiscal value@ means the records are needed to document and verify financial authorizations, obligations and transactions.

2.2.c. AHistorical value@ means the records contain information, regardless of age, which provides understanding of some aspect of the government and promotes the development of an informed and enlightened citizenry.

2.2.d. ALegal value@ means the records document actions taken in the protection and proving of legal or civil rights and obligations of individuals and agencies.

2.3. ABoard@ means the Records Management and Preservation Board.

2.4. ACustodian@ means the county official in charge of an office having public records.

2.5. ADirector@ means the Director of the Archives and History Section.

2.6. APreservation@ means maintaining archival records in their original form by stabilizing them chemically or strengthening them physically to ensure their survival as long as possible in their original form. It also means the reformatting of written, printed, electronic or visual archival originals to extend the life of the information.

2.7. APublic record@ means recorded information that documents a transaction or activity by a county official or office. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business.

The medium on which the information is recorded may be, but is not limited to, paper, film, magnetic, optical or solid state devices which can store electronic signals, tapes, Mylar, linen, silk or vellum. The general types of records may be, but are not limited to, books, papers, letters, documents, printouts, photographs, films, tapes, microfiche, microfilm, photostats, sound recordings, maps, drawings, and any representations held in machine readable form.

2.8. ARecords Management@ means the efficient and effective management and control of the creation, maintenance, use, and disposal of records, files and forms.

W. Va. Code R. § 100-1-3 County Records Management Assessment Program

3.1. The Records Management and Preservation Board (Board) is aware of the serious need of county offices throughout the state to manage a vast accumulation of public records in several formats for administrative and public access. The Board seeks to compile information and supporting data on the volume, condition, storage, and preservation storage needs of county records. The information gathered will enable the Board to establish a uniform records management program, including but not limited to, preservation, reformatting, and enhanced public access, utilizing the most efficient and cost effective applications and applying best practices and standards available. The data will also provide the Board with information necessary to develop a competitive grants program to support county records projects implementing standards and priorities established by the Board.

3.2. To qualify and participate in this initiative, the county will complete and return a general survey form for all offices receiving public funds (local, county, state and federal), providing information on the office - staffing, quantity of space allocated for current and inactive records, date span and volume, types of records, and etc.

3.3. The Board, upon completion of general mail-in survey form, will sponsor and fund complete county records assessment surveys. These on-site surveys will be conducted using designs and guidelines developed from similar practices in other states and issued by the Board. These surveys will collect more specific data necessary to identify records management and preservation conditions and needs, which will serve as the basis for the Board=s development of uniform records management procedures for all county government records.

W. Va. Code R. § 100-1-4 County Records Management Program

4.1. The Board, using data compiled from the surveys and best practices from other applicable states= records management programs, will compile and publish a county records management manual. This manual will issue general records retention and disposition schedules for county offices; provide information on records storage requirements both on and off site; filing systems; reformatting and electronic records guidelines; record destruction procedures; disaster preparedness procedures; and other record needs as identified by the survey data.

W. Va. Code R. § 100-1-5 County Records Management and Preservation Grants Program

5.1. Based on record needs identified by the survey data, the Board will identify priorities for records management and preservation of original historical public records and/or historical information contained on these records, and establish a competitive grants program for county projects addressing these priorities. Eligible program areas include, but are not limited to:

a. Implementation of an approved records schedule;

b. Processing and indexing projects;

c. Storage of records; and d. Reformatting of records.

5.2. Grant applications will be put in priority order as established by the Board. Priority will be given to applications utilizing nationally recognized standards for records management principles, procedures, and technologies, and archival quality preservation practices, processes and technologies as issued by the Association of Records Managers and Administrators (ARMA), National Association of Government Archivist and Records Administrators (NAGARA), International City/County Management Association (ICMA), and others.

