Agency/Agencies:



This schedule applies to: Washington State LotteryScope of records retention scheduleThis records retention schedule authorizes the destruction/transfer of the public records of the Washington State Lottery relating to the unique functions of managing lottery games. The schedule is to be used in conjunction with the State Government General Records Retention Schedule (SGGRRS), which authorizes the destruction/transfer of public records common to all state agencies. xe "agreements" \t "see SGGRRS" \f “subject” xe "backups" \t "see SGGRRS" \f “subject” xe "budgeting" \t "see SGGRRS" \f “subject” xe "transitory records" \t "see SGGRRS" \f “subject” xe "human resources" \t "see SGGRRS" \f “subject” xe "payroll" \t "see SGGRRS" \f “subject” xe "travel" \t "see SGGRRS" \f “subject” xe "financial records" \t "see SGGRRS" \f “subject” xe "leave" \t "see SGGRRS" \f “subject” xe "timesheets" \t "see SGGRRS" \f “subject” xe "grievances" \t "see SGGRRS" \f “subject” xe "facilities" \t "see SGGRRS" \f “subject” xe "contracts" \t "see SGGRRS" \f “subject” xe "records management" \t "see SGGRRS" \f “subject” xe "information systems" \t "see SGGRRS" \f “subject” xe "asset management" \t "see SGGRRS" \f “subject” xe "security" \t "see SGGRRS" \f “subject” xe "risk management" \t "see SGGRRS" \f “subject” xe "policies/procedures" \t "see SGGRRS" \f “subject” xe "meetings" \t "see SGGRRS" \f “subject” xe "public records requests" \t "see SGGRRS" \f “subject” xe "public disclosure" \t "see SGGRRS" \f “subject” xe "audits" \t "see SGGRRS" \f “subject” xe "training" \t "see SGGRRS" \f “subject” xe "complaints" \t "see SGGRRS" \f “subject” xe "publications" \t "see SGGRRS" \f “subject” xe "motor vehicles" \t "see SGGRRS" \f “subject” xe "vehicles" \t "see SGGRRS “\f “subject” xe "telecommunications" \t "see SGGRRS “\f “subject” xe "grants" \t "see SGGRRS" \f “subject” xe "legal affairs" \t "see SGGRRS" \f “subject” xe "mail services" \t "see SGGRRS" \f “subject” xe "surveillance" \t "see also SGGRRS" \f “subject” xe "background checks:employees, contractors" \t "see SGGRRS" \f “subject” xe "claims (prizes):financial transactions" \t "see SGGRRS" \f “subject” xe "claims (prizes):contracts/agreements/annuities" \t "see SGGRRS" \f “subject” xe "annuities:financial transactions" \t "see SGGRRS" \f “subject” xe "annuities:contracts/agreements" \t "see SGGRRS" \f “subject” xe "prize payments:financial transactions" \t "see SGGRRS" \f “subject” xe "prize payments:contracts/agreements/annuities" \t "see SGGRRS" \f “subject” xe "installments (prize payments):financial transactions" \t "see SGGRRS" \f “subject” xe "installments (prize payments):contracts/agreements" \t "see SGGRRS" \f “subject” Disposition of public recordsPublic records covered by records series within this records retention schedule (regardless of format) must be retained for the minimum retention period as specified in this schedule. Washington State Archives strongly recommends the disposition of public records at the end of their minimum retention period for the efficient and effective management of state resources.Public records designated as “Archival (Permanent Retention)” must not be destroyed. Records designated as “Archival (Appraisal Required)” must be appraised by the Washington State Archives before disposition. Public records must not be destroyed if they are subject to ongoing or reasonably anticipated litigation. Such public records must be managed in accordance with the agency’s policies and procedures for legal holds. Public records must not be destroyed if they are subject to an existing public records request in accordance with chapter 42.56 RCW. Such public records must be managed in accordance with the agency’s policies and procedures for public records requests.Revocation of previously issued records retention schedulesAll previously issued records retention schedules to the Washington State Lottery are revoked. The Washington State Lottery must ensure that the retention and disposition of public records is in accordance with current, approved records retention schedules.AuthorityThis records retention schedule was approved by the State Records Committee in accordance with RCW 40.14.050 on September 6, 2017.Signature on File___________________________________________________________________________________________________________________________________________________________For the State Auditor:Cindy EvansSignature on File___________________________________________________________________________________________________________________________________________________________For the Attorney General:Sharon