Arizona Public Records Laws and Flexible Scheduling

Presented by: Lisa Maxwell

Records Management DivisionArizona State Library, Archives and Public Records

Agenda

Introduction Discussion of Laws Flexible Schedules Schedule Banding

Background Information

Arizona State Library, Archives and Public Records

Public Records Laws

Ownership of Records

All records made or received by public officials or employees of this state in the course of their public duties are the property of the state. ARS 41-1347(A)

Inspection of Public Records

Public records and other matters in the custody of any officer shall be open to inspection by any person at all times during office hours. ARS 39-121

What is a Public Record?

“Records” means all books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics … made or received by any governmental agency in pursuance of law or in the transaction of public business. ARS 41-1350

Not Public Records

Library or museum materials used for reference or exhibitions

Extra copies kept only for convenience

Publications

ARS 41-1350

Accountability

All officers and public bodies shall maintain all records … 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 the state of any political subdivision of the state. ARS 39-121.01(B)

Accountability contd.

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 41-1346(A)(2)

Responsibilities

Preservation, maintenance and care of that body’s public records ARS 39-121.01(C)

Preservation

Carefully secure records Protect and preserve records from

deterioration, mutilation, and loss or destruction

ARS 39-121.01(C)

ARS 41-1347(A)

Maintenance

Establish and maintain and active, continuing program for the economical and efficient management of the public records of the agency. ARS 41-1346(A)(1)

Records Management

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 41-1346(D)

Records Coordinator

Be at a level of management sufficient to direct the records management program in a efficient and effective manner

Be a liaison with ASLAPR

Designate an individual within the agency to manage the records management program of the agency

ARS 41-1346(A)(7)

Permanent Records

Acid free paper Microfilm

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 ARS 39-101

Scanning Records

The agency, prior to the institution of any such program of production or reproduction, shall obtain approval from the director (of ASLAPR) ARS 41-1348(A)

Retention of Records

Records shall not be destroyed or otherwise disposed of by any agency of the state, unless it is determined by the state library that the record has no further administrative, legal, fiscal, research or historical value. ARS 41-1347(B)

Questions?

Flexible Scheduling

or “Buckets”

Cutting Edge Theory - Flexible Scheduling

The “series” concept is no longer an issue

Functions very rarely change Records disposition schedules will

be easier to apply Most new records and systems will

have an approved disposition schedule

Our Current Retention Schedules

Are difficult to use How can I fit this round peg into one

of these square holes?

a. General correspondence - Official copy 2 years after created or receivedb. General correspondence - Final draft 3 months after official copy createdc. General correspondence - Earlier drafts After supersededa. E-mail Records maintained on a PC or server in a document or records management system.

Retain same period as other forms recordsb. E-mail Records as in a. above that are printed to paper and preserved and retained in that form

Retain same period as other forms recordsc. E-mail Records sent as attachments Retain same period as other forms recordsd. E-mail Routine non-record communication 3 months or after informational value is served,

whichever is soonere. E-mail server backups 1 month after date backup was runTransitory materials 3 months after created or receivedAppointment calendars 1 year after calendar year createdReference materials After informational value has been served or a

maximum of 3 yearsWorking documents After completion of the final record.Progress/activity reports 1 year after fiscal year created or compiledOffice internal administrative records 3 years after revised or discontinuedLogs 1 year after last entry dateEmployee time and leave records 1 year after calendar or fiscal year createdFinancial records 3 years after fiscal year created or receivedVoice mail Erase or otherwise destroy messages following

taking required actionVoice mail backup 1 month after date backup is runEmployee personnel files (supervisors copy) 6 months after termination or transfer 

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34

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89

1011

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1617

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1920

Traditional Scheduling - Many Series and Many Retentions

20 different series; 11 varying, confusing retention periods7. After informational

value served or 3 yrs maximum

8. After final record completed

9. 3 years

10. Destroy following required action

11. 6 months after termination or transfer 

1. 2 years

2. 3 months

3. After superseded

4. Retain same period as other records

5. 1 month

6. 1 year

Flexible Scheduling - Roll-up series into bigger buckets

For Example – Our Office Administration Records

General, Routine Office Administration Records

These records document the internal administration or housekeeping activities of the agency. In general, the records relate to the organization of the office, staffing, procedures, systems, and communications. They do not serve as unique documentation of the programs or functions that protect the rights of citizens or employees, demonstrate government accountability, nor do these records document the development of the office or the history of the State of Arizona. These records may include but are not limited to documentation of the day-to-day administration and training of office personnel; supplies and office services; the use of office space, equipment, and utilities; and unit activity relating to specific and defined short-term administrative projects; and related documentation and correspondence. These are records of little value and of a routine nature that are used to further some activity. As facilitative records, they have no continuing value to the organization and, generally, are only needed for a short period of time.

Retention period: Temporary. Delete or destroy when no longer needed, but do not keep longer than 3 years.

Flexible Scheduling

One Bucket – One flexible retention period

Delete or destroy when no longer needed, but do not keep longer than 3 years.

Schedule Banding

Banding

Don’t have one set retention period for all records

Have a band of records so that people have options in how long to keep records

Police Schedule

Police Schedule - Logs

9 different logs 5 different retentions How many logs are missing from this

list? What difference does it make if you

keep one of the logs for 1 year instead of 6 months?

Banding Example

Banding – contd.

Banding – contd.

Applying to Police Logs

Instead of 5 different retention periods, have one:

Destroy/delete between 1 and 3 years after created

Questions?