1. Records Management – Records retention & Disposition
This is Session #3 of Seven dealing with Records Management. Today’s session is titled, Records Retention and Disposition.
Other Trainings in this Records Management cycle include:
Session #1 – Records Management Statutes and Practices
Session #2 – Public Records Statutes
Session #4 - Records of Enduring Value (Historic)
Session #5 - Electronic Records Management
Session #6 - Social Media Records Management
And
Session #7 – Records Management.
Session 3 of 7 on records management
This training does not constitute a legal opinion or legal advice on the part of the Library, Archives and Public Records Branch, of the Secretary Of State.

2. Session Guidelines and general information
I would like to begin by covering some basic information regarding the Library, Archives and Public Records, also known as the L.A.P.R.
Session 3 of 7 on records management

3. Presenter(s)
Karen Gray Records Analyst (Records Retention Schedules and Imaging – State Agencies) Archives and Records Management Branch And / or Jerry Lucente-Kirkpatrick (RM Training; Retention Schedules and Imaging – Local Agencies) Melanie Sturgeon State Archivist Archives and Records Management Library, Archives and Public Records Arizona Secretary of State
I am Jerry Lucente-Kirkpatrick, and I am being joined today by XXXXX who will help me provide our training.

4. Library, archives and public records (lapr) organization as a state agency
Secretary of State
Michele Reagan
Archives and Records Mgmt
Dr. Melanie Sturgeon
Library
Janet Fisher
Arizona Capitol Museum
Charlie Knight
LAPR
Joan Clark
In July 2009, the LAPR moved from the State Legislature over to the Secretary of State’s Office. The LAPR and the SOS have been a great fit, and Secretary Reagan is knowledgeable on the importance of records and information management. As you can see from the Organization Chart for the SOS – LAPR – State Archives and Records, Joan Clark is the State Librarian, and Director of the LAPR.
In July 2013, the Records Management Center joined with the State Archives and became the Archives and Records Management (ARM) Branch.
Secretary Reagan
Joan Clark, State Librarian & Director of the LAPR
Melanie Sturgeon, State Archivist
Janet Fisher, State Museum of Arizona
Luke Bate, Capitol Museum of Arizona, Deputy Director
Records Management is now under the ARM – Archives and Records Management,
Dr. Melanie Sturgeon, Archivist and Director

5. Lapr website
This is a screenshot from the Main Page of the LAPR Website,

6. Records management center website
This is a screenshot of the main Archives and Records Management Webpage. You will find the following resources on our website: General Retention Schedules, Training Opportunities, Standards and Guidance relating to RM, and information on Public Records Request Laws and processes. -

7. General Ground rules for on-line sessions
1. Please remember that while you are in the on-line classroom, all other participants can hear everything you say (even in the background), and can see everything you write on the whiteboard.
2. I will be muting All participants to help with sound distortion.
3. Please make sure that all phones are muted during the sessions. Press *6 and your phone will be muted.
4. Feel free to submit notes during session for discussion. If you would like to send a note / comment, please send to “all” so that everyone can see the question and then hear the answer to that question.
5. Please raise your hand if you wish to speak
6. Take a vote: How many of you are participating in today’s session with a group of co-workers?
7. If so, how many of you are there in your group? (Send # as a note)
8. At the end of the training, I will be taking questions. Write down any questions you have during the session, and we will have an opportunity to ask them at the end.
I would like to take a minute or two to review some important ground rules for our webinar today.
First, the software we use is very sensitive, and will pick up any background noise if you don’t mute your microphone.
I have already muted all attendees if you are using a laptop or desktop to join our webinar. We do this to prevent any background interference or echoing we experienced early on in our webinars. If you are dialing in to the webinar, please press *6 to mute your phone, and then press *6 again when you are ready to unmute at the end of the webinar.
If, at any time, you have a question you would like to ask, please go up to the top of your screen, and click on the “Notes” button. Then, select “all” so that everyone will be able to read your message, or select “presenters” if you would like the note to be sent only to me.
But, I would like to let you know, that we will have time at the end of this webinar for questions, if your questions can wait until the end. If not, please feel free to send me a note and we will answer your question at the next available opportunity.
I would like to take a poll now to find out how many of you are joining us today with two or more people. This will help us to get a better idea of how many people are joining in. If you are there with two or more people, please vote “YES” on the poll. If you are not with others, you can vote “NO” or just not vote.
Now, for those of you that indicated you are with two or more people, please send me a note and let me know how many are there with you. Just go up to the top of the screen, click on note, and write down the total number of people with you today. Just write “2” or “4” or “15” and send the note to me. Thanks.
Just a reminder that there will be time at the end of our session for questions, if you are able to wait until the end to ask them.
At this point, we are finished with our ground rules, so let’s move on to the actual training.