5.3. Each funding period will be for one year to run concurrent with state fiscal year.

5.4. All county offices, having participated in the initial surveys, will be eligible to apply for funds but will not automatically receive funds. Grants will be evaluated and rated in accordance with program priorities established and published by the Board (section 5.2). The Board will consider grant applications and ratings and approve, amend or reject for full or partial funding.

5.5. Availability of the project application form and selection criteria will be announced by the Board in September of each calendar year, sent to the Clerk of the County Commission, to the West Virginia Association of Counties and its member associations, and made accessible on the Archives and History web page or upon request to the Director of Archives and History, 1900 Kanawha Boulevard, East, Charleston, WV 25305-0300. Hard copies of the completed application (one original and two copies) must be postmarked no later than the 1st day of November of each calendar year and sent to the Board care of the above address for Archives and History.

5.6. The Board will notify successful applicants on or before the first day of March of the calendar year following the November submission.

5.7. Successful applicants must:

5.7.a. enter into a binding contract to expend all grant funds awarded in accordance with state purchasing laws and rules;

5.7.b. meet standard financial management systems and general accounting standards for audit of government entities and organizations;

5.7.c. agree to participate in pre-grant meetings and on-site visits; and

5.7.d. provide a report, by way of example, detailing project accomplishments, successes and failures, products, etc., and financial reports within ninety (90) days of the completion of the project or 30 September of the next fiscal year, whichever is earlier, to the Board care of the Director of Archives and History, 1900 Kanawha Boulevard, East, Charleston, WV 25305-0300.

5.8. The Board will notify unsuccessful applicants in writing within fifteen (15) days of the Board=s meeting to review, evaluate, and award grants on the applications submitted.

5.8.a. Any grant applicant failing to receive an award may appeal this action by submitting a written request for reconsideration, addressed to the Director at Archives and History, 1900 Kanawha Boulevard, East, Charleston, WV 25305-0300, stating specific reasons as to why the Board=s original decision should be overturned, within fifteen (15) days of receipt of notification of the denial of the grant request.

5.8.b. Within thirty (30) days of the request for reconsideration, the Board will issue its final administrative determination on the grant request. The Director will notify the appellant of the Board=s decision in writing.

100CSR1

Series 02 Rules For General Management And Preservation Of County Records

W. Va. Code R. § 100-2-1 General

1.1. Scope. -- This Legislative Rule sets forth general Standards and Procedures for the effective and uniform management and preservation of public records created and filed under the jurisdiction of the various county government entities.

1.2. Authority. -- W. Va. Code §5A-8-15.

1.3. Filing Date. -- May 7, 2004.

1.4. Effective Date. -- July 1, 2004.

1.5. Purpose. -- The purpose of the rule is to establish general standards and procedures for a uniform records management and preservation program, retention schedules for county government entities, and electronic records keeping systems.

W. Va. Code R. § 100-2-2 Applicability

2.1. This legislative rule applies to all county government entities and records, except those statutorily exempted from its application.

W. Va. Code R. § 100-2-3 Definitions

3.1. “Active Record” is a record that is currently used to fill the need for which it was originally created or acquired.

3.2. “Archival quality” means a quality of reproduction providing permanent, durable, and nondestructive storage or copying medium for records consistent with established standards specified by state and national agencies and organizations responsible for establishing such standards, such as the Association for Information and Image Management, the American National Standards Institute, the National Bureau of Standards, the National Archives and Records Administration, and others as applicable to the project submitted for funding.

3.3. “Archival record” means all inactive record of continuing and enduring value useful to the citizens of the state and necessary to the administrative functions of counties in the conduct of services and activities mandated by law. In appraisal of public records deemed archival, the terms “administrative,” “fiscal,” “historical,” and “legal” shall be defined as:

3.3.a. “Administrative value” means the records have continuing utility in the operation of an agency or a county office.

3.3.b. “Fiscal value” means the records are needed to document and verify financial authorizations, obligations and transactions.

