Managing Government Records In Any Format

1. Managing Government Records In Any Format ASCUS – ARIZONA SCHOOL COMPUTER USERS SUPPORT Jerry Lucente-Kirkpatrick Records Management Specialist (Retention Schedules, Imaging Requests, RM Training) Records Management Division

2. Arizona Revised Statutes, Records Management and the ASLAPR

3. “Records” — As Defined By Statute 41-151.18. Definition of records In this article, unless the context otherwise requires, "records" means all books, papers, maps, photographs or other documentary materials, regardless of physical form or characteristics, including prints or copies of such items produced or reproduced on film or electronic media pursuant to section 41-151.16, made or received by any governmental agency in pursuance of law or in connection with the transaction of public business and preserved or appropriate for preservation by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained in the record, and includes records that are made confidential by statute.

4. Not Public Records A.R.S. § 41-151.18 1. “Library or museum material made or acquired solely for reference or exhibition purposes,” 2. “Extra copies of documents preserved only for convenience of reference” 3. And “stocks of publications or documents intended for sale or distribution to interested persons” …”are not included within the definition of records as used in this article.”

5. Ownership of Records A. All records made or received by public officials or employees of this state or the counties and incorporated cities and towns of this state in the course of their public duties are the property of this state. ARS 41-151.15(A)

6. Records Management Defined A. The head of each state and local agency shall: 1. Establish and maintain an active, continuing program for the economical and efficient management of the public records of the agency. ARS 41-151.14 D. For the purposes of this section, "records management" means the creation and implementation of systematic controls for records and information activities from the point where they are created or received through final disposition or archival retention, including distribution, use, storage, retrieval, protection and preservation. ARS 41-151.14

7. Records Coordinator 7. Designate an individual within the agency to manage the records management program of the agency. The agency shall reconfirm the identity of this individual to the state library every other year. The designated individual: (a) Must be at a level of management sufficient to direct the records management program in an efficient and effective manner. (b) Shall act as coordinator and liaison for the agency with the state library. ARS 41-151.14(A)(7)

8. Accountability B. All officers and public bodies shall maintain all records, including records as defined in section 41-151.18, reasonably necessary or appropriate to maintain an accurate knowledge of their official activities and of any of their activities which are supported by monies from this state or any political subdivision of this state. ARS 39-121.01(B)

9. Accountability continued A. The head of each state and local agency shall: 2. Make and maintain records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures and essential transactions of the agency designed to furnish information to protect the rights of the state and of persons directly affected by the agency's activities. ARS 41-151.14(A)(2)

10. Responsibilities continued C. Each public body shall be responsible for the preservation, maintenance and care of that body's public records,… ARS 39-121.01(C)

11. Preservation • It shall be the duty of each such body to carefully secure, protect and preserve public records from deterioration, mutilation, loss or destruction • shall carefully protect and preserve the records from deterioration, mutilation, loss or destruction and, when advisable, shall cause them to be properly repaired and renovated. ARS 39-121.01(C) ARS 41-151.15(A)

12. MORE DETAILED LOOK AT ASPECTS OF RECORDS MANAGEMENT

13. Disciplinary Records – A.R.S. §39-128 39-128. Disciplinary records of public officers and employees; disclosure; exceptions • A. A public body shall maintain all records that are reasonably necessary or appropriate to maintain an accurate knowledge of disciplinary actions, including the employee responses to all disciplinary actions, involving public officers or employees of the public body. The records shall be open to inspection and copying pursuant to this article, unless inspection or disclosure of the records or information in the records is contrary to law. • B. This section does not: • 1. Require disclosure of the home address, home telephone number or photograph of any person who is protected pursuant to sections 39-123 and 39-124. • 2. Limit the duty of a public body or officer to make public records open to inspection and copying pursuant to this article.

14. Records Retention and Disposition Schedule

15. Purpose of a Retention Schedule . . . • Describe the record series • State how long each record series needs to be kept • Instructions for cutoff, retirement and / or final disposition

16. Records Appraisal • Retention periods are based on: • Statute • Business need for record • Historic = Permanent • Records appraisal is the process used to determine the value of a record series • All records have value to the organization creating or receiving them • Some records have permanent value and warrant preservation by an archives

17. Value of Records • Legal value • Fiscal value • Administrative value • Historical value

18. Legal Value • Contracts • Agreements • Federal or state statutory or regulatory requirements

19. Fiscal Value Sometimes a record may be needed to document the audit trail of monies. These requirements may or may not be legislated or regulated.