8. All Records management in arizona is governed by Arizona Revised Statutes (ARS)
In Arizona, everything that we do in Records Management is governed by Arizona Revised Statutes (ARS).
The ARS that govern Records Management are:
§ – §
and
Portions of § – §39-128
The purpose of this training today is to discuss the management of electronic records.
Everything that we do in RM is based upon the Arizona Revised Statutes. The Records Management statues for public body are found under Title 41, sections , which deal with the LAPR authorities and responsibilities. Sections deal specifically with the Records Management responsibilities of all public bodies in Arizona.

9. What is a “record” 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 ,
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.
One of the most important statutes governing Records Management is this one, which provides a definition for “record.” We have a very broad definition of the term “record” in the State, and we are very pro-access to public records. Our definition is 150 words long, and includes 50 words on what is NOT a record.
This statute was first passed in If you didn’t get to experience life in 1958, perhaps you have seen the movie, American Graffiti, or watched the TV series Happy Days. If so, you have a good idea that life in the US in 1958 looked nothing like life in the 2010’s.
The major formats for records were paper, photographs and microfilm. The only option you had for “connectivity” was your telephone, which was not “mobile” and you probably shared a “party line,” which had nothing to do with politics.
The statute begins by sounding very paper based: “records means all books, papers, maps, photographs or other documentary materials”.
Then, you have the phrase, “Regardless of physical form or characteristics,” which broadens the law beyond paper. This tells us that it no longer matters what the information “looks” like. What matters is whether the content and intent of the information meets the rest of the definition.
So, think about all the papers you have on your desk, all the s you have in your inbox and subfolders, and all the data you have in databases, shared folders, public and private drives, on thumb drives, CDs and DVDs, etc.
All that information can be a record if it meets the rest of the definition.
Notice, in green, that records are “made or received”, which is what we as public bodies do – we create records and information and we receive records and information.
Finally, the heart of the definition is in Blue. Think about all your paper, your s, your data, and pass it through the following sieve:
If all that information could be used as evidence of your organization, its functions, policies and decisions and procedures, its operations and, in case we forgot something, “other activities of the government, or because of the informational value, or because of the historical value, then that information and data is a record.
A lot of the papers, s and data we deal with are going to fit this definition. Is what you are receiving or creating work related? Then it is probably going to be a record.
 Here is a summary of the major changes:
– “Records” First legislated
1958, Ch. 98, added a new Article 1.1, “Board of History and Archives” to Title 41, Chapter 4.  It included ARS , “Records”, which was basically a definition paragraph.
LAPR moved to Secretary of State (SOS) and statutes renumbered
Added phrase dealing with “imaging”
– Updated “imaging” to include electronic media

10. What is not a record 41-151.18. Definition of records - continued
Not included within the definition of records as used in this article:
Library or museum material made or acquired solely for reference or exhibition purposes,
extra copies of documents preserved only for convenience of reference
and stocks of publications or documents intended for sale or distribution to interested persons
Sometimes, it’s easier to start with the things that are Not a Record, and then work on the assumption that everything else IS a record. The last 50 words of our definition focuses on things that are NON-records, and there are three of them specified:
First, Reference or Exhibits in Libraries and Museums – these are the physical exhibits that you see in museums and libraries, and they are non-records. Non-records include the books and magazines that are strictly for reference use.
Secondly, Extra Copies of records used for convenience of use or for reference value are Non-records. Government bodies, today, are drowning in copies of information. And, as long as the information is just a copy, then they are non-records.
Lastly, Publications intended for distribution or sale are non-records. They are classified as State Documents, and reside with the State Library of Arizona in their State Docs collection, or reside with the State Archives in their Arizona Collection.
Personal s and matters are also non-records. Other than these three things and personal matters, it is best to consider the information and data as “records”, and manage them appropriately.