3.3.c. “Historical value” means the records contain information, regardless of age, which provides understanding of some aspect of the government and promotes the development of an informed and enlightened citizenry.

3.3.d. “Legal value” means the records document actions taken in the protection and proving of legal or civil rights and obligations of individuals and agencies.

3.4. “Archives” means a repository specifically designed for the preservation, storage, access and display of archival records; the organization operating an archives.

3.5. “Board” means the Records Management and Preservation Board.

3.6. “Code” means the West Virginia Code of 1931, as amended.

3.7. “Converting Electronic Records” means transferring electronic records by export or import from one software environment to another without loss of content or structure of the records.

3.8. “Copying Electronic Records” means transferring records from an existing storage medium to an alternate storage medium, maintaining the format specifications without any loss of content or structure.

3.9. “Director” means the Director of the Archives and History Section of the Division of Culture and History.

3.10. “Electronic Imaging System” is a computer-based system which stores digitally encoded records or documents, originally created in this form or a back-file conversion of original paper or microform records, to provide retrieval and access to imaged records on demand. Electronic Imaging Systems serve as an alternate format to paper or microfilm systems, which may provide for multiple and faster access to information. Electronic imaging does not meet archival quality national standards for the preservation for records scheduled for long term or permanent retention.

3.11. “Electronic Records” are records in a form that can be created, generated, sent, received, transmitted, read and processed by a computer and/or other electronic devices with digital and/or analog memories. Electronic records include data files and databases, electronic mail, machine readable indexes, word processing files, electronic spreadsheets, magnetic tapes and disks, optical disks, compact disks, digital disks, and any other form of magnetic, electronic, or digital media, including video and audio.

3.12. “Filing System” is a set of policies, procedures, methods, and equipment used for organizing files or records to facilitate access, retrieval, use and disposition.

3.13. “Inactive Record” means a record not in current use, having fulfilled its original purpose but retained for other administrative, fiscal, legal or historical value.

3.14. “Information System” means the organizational structure, processing, transmitting, and dissemination of information within defined manual or automated procedures.

3.15. “Migrating Electronic Records” means transferring records from one system or platform to another, usually requiring a specific program which must ensure that all records are migrated without loss of information content, structure, context, retrieval, or access.

3.16. “Non-record” is a convenience, courtesy, information, or display copy - a duplicate copy which is disposed of after this use.

3.17. “Preservation” means maintaining archival records in their original form by stabilizing them chemically or strengthening them physically to ensure their survival as long as possible in their original form. It also means the reformatting of written, printed, electronic or visual archival originals to extend the existence (life) of the information and access to it.

3.18. “Preservation Duplicate” is an exact copy of a vital record, made for reference purposes thereby preserving the original.

3.19. “Preservation Master Copy” is a copy of an original permanent record used only for purposes of making use copy and stored under archival conditions.

3.20. “Public record” means recorded information that documents a transaction or activity by a county official or office. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business. The medium on which the information is recorded may be, but is not limited to, paper, film, magnetic, optical or solid state devices which can store electronic signals, tapes, Mylar, linen, silk or vellum. The general types of records may be, but are not limited to, books, papers, letters, documents, printouts, photographs, films, tapes, microfiche, microfilm, photostats, sound recordings, maps, drawings, and any representations held in machine readable form.

3.21. “Record Series” means a file unit or group of documents arranged in a filing system or kept together because they relate to a particular function or subject, or the same activity, transfer or transaction, or have some internal relationship based on creation, receipt, or use, and may have a particular physical form.

3.22. “Records Grant Program,” means the CSR Title 100, Series 1, County Records Management and Preservation Grant Program, which receives and awards grants of merit to county government entities for projects to address management or preservation needs of county government entities’ records from funds derived from fees collected by clerks of the county commission.

3.23. “Records Management” means the efficient and effective management and control of the creation, maintenance, use, and disposal of records, files and forms.

