1. Arizona Public Records Laws and Flexible Scheduling Presented by: Lisa Maxwell Records Management Division Arizona State Library, Archives and Public Records

2. Agenda Introduction Discussion of Laws Flexible Schedules Schedule Banding

3. Background Information Arizona State Library, Archives and Public Records

4. Public Records Laws

5. 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)

6. 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

7. 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

8. Not Public Records Library or museum materials used for reference or exhibitions Extra copies kept only for convenience Publications ARS 41-1350

9. 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)

10. 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)

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

12. Preservation Carefully secure records Protect and preserve records from deterioration, mutilation, and loss or destruction ARS 39-121.01(C) ARS 41-1347(A)

13. 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)

14. 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)

15. 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)

16. 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

17. 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)

18. 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)

19. Questions?

20. Flexible Scheduling or “Buckets”

21. 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

25. Our Current Retention Schedules Are difficult to use How can I fit this round peg into one of these square holes?

26. a. General correspondence - Official copy2 years after created or received b. General correspondence - Final draft3 months after official copy created c. General correspondence - Earlier draftsAfter superseded a. E-mail Records maintained on a PC or server in a document or records management system. Retain same period as other forms records b. 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 records c. E-mail Records sent as attachmentsRetain same period as other forms records d. E-mail Routine non-record communication3 months or after informational value is served, whichever is sooner e. E-mail server backups1 month after date backup was run Transitory materials3 months after created or received Appointment calendars1 year after calendar year created Reference materialsAfter informational value has been served or a maximum of 3 years Working documentsAfter completion of the final record. Progress/activity reports1 year after fiscal year created or compiled Office internal administrative records3 years after revised or discontinued Logs1 year after last entry date Employee time and leave records1 year after calendar or fiscal year created Financial records3 years after fiscal year created or received Voice mailErase or otherwise destroy messages following taking required action Voice mail backup1 month after date backup is run Employee personnel files (supervisors copy)6 months after termination or transfer 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

27. Traditional Scheduling - Many Series and Many Retentions 20 different series; 11 varying, confusing retention periods 7.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

28. Flexible Scheduling - Roll-up series into bigger buckets For Example – Our Office Administration Records

29. 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.

30. Flexible Scheduling One Bucket – One flexible retention period Delete or destroy when no longer needed, but do not keep longer than 3 years.

31. Schedule Banding

32. 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

33. Police Schedule

34. 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? Records Retention and Disposition for Arizona Municipalities Page 49 May 2002 RECORDS RETENTION AND DISPOSITION SCHEDULE PAGE 1 of 3 ALL ARIZONA MUNICIPALITIES Function: Police Pursuant to ARS §41-1351, the following retention periods represent the maximum time records may be kept. Unless records relate to pending or current litigation, or are necessary for an audit, keeping records beyond their retention period is illegal. If you believe that special circumstances warrant the extension of any of these retention periods that records should be kept longer than the period listed below or that any of these record series may be appropriate for transfer to the Archives, please contact the Records Management Division to inquire about a change to the retention period. Only the Records Management Division has the authority to extend records retention periods. No. RECORD SERIES R.S. RETENTION (YR.) REMARKS Code Off. R.C. Total (Include start point of retention.) 1 Crime reports and investigations: a. Serious crimes as defined in A.R.S.§13-604; homicide; misuse of public moneys; felony falsification of public records - - 25 After calendar year of initial crime report; review for continued retention if case not closed b. All other class 2 through 6 felonies - - 8 After calendar year of initial crime report c. Misdemeanors (except DUI) - - 3 After calendar year of initial crime report d. Misdemeanor DUI - - 5 After calendar year of initial crime report e. Department reports - - 2 After calendar year prepared f. Petty offenses - - 2 After calendar year prepared g. Misc. closed cases (subject deceased, sentence served, etc.) - - 2 After case closed 2 Non-crime reports: a. Abandoned vehicles - - 1 After calendar year prepared b. Incident reports (no investigation) - - 1 After calendar year prepared c. Pawn broker transaction records - - 3 After calendar year prepared d. Supoena/summons log - - 3 After calendar year prepared damage or injury - - 3 After calendar year prepared 3 Logs (paper and or electronic) a. Citation logs - - 2 After calendar year prepared b. Criminal history inquiry logs - - 1 After calendar year prepared c. Department report (DR) logs - - 2 After calendar year prepared d. MVD letter logs - - 1 After calendar year prepared e. Officer daily logs - - 6mo After month prepared f. Patrol/duty logs - - 1 After month prepared g. Radio/communications logs - - 1 After month prepared h. W arrant logs - - 3 After last entry i. Jail logs - - 1 After calendar year prepared 4 Citations (police copy) - - 2 After calendar year prepared Supersedes Schedule Dated: October 10, 2001 Approved by: X GladysAnn W ells Director, Arizona State Library, Archives and Public Records Approval Date:

35. Banding Example

36. Banding – contd.

38. Applying to Police Logs Instead of 5 different retention periods, have one: Destroy/delete between 1 and 3 years after created

39. Questions?