James-___________________________________________________________________________________________________________________________________________________________For the Office of Financial Management:Gwen StameySignature on File___________________________________________________________________________________________________________________________________________________________The State Archivist: Steve ExcellRevision HistoryVersionDate of ApprovalExtent of Revision1.0December 2, 2015Consolidation of all existing disposition authorities (with revisions).1.1September 6, 2017Minor revisions throughout the schedule.For assistance and advice in applying this records retention schedule, please contact the Washington State Lottery’s Records Officeror Washington State Archives at:recordsmanagement@sos. TABLE OF CONTENTS TOC \o "1-3" \h \z \t "**Functions,1,** Activties,2" 1.LOTTERY GAME MANAGEMENT PAGEREF _Toc485306102 \h 41.1GAME DRAWINGS PAGEREF _Toc485306103 \h 41.2RETAILER LIAISON PAGEREF _Toc485306104 \h 51.3SALES AND MARKETING PAGEREF _Toc485306105 \h 61.4SECURITY PAGEREF _Toc485306106 \h 8glossary PAGEREF _Toc485306107 \h 9INDEXES PAGEREF _Toc485306108 \h 12LOTTERY GAME MANAGEMENTThis section covers records relating to live drawings.GAME DRAWINGSThe activity of live drawings.DISPOSITION AUTHORITY NUMBER (DAN)DESCRIPTION OF RECORDSRETENTION ANDDISPOSITION ACTIONDESIGNATION83-05-31825 XE "83-05-31825" \f “dan” Rev. 2Drawing RecordsProvides drawing records including but not limited to: xe "drawings (lottery games)" \f “subject” ADM drawing control sheet;Drawing checklist;Drawing reports;Live drawing results;Incident reports.Excludes official visual recordings of WSL drawings.Retain for 6 years after drawing thenDestroy.NON-ARCHIVALESSENTIAL XE "LOTTERY GAME MANAGEMENT:Game Drawings:Drawing Records" \f “essential” OPR15-12-68950 XE "15-12-68950" \f “dan” Rev. 0Surveillance of Washington’s Lottery DrawingsIncludes, but is not limited to: xe "drawings (lottery games)" \f “subject” xe "surveillance:lottery drawings" \f “subject” Digital drawing surveillance recordings needed for audit purposes.Retain for 15 months after drawing thenDestroy.NON-ARCHIVALESSENTIAL XE "LOTTERY GAME MANAGEMENT:Game Drawings:Surveillance of Washington’s Lottery Drawings" \f “essential” OPRRETAILER LIAISONThe activity of licensing and maintaining the Lottery retailers.DISPOSITION AUTHORITY NUMBER (DAN)DESCRIPTION OF RECORDSRETENTION ANDDISPOSITION ACTIONDESIGNATION85-08-35948 XE "85-08-35948" \f “dan” Rev. 3Retailer Licensing FilesRecords relating to the licensing of retailers to sell or distribute tickets as agents of the State Lottery. xe "retailers" \f “subject” xe "licensed retailers" \f “subject” xe "tickets:distribution invoices/return forms" \f “subject” xe "background checks:retailers" \f “subject” Includes, but is not limited to:Initial licensing/required forms;Background checks;Banking information;Correspondence;Ticket Distribution Invoices;Ticket Return Forms.Retain for 6 years after termination of license or 6 years after denial of license, if applicable thenDestroy.NON-ARCHIVALESSENTIAL XE "LOTTERY GAME MANAGEMENT:Retailer Liaison:Retailer Licensing Files" \f “essential” OFMSALES AND MARKETINGThe activity of selling Washington State Lottery tickets.DISPOSITION AUTHORITY NUMBER (DAN)DESCRIPTION OF RECORDSRETENTION ANDDISPOSITION ACTIONDESIGNATION92-10-51380 XE "92-10-51380" \f “dan” Rev. 2Game PromotionsRecords relating to the promotion of scratch and draw games. xe "game promotions" \f “subject” . xe "claims (prizes):procedures" \f “subject” Includes, but is not limited to:Promotion and Authorization forms;Sales and Event Express forms;Drawing and Merchandise Prize Claim Procedures.Retain for 4 years after end of promotion thenDestroy.NON-ARCHIVALNON-ESSENTIALOPR09-10-62127 XE "09-10-62127" \f “dan” Rev. 3Second Chance Drawing Entries – AcceptedNon-winning tickets and special entries submitted within the deadline by Lottery players as part of a second chance drawing promotion. xe "second chance drawings:non-winning entries" \f “subject” xe "tickets:second chance drawings:non-winning entries" \f “subject” Includes, but is not limited to:Vouchers;Non-winning scratch tickets;Entry Forms.Retain for 60 days after drawing date thenDestroy.NON-ARCHIVALNON-ESSENTIALOPR09-10-62128 XE "09-10-62128" \f “dan” Rev. 2Second Chance Drawing Entries – LateNon-winning tickets and special entries submitted after the deadline by Lottery players as part of a second chance drawing promotion. xe "second chance drawings:late entries" \f “subject” xe "tickets:second chance drawings:late entries" \f “subject” Upon receipt,Destroy.NON-ARCHIVALNON-ESSENTIALOPR99-10-59302 XE "99-10-59302" \f “dan” Rev. 3Scratch Games – AdministrationRecords relating to the creation, launch