3.24. “Records Management and Preservation Board” is the body of nine members established in Code to establish a system of records management and preservation for county government records.

3.25. “Records Management Manual” means the written policies, practices, procedures, and standards set forth by the Board to guide all employees in county government entities in the creation, maintenance, preservation and disposition of records.

3.26. “Records Manager” is that person elected or appointed to office, or designee, who has administrative or supervisory role over office functions responsible for planning, maintenance, use, and disposition of records created and filed in that office; staff training to carry out those functions; and the implementation of the Board’s records manual and records schedules. Records Manager may also be referred to as “Records Clerk”, “Records Officer”, “Records Administrator”, “Records Custodian”, “Records Keeper”, as well as statutory office titles.

3.27. “Records Schedule” is a document which imposes mandatory instructions for the records of a government entity when no longer active or current, provides retention period for all record series of an office and authority for final disposition. Records schedules may be specific to an office or a general records schedule encompassing series of records, such as fiscal or personnel, common to all offices.

3.28. “Reformatting Records” means the transfer of a record or records from one medium to another, which may be from paper to microfilm, an audio analog cassette to digital disk, or analog video to DVD disk, but without any change in the intellectual content or information conveyed or carried on the format from which the alternate is made.

3.29. “Vital Record,” for the purposes of this rule, is a record absolutely essential to the conduct of daily business or to protect and preserve the rights of the state, county or its citizens.

W. Va. Code R. § 100-2-4 Objectives

4.1. The county records management program shall manage the creation, use, maintenance, preservation and disposition of the records of county government entities utilizing uniform, efficient, and economical procedures and standards. The program shall:

4.1.a. Provide for the management and retention of all records of county government entities in all formats, to ensure the administrative, legal, fiscal, and historical needs of county government are met.

4.1.b. Identify, protect and preserve records vital to county government and its citizens.

4.1.c. Identify, preserve, and ensure records of permanent enduring value, historical or archival, are accessible to county government and its citizens, or are submitted for transfer to the director of archives and history for preservation.

4.1.d. Ensure that records of temporary or short term value are disposed of in accordance with approved records schedules.

4.1.e. Provide for economical government business operations and quality service to the public.

4.2. The county records management program shall provide record schedules for the records of county government entities to ensure proper retention of records of continuing value and proper disposition of records of minimal value or no longer possessing administrative, legal, fiscal, or historical value sufficient to justify continuing maintenance. The program shall:

4.2.a. Provide a records management manual for county government entity records managers to serve as a guide to the management of county government entity records.

4.2.b. Issue general records schedules for records common to all county government entities.

4.2.c. Issue specific records schedules for each county government entity listing all records identified with specific government entity and reflecting most recent county records survey.

4.2.d. Provide for retention and disposition based on state and federal codes and regulations, Supreme Court of Appeals orders, and record values.

4.2.e. Provide forms to authorize destruction of records having no further administrative, legal, fiscal, or historical value; for transfer of records to archives and history, an approved repository, authority, or storage center; and for the reformatting to microfilm, image, electronic, or other formats approved by the Board.

4.2.f. Provide forms for the biennial inventory of each county government entity, which shall serve as the basis for Board review and revision of records schedules, a report on the state of the conditions and needs of county government entity records, and for comparison and support of the Board’s continuing annual records grant program.

4.3. The county records management and preservation program shall identify and set forth uniform guidelines, procedures, and requirements for electronic record keeping systems and technologies which ensure the preservation of the original record, regardless of original format, which is incapable of erasure or alteration of any recorded information, which may be retrieved in form which accurately depicts and presents the image and recorded information of the original record, and which meets all legal requirements for evidentiary records. Electronic record keeping systems shall:

4.3.a. Include complete, current technical and system documentation for producing, using and storing electronic records.

4.3.b. Provide portability of the record(s) and format so as to be neither equipment nor program dependent on a single manufacturer, but capable of being produced and managed by multiple manufacturers, to ensure economical transfer from one system or medium to another without loss or compromise to the original record, data, database, or other electronic record keeping medium or format.