20. Administrative Value Records with administrative value are those records that are needed to conduct an office’s daily business.

21. Historical Value Records with historical value document the history of the government and the community.

22. Definition of Historical Record General Retention Schedules • Any record series listed as permanent on a general retention schedule should be transferred to the State Archives after the records become inactiveandwhen the agency or political subdivision no longer wishes to maintain those records. You can reach the State Archives at 602-926-3720 or 800-228-4710 to discuss the transfer of the records. • If a record is historically significant, it is a permanent record. Records are deemed historically significant when they: • Document a controversial issue • Document a program, project, event or issue that results in a significant change that affects the local community, city, county or state • Document a program, project, event or issue that involves prominent people, places or events • Document a program, project, event or issue that resulted in media attention locally, statewide or nationally

23. Permanent Records Formats A. Permanent public records of the state, a county, city or town, or other political subdivision of the state, shall be transcribed or kept on paper or other material which is of durable or permanent quality and which conforms to standards established by the director of the Arizona state library, archives and public records. B. Permanent public records transcribed or kept as provided in subsection A shall be stored and maintained according to standards for the storage of permanent public records established by the director of the Arizona state library, archives and public records. C. A public officer charged with transcribing or keeping such public records who violates this section is guilty of a class 2 misdemeanor. ARS 39-101 Currently ONLY • Acid free paper • Microfilm

24. Permanent Student Records

25. Retention Schedules - General

26. Retention of Records B. Records shall not be destroyed or otherwise disposed of by any agency of this state unless it is determined by the state library that the record has no further administrative, legal, fiscal, research or historical value….A person who destroys or otherwise disposes of records without the specific authority of the state library is in violation of section 38-421. ARS 41-151-15(B)

27. Before destroying records . . . • Check and see if there is pending or imminent litigation • Check and see if there is an on-going or imminent audit • Check and see if there is a government investigation

28. Confidential Records More care must be taken with these records. They can be destroyed the following ways: • Shred • Burn ARS 44-7601 A. An entity shall not knowingly discard or dispose of records or documents without redacting the information or destroying the records or documents if the records or documents contain an individual's first and last name or first initial and last name in combination with a corresponding complete: • 1. Social security number. • 2. Credit card, charge card or debit card number. • 3. Retirement account number. • 4. Savings, checking or securities entitlement account number. • 5. Driver license number or nonoperating identification license number.

29. Arizona Electronic Transactions Act • 44-7041. Creation; retention; conversion of written records • Each governmental agency shall determine if, and the extent to which, the governmental agency will create and retain electronic records and convert written records to electronic records. • Any governmental agency that is subject to the management, preservation, determination of value and disposition of records requirements prescribed in sections 41-151.12, 41-151.13, 41- 151.14, 41-151.15, 41-151.16, 41-151.17, 41-151.18 and 41- 151.19 and the permanent public records requirements prescribed in section 39-101 shall comply with those requirements. • B. State agencies shall comply with the standards adopted by the department of administration pursuant to title 41, chapter 32. • C. All governmental agencies shall comply with the policies that are established by the secretary of state pursuant to section 41-132 and that apply to the use of electronic signatures.

30. Preservation and Retention Options • Migration • Records repeatedly converted to new format • Formalization • Data and Metadata are preserved in cross-platform standard • Conversion to other media • Maintain obsolete technologies • Emulation • Use software and hardware to mimic outdated systems

31. Problem Areas for I.T. (and others) • Hot Spots: • E-Records Retention & Formats • Data Warehouses / Archives vs. Back-ups • Databases • E-mail • Social Networking

32. Paper Vs Plastic : E-Records Retention • A.R.S. 41-151.18 – no difference between paper records or electronic records (including scanned or “born digital”). • Retention Schedules are legal documents that will stand up in court. • Two types – General and Custom. • Retention Schedules – list the records that are created or received by State Agencies – regardless of whether created on paper or electronic. • Retention Schedules – list the retention period for these records. • Retention periods are both a minimum and maximum period of time. • Copies of records are not records – as long as they are truly a copy.

