6/3/2015

1

PUBLIC RECORDS REQUIREMENTS &

RECORD RETENTION

Friday, June 12, 2015Flagstaff, AZ

http://www.azsba.org; http://www.azlibrary.gov/

ASBA Summer Leadership InstituteBoard Secretary Track

https://www.drupal.org/project/quizz

6/3/2015

2

http://http://www.azsba.org/policybridge/www.azsba.org/policybridge/

6/3/2015

3

6/3/2015

4

6/3/2015

5

6/3/2015

6

6/3/2015

7

6/3/2015

8

6/3/2015

9

http://www.lexisnexis.com/legalnewsroom/banking/b/banking-finance/archive/2014/04/16/ach-compliance-understanding-regulations-that-affect-ach-transactions-webinar.aspx

http://www.quickmeme.com/meme/3srhm3

6/3/2015

10

https://www.stcl.edu/registrar/FERPA.htm

http://crestline.hce.schoolinsites.com/?PageName=LatestNews&Section=Highlights; http://archive.constantcontact.com/fs110/1108971494708/archive/1114083536697.html

6/3/2015

11

https://www.youtube.com/watch?v=fMbtaMcmHTE

http://www.reddit.com/

A S B A – S U M M E R L E A D E R S H I P I N S T I T U T E

RECORDS RETENTION 101

6/3/2015

12

LIFE CYCLE OF RECORDS AND INFORMATION

Made or Received

Useful Life --

Active: storage on-site

or active servers

Inactive: Storage off-

site or off-line

Disposition

TWO (2) RECORDS MGMT “SELF-EVIDENT” TRUTHS

As long as you are required to retain / keep / hold onto records:

• Those records need to be useable and readable

• Obsolete media, format, system

• Back-up tapes that cannot be read

Why keep information that cannot be used?

• Those records need to be available and accessible

• Open to PRR, litigation, audits, government investigations

• No hidden data warehouses / data archives

Why hide information from the public / colleagues?

6/3/2015

13

ROI FOR A RIM PROGRAM

The benefits of having a good Records Management Program in place:

Financial Benefits:

Save money and resources previously being spent on storing records

(physical floor space, server space, off-site storage):

That don’t need to be stored (copies, short-term, transitory, etc.)

That aren’t records (copies and personal) – and can be destroyed

That have passed their retention period - and can be destroyed

Save money and resources for records no longer needed:

spent in searching for, retrieving, copying, producing or redacting records in response to requests

Risk Management Benefits:

Keeping records LONGER than the retention period is a risk

If you have the information, you need to provide it for Public Records Request, Audit, Investigation, Litigation

If you don’t have the information because you destroyed it per a Retention Schedule, you are legally OK.

BASIC DEFINITIONS OF RECORDS MANAGEMENT

Retention Schedule:• Are simply timetables, composed of records series and retention

periods, that identify the length of time records must be kept prior to final disposition (destruction or historical archiving).

Records Series:

• A group of like records that are filed together and treated as a unit for records management purposes.

• A records series may consist of many separate files, but it is treated as a single unit for all purposes relating to records retention.

• A familiar example is “personnel files” one of which exists for every employee in the organization. Even though there may be hundreds or thousands of these files, they are referred to as a records series –“personnel files” - for records retention purposes

Retention Period:

• The approved, legal, minimum amount of time each specific records series shall be kept. It is illegal to keep a records series for LESS than the retention period

6/3/2015

14

RECORDS APPRAISAL

Retention periods are based on: Statute

Historic = Permanent

Business need for record

Records appraisal is the process used to determine the value of a record series

The value of the records series determines the retention period for the records series

All records have value to the organization creating or receiving them

Some records have permanent value and warrant preservation by an archives

FOUR (4) MAIN VALUES OF RECORDS

• Legal

• Retention periods are among the longest for these records

• Fiscal

• Retention is based on audit cycle

• Administrative

• Retention is open-ended based upon your need for these records, or the reference value of these records

• Historic

• These are the only records that have a PERMANENT retention period. Permanent records = 500 + years of retention

6/3/2015

15

RECORDS MANAGEMENT STATUTES:

ARIZONA REVISED STATUTES, TITLE 41

Article 2.1 Arizona State Library, Archives and Public Records Established in the Office

of the Secretary of State

41-151.12 Records; records management; powers and duties of director; fees;

records services fund

41-151.14 State and local public records management; violation;

classification; definition

41-151.15 Preservation of public records

41-151.16 Production and reproduction of records by agencies of the state

and political subdivisions; admissibility; violation; classification

41-151.17 Duties relating to historical value

41-151.18 Definition of records

41-151.19 Determination of value; disposition

A S B A – S U M M E R L E A D E R S H I P I N S T I T U T E

RESOURCES AVAILABLE FROM THE

LIBRARY, ARCHIVES AND PUBLIC RECORDS (LAPR)