4.3.c. Ensure management, access and retrieval in an easy, timely manner, and storage of records, meeting required recopying or “refreshing” requirements, in compliance with required scheduled retention period.

4.3.d. Ensure security and authorization procedures which prevent unauthorized access, or modification by addition, revision or deletion of a record.

4.3.e. Provide backup against power interruptions and for recovery of records without information loss through redundant electronic storage media systems for long-term record retention requirements and CD’s, optical, DVD’s or other currently acceptable state-of-the-technology or media for records of lesser retention requirements.

4.3.f. Ensure records are not lost due to changes in technology, reformatting, copying, converting, or migrating records to alternate hardware, software or medium.

4.3.g. Ensure that records scheduled as permanent are retained in format meeting national and industry standards for archival records and acceptable for transfer to archives and history, with appropriate finding aids or indexes meeting national, industry and/or board standards to provide access and retrieval of the records.

4.3.h. Require submission to and approval by the Board of the county government entity’s administrative plan of procedures and policies, including its ability to insure maintenance of electronic records in compliance with industry and national standards, demonstrated ability to retain continuity of the electronic system, and comply with requirements in most current records management manual.

W. Va. Code R. § 100-2-5 Responsibilities

5.1. The Board shall:

5.1.a. Issue, revise and update records management manual to guide county record managers in the efficient and economical management of the records of county government entities.

5.1.b. Issue, revise and update record schedules providing for the retention and disposition of the records of county government entities.

5.1.c. Review, and approve or reject proposals or plans for electronic records systems being considered for implementation by county government entities to insure compliance with industry and national standards, and the Board’s requirements for statewide uniformity.

5.1.d. Sponsor continuing surveys of the records and conditions of county government entities and the study of records management procedures and standards so as to introduce, improve, and increase uniformity in records management practices throughout county government entities.

5.1.e. Support and promote projects to improve access and preservation of the records of county government entities through the records grant program and other funding sources which might be identified.

5.1.f. Provide opportunities for continuing records management training for record managers in county government entities.

5.2. County government entities will:

5.2.a. Implement and maintain a continuing uniform program of economical and efficient records management based on the rules, records management manual, and record schedules issued through the Board.

5.2.b. Have office holders, or record manager designees, serve as liaison with the Board with regard to the records management program, assisting in the collection of information regarding records creation, conditions, and needs, in revising and maintaining the records management manual and schedules to be current with best practices and national standards, and by participating in records management training opportunities.

5.2.c. Develop written procedures and policies for electronic record systems to insure access, retrieval, security, and preservation of all public records for scheduled retention period.

5.2.d. Prepare and submit proposals to board and other sources to secure funds to improve records management and preservation.

5.2.e. Implement records schedules so as to dispose of records in most proper and efficient fashion at expiration of scheduled retention period, and work with archives and history for the proper transfer of records of historical value.

5.3. Director of Archives and History, or his or her designee shall:

5.3.a. Provide staff assistance to the Board in developing, implementing and maintaining the records management and preservation program for county government entities.

5.3.b. Assist the Board and work with county government entities in developing, implementing, updating, and maintaining the records management manual for county government entity records.

5.3.c. Assist the Board and work with county government entities in developing, implementing, updating, and maintaining records schedules for county government entities.

5.3.d. Assist the Board and county government entity record managers in identifying and implementing uniform, economical and efficient records management and preservation programs for manual and electronic record systems.

5.3.e. Assist the Board with technical information and expertise for county records management and preservation; manual and electronic information management systems; and state and federal regulations, and industry standards regarding records management and preservation.

5.3.f. Serve as liaison between the Board and county record managers and government entities.

5.3.g. Assist county government entities in the proper disposition and transfer of records in compliance with approved records schedules.

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100CSR2