33. Archives / Data Warehouses vs. Backups • Backups • Usually short-term retention for disaster recovery • Usually copies of information that exists elsewhere • copies of information are not records. • Risks: The longer backups are kept, the more risk they contain unique records and not copies. • Archives / Data Warehouses • Usually longer-term retention • Often contain unique information not found anywhere else (off-line records) • Archives / Warehouses ARE records • Implications: Archives will need to be searched as part of Public Records Requests, Audits, Government Investigations, Litigation.

34. Databases & Formats • Databases contain electronic records – not just data. • Retention periods for electronic records is the same as paper records. • When it is time to destroy paper records, it is time to destroy e-records. • If you want to keep e-records longer, they need to be scheduled with longer retention periods. • Databases are best managed if we Schedule the entire database, not just the records that can be queried.

35. Example of Scheduled Database

36. What do I do with ALL that e‑mail?!

37. E-mail as a Record • E-mail requires all Government employees to be Records Managers. • E-mail records retention is based upon the content and intent of e-mail. • E-mail is a format of communication and not a record series of its own. • There can be no single retention period for e-mail records since retention is based upon content. • When sending / receiving e-mails: • Is this a record? • What type of record is this? • What is the retention for this record?

38. Content and Intent E-mailis managed by its content and intent, not its format.

39. Keep or delete? • Subject: Can you meet me for lunch? • Subject: Memo re new travel policy • Subject: Committee meeting minutes • Subject: New policy on vacation leave • Subject: Listserv messages 7/10/05 • Subject: Instructions for filling out travel form • Subject: Pick up some bread for supper? • Subject: Sorry I missed class this week • Subject: Information for annual report • Subject: Negotiations with a records storage company

40. What to do with attachments? If e-mail and attachment have continuing value: • Save the e-mail and attachment together in original format within the context of your e-mail software on the e-mail server • Save the attachment in another location (hard drive or network space) • Print the e-mail and attachment and save them in paper format

41. E-mail Folder Structures • Geographic area or location – Example: Travel Reports - England • Numbers or symbols – Example: NSF-001 • Dates – Example: March 2004 • Subjects – Example: Budgets, Departments/Offices • Sender – Example: John Smith • Records series – Example: Annual Reports

42. Have a Records Management focused Policy in Place Protecting Your Records

43. E-mail / E-Communications Policy Essentials Clearly statewhat makes an e-mail a record Content of e-mail Intent of e-mail Meets the definition of a “record” Is discoverable Privacy expectations Explode the myth of the “private” e-mail E-mails have a life of their own But I used my home computer / PDA! Sensitive, proprietary, confidential

44. E-mail / E-Communications Policy Essentials Identify and classify Going beyond, “Is this a record?” business: sensitive / restricted / closed, informational, personal, junk Retention for dummies What to keep and why How long = content and purpose Who keeps it: sender, recipient, all? Subject line matters

45. E-mail / E-Communications Policy Essentials Leave no piece behind: Body, attachments, metadata, distribution lists Which formats do you like: Preserve metadata efficient and timely retrieval lifelong usability ensures access Quotas and restrictions E-mail message and mailbox size limitations

46. Social Networking – The NEW Final Frontier

47. Web 2.0 – Let’s Get Connected

48. Is IT in the RM Business? Questions to think about as we move through the presentation: • What is the difference between data and records? • Is it IT’s “responsibility” to provide Records Management service to their customers? • Is IT in the best position to “manage” electronic records? • Is IT the creator of the content / record? • Or, is IT the “post-er” of the content / record? • Do any of these questions matter?

49. Social Networking Records Challenges with SocNet Records: • A.R.S. require we control (manage) our records during their entire retention period. • SocNet sites allow little to no management of the records on sites. • Who controls the content on SocNet sites? • Presents challenges to compliance with RM Statutes.

50. Legalities of Social Media – Some of the Risks and Options Jerry Lucente-Kirkpatrick Records Management Specialist Arizona Secretary of State’s Office Arizona State Library, Archives and Public Records Records Management Division