6/3/2015

16

GENERAL RECORDS RETENTION SCHEDULES

FOR SCHOOL DISTRICTS AND CHARTER SCHOOLS

• http://apps.azlibrary.gov/records/general.aspx

MANAGEMENT RECORDS GRS

• Annual Reports…10 years after reports filed

• Contracts / Leases…6 years after expired, canceled, revoked

• Grant Records…3 years after final payment OR after funding

agency requirements are met

• Minutes (including Agendas and Packets)…Permanent

• Notice of Public Meeting Records…2 years after calendar

year of meeting

• Policy and Procedure Records…Permanent

6/3/2015

17

FINANCIAL RECORDS GRS

• Accounts Payable and Receivable Records…4 years after

fiscal year created or received

• Budget Records

• Approved and Appropriated…Permanent

• All other budget records…4 years after fiscal year created or

received

• Financial Reports

• CAFR…Permanent

• All other Financial Reports…4 years after fiscal year created or

received

• Payroll Records…Employee Time and Leave…4 years after fiscal

year created or received

HUMAN RESOURCES / PERSONNEL GRS

• Employee Personnel Records…5 years after employee

terminated

• Contract Employee Personnel Records…6 years after final

contract expired, canceled, revoked

• Employee Medical and Exposure Records…30 years after

employee terminated (CFR / Federal requirement)

• Grievance and Complaint Records…3 years after resolved

• Hiring and Selection Records…2 years 6 months after

positions filled or abandoned

6/3/2015

18

ADMINISTRATIVE RECORDS GRS

• Appointment Calendars…1 year after calendar yr last entry

• General Correspondence…after reference value served

• Highly Qualified Teacher Forms…5 years after fiscal year created or received

• Logs (sign-in, phone message, etc.)…after reference value served

• Progress / Activity / Statistical Records…after reference value served

• School District Employee Reports (SDER)…3 years after fiscal year submitted

• Working / Draft Records…after final version completed

FREQUENTLY ASKED QUESTIONS - FAQ

• Located on our Retention Schedules, Forms, Standards,

Guidance, and FAQs page

• General RM FAQs:

• http://www.azlibrary.gov/sites/azlibrary.gov/files/arm-faq-

frequently_asked_questions_general_rm_5-1-2015.pdf

• School Districts and Charter Schools FAQs:

• http://www.azlibrary.gov/sites/azlibrary.gov/files/arm-faq-

frequently_asked_questions_schools_5-1-2015.pdf

6/3/2015

19

RECORDS OFFICER HANDBOOK

• http://www.azlibrary.gov/sites/azlibrary.gov/files/arm-

guidance-records_officer_handbook_final_4_10_2015.pdf

RECORDS OFFICER HANDBOOK - CONTENTS

6/3/2015

20

ARIZONA STANDARDS FOR PERMANENT RECORDS

• http://www.azlibrary.gov/sites/azlibrary.gov/files/arm-

standard-for-permanent-records_april_23_2013_signed.pdf

PERMANENT RECORD FORMATS:

PAPER, MICROFILM, “BORN DIGITAL”

6/3/2015

21

http://www.azleg.gov/FormatDocument.asp?inDoc=/ars/39/00101.htm&Title=39&DocType=ARS

Permanent Student Records Work Group

ahperfectpetals.com

6/3/2015

22

http://photobucket.com/images/brooklyn%20excelsior%20charter%20school; http://www.azsba.org/; https://definedterm.com/a/entity/arizona_department_of_education; http://apps.azlibrary.gov/cdt/collman.aspx; www.dysart.org;

dssg.uchicago.edu; gao.az.gov; http://www.sequoiaschools.org/; https://asbcs.az.gov/arizona-state-board-charter-schools-logo

http://www.azleg.gov/FormatDocument.asp?inDoc=/ars/15/00874.htm&Title=15&DocType=ARS

6/3/2015

23

http://www.azleg.gov//FormatDocument.asp?inDoc=/legtext/52leg/1r/bills/hb2181o.asp&Session_ID=114

PUBLIC RECORDS REQUIREMENTS &

RECORD RETENTION

Friday, June 12, 2015Flagstaff, AZ

http://www.azsba.org; http://www.azlibrary.gov/

ASBA Summer Leadership InstituteBoard Secretary Track