and closure of individual scratch games. xe "scratch games" \f “subject” Includes, but is not limited to:Scratch ticket proof;Void Scratch tickets;Trademark paperwork and certificate;Executed and post-executed working papers;End of production prize structure;Shipment summary report;Correspondence;Game closure memo.Retain for 6 years after end of fiscal year in which game officially ends thenTransfer to Washington State Archives for appraisal and selective retention.ARCHIVAL(Appraisal Required) XE "LOTTERY GAME MANAGEMENT:Sales and Marketing:Scratch Games - Administration" \f “archival” NON-ESSENTIALOPR00-11-59962 XE "00-11-59962" \f “dan” Rev. 4Tickets Received for ValidationRecords relating to non-winning tickets submitted to the Lottery for validation. xe "tickets" \f “subject” Retain for 90 days after notification of non-winning status thenDestroy.NON-ARCHIVALNON-ESSENTIALOFMSECURITYThe activity of ensuring the safety and integrity of the agency.DISPOSITION AUTHORITY NUMBER (DAN)DESCRIPTION OF RECORDSRETENTION ANDDISPOSITION ACTIONDESIGNATION83-08-32766 XE "83-08-32766" \f “dan” Rev. 2Investigative Case FilesRecords relating to investigations by the agency of potential fraud, forgery, or other illegal activity by customers or retailers. xe "investigations" \f “subject” xe "case files (investigations)" \f “subject” Includes, but is not limited to:Physical evidence;Records relating to reconstruction of tickets;Supporting documentation.Retain for 6 years after investigation completed or matter resolved, whichever is later thenDestroy.NON-ARCHIVALNON-ESSENTIALOPRglossaryAppraisal The process of determining the value and disposition of records based on their current administrative, legal, and fiscal use; their evidential and informational or research value; and their relationship to other records.Archival (Appraisal Required) Public records which may possess enduring legal and/or historic value and must be appraised by the Washington State Archives on an individual basis.Public records will be evaluated, sampled, and weeded according to archival principles by archivists from Washington State Archives (WSA). Records not selected for retention by WSA may be disposed of after appraisal.Archival (Permanent Retention) Public records which possess enduring legal and/or historic value and must not be destroyed. State government agencies must transfer these records to Washington State Archives (WSA) at the end of the minimum retention period.WSA will not sample, weed, or otherwise dispose of records fitting the records series description designated as “Archival (Permanent Retention”) other than the removal of duplicates.DispositionActions taken with records when they are no longer required to be retained by the agency.Possible disposition actions include transfer to Washington State Archives and destruction. Disposition Authority Number (DAN) Control numbers systematically assigned to records series or records retention schedules when they are approved by the State Records Committee.Essential RecordsPublic records that state government agencies must have in order to maintain or resume business continuity following a disaster. While the retention requirements for essential records may range from very short-term to archival, these records are necessary for an agency to resume its core functions following a disaster.Security backups of these public records should be created and may be deposited with Washington State Archives in accordance with Chapter 40.10 RCW.Non-ArchivalPublic records which do not possess sufficient historic value to be designated as “Archival”. Agencies must retain these records for the minimum retention period specified by the appropriate, current records retention schedule.Agencies should destroy these records after their minimum retention period expires, provided that the records are not required for litigation, public records requests, or other purposes required by law.Non-Essential RecordsPublic records which are not required in order for an agency to resume its core functions following a disaster, as described in Chapter 40.10 RCW.OFM (Office Files and Memoranda) Public records which have been designated as “Office Files and Memoranda” for the purposes of RCW 40.14.010.RCW 40.14.010 – Definition and classification of public records. (2) “Office files and memoranda include such records as correspondence, exhibits, drawings, maps, completed forms, or documents not above defined and classified as official public records; duplicate copies of official public records filed with any agency of the state of Washington; documents and reports made for the internal administration of the office to which they pertain but not required by law to be filed or kept with such agency; and other documents or records as determined by the records committee to be office files and memoranda.”OPR (Official Public RecordsPublic records which have been designated as “Official Public Records” for the purposes of RCW 40.14.010.RCW 40.14.010 – Definition and classification of public records.