Managing Government Records In Any Format

ASCUS – ARIZONA SCHOOL COMPUTER USERS SUPPORT

Jerry Lucente-KirkpatrickRecords Management Specialist(Retention Schedules, Imaging Requests, RM Training)Records Management Division

Arizona Revised Statutes, Records Management and

the ASLAPR

“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.

Not Public Records

A.R.S. § 41-151.181. “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.”

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)

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

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)

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)

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)

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)

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)

MORE DETAILED LOOK AT ASPECTS OF RECORDS MANAGEMENT

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.

Records Retention and Disposition Schedule

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

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

Value of Records

Legal value Fiscal value Administrative value Historical value

Legal Value

Contracts Agreements Federal or state statutory or

regulatory requirements

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.

Administrative Value

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

Historical Value

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

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 inactive and when 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

•

Permanent Records Formats

Currently ONLYAcid free paperMicrofilm

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

Permanent Student Records

Retention Schedules - General

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)

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

Confidential RecordsMore care must be taken with these

records.

They can be destroyed the following ways:

Shred Burn

ARS 44-7601A. 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.

Arizona Electronic Transactions Act

44-7041. Creation; retention; conversion of written recordsA.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.

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

Problem Areas for I.T. (and others)

Hot Spots: E-Records Retention & Formats Data Warehouses / Archives vs.

Back-ups Databases E-mail Social Networking

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.

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.

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.

Example of Scheduled Database

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

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?

Content and Intent

E-mail is managed by its content and intent,

not its format.

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

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

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

Protecting Your Records

Have a Records

Management focused Policy in

Place

E-mail / E-Communications Policy Essentials

Clearly state what 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

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

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

Social Networking – The NEW Final Frontier

Web 2.0 – Let’s Get Connected

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?

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.

Legalities of Social Media – Some of the Risks and Options

Jerry Lucente-KirkpatrickRecords Management SpecialistArizona Secretary of State’s OfficeArizona State Library, Archives and Public RecordsRecords Management Division

Risk Component – Terms of Use (TofU) Contracts

Problem – If you want to use the Social Media site you Agree!

Employee mindset toward setting up Social Media account is trained by their own personal use of SocMed

Trained to “Click to Agree” to Terms and Conditions – but this is a CONTRACT

Contract between Public Body and SocMed site very likely to be established by employee NOT Lawyer or Procurement professional Employee likely did not even scroll through TofU

to review for acceptability If they did, they probably would not know what

is significant, what is in violation of Public Body procurement policies & practices, etc

Facebook – California is Jurisdiction

• If you (or your employees) click “Accept” – Your Public Body Agrees to:• You agree to handle any legal

challenges in California • Santa Clare County• California State Laws apply• Agree to limit Indemnity• Are your Attorneys licensed in Calif???

• What You Lose – Your right to handle dispute in Arizona

Working Together to Change Facebook

Attorneys General from Colorado, Massachusetts, Michigan, New York, Pennsylvania, Washington state and several others, as well as the National Association of Attorneys General and National Association of State CIOs (NASCIO)’s Social Media Legal Workgroup participated in the yearlong discussions with Facebook.

When states began discussing concerns about social media 18 months ago, there was broad concern among state-level lawyers who worked in procurement, CIO office and other business lines, Robb said.

NASCIO Executive Director Doug Robinson added via a statement that terms-of-service problems “have impeded broader use” of Facebook and other social media tools by states.

Colorado took perhaps the most visible stance against Facebook. The state attorney general discouraged agencies from launching their own pages because the terms of service were believed to violate the state constitution.

From Public CIO, January 05, 2011, by Matt Williams

Successes from State & Municipal Partnership - New Facebook TofU for Public Bodies

New Option for 2011State and Local Government Exception – What You Get Strikes Jurisdiction / venue in CA Strikes Application of CA Law Strikes the indemnity clause except

to the extent indemnity is allowed by a state’s constitution or law

Encourage amicable resolution between public entities and Facebook over any disputes

Facebook Government Exception – How to Get It

• State and Local Government Exception Applies ONLY IF:• Select “Government”• MUST Link Facebook page to your

Government website• Do NOT click “Education” or

“Organization”• If you opened Facebook page before

2011 – MUST change page to “Community / Government”

Problem Areas

Jerry Lucente-KirkpatrickRecords Management SpecialistArizona Secretary of State’s OfficeArizona State Library, Archives and Public RecordsRecords Management Division

Beware “Executive Communication”and Social Media

***Beware “Executive Correspondence” in Social Media***

Executive Correspondence is a Permanent record if it “sets or discusses policy”. 

Permanent Records - must be retained on paper or microfilm. ***How will this be possible on Social Media?

Any communication / correspondence that either discusses or sets policy, and takes place in any “physical form or characteristic” (ARS §41-1350), involving an executive (any Board, Commission or Council member, an Agency Director, elected official, County / Department / Division Leadership) will meet the definition of “Executive Correspondence”.

Where this discussion takes place does not matter: could be on paper, on a website, in an email, on Social Media, in a blog, in a shared workspace, definitely in Sire, etc. 

Since Policies are Permanent, then executive discussions of Policies

become important Permanent records to help provide context to the Policy(ies). 

This specific records series is from the Management Records General Retention Schedules

Video as Record / Permanent Record

Videos and Tweets: Your website, YouTube, FaceBook, Twitter, etc

Make sure your only copy of the video / tweet is NOT online @ SocMed site.

What types of videos / tweets would be of interest: Involving Core Values / Duties of Office Deal with controversial topics and/or topics of interest – You will

recognize many of these issues, especially if you suddenly get a large number of letters, calls or e-mails on a hot topic:

in opposition to an issuein support of an issueexpressing a concern

Examples of Current / Recent IssuesAbortion, Alternative fuels, Environmental issues, Fiscal concerns, Forests, wildfires and forest management, Gambling / casinos, Gas prices, Gay rights, Gun control, Freeways or highways, Illegal immigration, Land and development issues, Legalization of drugs, Legislation (involving your Agency), Important landmarks (if you still have correspondence), Terrorism/terrorists, Water issues, Welfare issues (for or against)

Elected Officials and Social Media

Avoid “cleaning house” to make room for the newly elected official.

Include both in-house and vendor / media produced Controversial Topics / Topics of Interest (prev. 2 slides) What records on SocMed will be of interest to the State

Archives and the future: Videos / Tweets / Media attention specifically

involving the elected official Inauguration Speeches / Statements Letters / Proclamations Press Releases Significant Events Photos Bio Statements Involving Core Values / Duties of Office