(1) “Official public records shall include all original vouchers, receipts, and other documents necessary to isolate and prove the validity of every transaction relating to the receipt, use, and disposition of all public property and public income from all sources whatsoever; all agreements and contracts to which the state of Washington or any agency thereof may be a party; all fidelity, surety, and performance bonds; all claims filed against the state of Washington or any agency thereof; all records or documents required by law to be filed with or kept by any agency of the state of Washington; … and all other documents or records determined by the records committee… to be official public records.”Public RecordsRCW 40.14.010 – Definition and classification of public records.“… The term "public records" shall include any paper, correspondence, completed form, bound record book, photograph, film, sound recording, map drawing, machine-readable material, compact disc meeting current industry ISO specifications, or other document, regardless of physical form or characteristics, and including such copies thereof, that have been made by or received by any agency of the state of Washington in connection with the transaction of public business…”Records SeriesA group of records, performing a specific function, which is used as a unit, filed as a unit, and may be transferred or destroyed as a unit. A records series may consist of a single type of form or a number of different types of documents that are filed together to document a specific function.State Records CommitteeThe committee established by RCW 40.14.050 to review and approve disposition of state government records.Its four members include the State Archivist and one representative each from the Office of the Attorney General, Office of the State Auditor, and the Office of Financial Management.INDEXESARCHIVAL RECORDS INDEXSee the State Government General Records Retention Schedule for additional “Archival” records. INDEX \f "archival" \e "" \c "1" \z "1033" \* MERGEFORMAT \* MERGEFORMAT LOTTERY GAME MANAGEMENTSales and MarketingScratch Games - Administration7ESSENTIAL RECORDS INDEXSee the State Government General Records Retention Schedule for additional “Essential” records. INDEX \f "essential" \e "" \c "1" \z "1033" \* MERGEFORMAT \* MERGEFORMAT LOTTERY GAME MANAGEMENTGame DrawingsDrawing Records4Surveillance of Washington’s Lottery Drawings4Retailer LiaisonRetailer Licensing Files5DISPOSITION AUTHORITY NUMBERS (dan’S) INDEX INDEX \f "dan" \e"" \c "4" \z "1033" \* MERGEFORMAT 00-11-59962709-10-62127609-10-62128615-12-68950483-05-31825483-08-32766885-08-35948592-10-51380699-10-593027 INDEX \f "dan" \e"" \c "4" \z "1033" \* MERGEFORMAT SubjectS INDEXNote: The use in this index of SGGRRS refers to the State Government General Records Retention Schedule. INDEX \f "subject" \e "" \c "3" \h "A" \z "1033" Aagreementssee SGGRRSannuitiescontracts/agreementssee SGGRRSfinancial transactionssee SGGRRSasset managementsee SGGRRSauditssee SGGRRSBbackground checksemployees/contractorssee SGGRRSretailers5backupssee SGGRRSbudgetingsee SGGRRSCcase files (investigations)8claims (prizes)contracts/agreements/annuitiessee SGGRRSfinancial transactionssee SGGRRSprocedures6complaintssee SGGRRScontractssee SGGRRSDdrawings (lottery games)4Ffacilitiessee SGGRRSfinancial recordssee SGGRRSGgame promotions6grantssee SGGRRSgrievancessee SGGRRSHhuman resourcessee SGGRRSIinformation systemssee SGGRRSinstallments (prize payments)contracts/agreementssee SGGRRSfinancial transactionssee SGGRRSinvestigations8Lleavesee SGGRRSlegal affairssee SGGRRSlicensed retailers5Mmail servicessee SGGRRSmeetingssee SGGRRSmotor vehiclessee SGGRRSPpayrollsee SGGRRSpolicies/proceduressee SGGRRSprize paymentscontracts/agreements/annuitiessee SGGRRSfinancial transactionssee SGGRRSpublic disclosuresee SGGRRSpublic records requestssee SGGRRSpublicationssee SGGRRSRrecords managementsee SGGRRSretailers5risk managementsee SGGRRSSscratch games7second chance drawingslate entries6non-winning entries6securitysee SGGRRSsurveillancesee also SGGRRSlottery drawings4Ttelecommunicationssee SGGRRS tickets7distribution invoices/return forms5second chance drawingslate entries6non-winning entries6timesheetssee SGGRRStrainingsee SGGRRStransitory recordssee SGGRRStravelsee SGGRRSVvehiclessee SGGRRS ................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download