11. Principles of Records Management
Let’s turn our attention now to the fundamentals of records and information management, including records retention and disposition.
Session 3 of 7 on records management

12. responsibilities of public bodies In Arizona #5 – Records management Defined
State and local public records management; violation; classification; definition
D. "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. 
The first place we need to start is with the statutory definition of records management, which is located in Title 41 Section This section is an important one, and defines “records management” by its identity and its scope.
Records Management’s identity is that of a system, with the requirement to “create and implement” a system of controls for records and information activities;
Records Management’s scope is as broad as the entire lifecycle of a record,
which includes its creation or receipt;
it life, which is both active and inactive;
Which includes the distribution, use, storage, retrieval, protection and preservation of records in our custody.;
And includes the final disposition / destruction of the record and information.

13. Records Management . . .
. . . is a program designed to help you by having the right information at the right time at the right place for the right price.
Now, let’s look at a simpler, basic definition of records management:
A Program
designed to help you by having
the right information
In the right place
At the right time
For the right price
Public bodies are required, by statute, to make and receive records. After records are made or received, public bodies have the further statutory responsibility to manage those records in a manner which allows the information to be located and kept for the entire retention period of the records.

14. Two (2) Records Mgmt “Self-evident” truths
As long as you are required to retain / keep / hold onto records:
those records needs 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?
I have include this slide because while these truths should be self-evident because of their foundational nature and importance to records management, they are not always clearly obvious.
If, as public bodies, we are required to receive and maintain information, which we are, we have the following responsibilities for that information:
First, the records and information need to be useable and readable.
This means that the records need to be retained in a manner that allows the information to be read and used during the entire retention period of the record.
It is NOT enough to simply have the information on a backup tape if the information is no longer readable.
If the information cannot be used or read, then there is no value in keeping it.
Secondly, the information needs to be available and accessible.
As long as we have the information, it needs to be available and accessible for use by our peers, and by the public.
If the information exists, it needs to be available and produced if requested by a Public Records Request, litigation, audit or government investigation.
If you are not going to make the information available and accessible, then why even go through the trouble of retaining it?

15. Benefits
The benefits of having a good Records Management Program in place:
Help same money and resources previously being spent on storing records (physical floor space, server space, off-site):
That don’t need to be stored
That aren’t records
That are passed their retention period
Make proper decisions about the information your create or receive
Protect the rights of individuals
Ensure government accountability
Minimize risk
Keeping records LONGER than the retention period is a risk
There are many benefits to have a great, robust Records Management Program.
First, it is required of all public bodies by statute.
Secondly, you can save money when you properly manage your records and information. You can save money on storage equipment, such as filing cabinets and servers, and valuable floor space needed to retain paper records if you keep up with the timely disposition of records. Don’t keep any records longer than you need to.
Next, if your employees understand their records management responsibilities, then they will be able to make good and proper decisions about the records and information they create and receive.
Finally, have a good records management program will help your public body Minimize Risks:
Why “prompt and orderly disposal of records” so important?
Risk Management: There is a risk to keeping records longer than needed.
As long as you have the information, it needs to be searched, provides and possibly redacted in response to public records requests, litigation, audits and government investigations.
2. Costs to the Public: We are required to have an “efficient and effective” records management system. Keeping records longer than needed means the public is paying for the storage, retrieval, use, etc. of records that are no longer needed by the public bodies per approved RS.

16. Life Cycle of a Record Creation Useful Life --
Active: storage on-site or active servers
Inactive: Storage off-site or off-line
All records have the same life cycle, no matter whether they are created or retained in electronic, microfilm, or paper formats.
They are created or received by the public body
They are useful in both their active and inactive stages
Records are active if they are being accessed, used, referred to at least once a month. When active, we want to keep the records close to us for easy retrieval, so we keep them in filing cabinets, or computers that are easily searched and produced.
The records become inactive when we are no longer needing to access them on a monthly basis. At this point, we usually move them to off-site storage if they are on paper, and near line of offline storage if they are electronic.
Finally, when they have reached the end of their retention period, they can be disposed of.
But, As we will learn, disposal does not necessarily mean that they are destroyed.
If records are historical, they have a permanent retention period, and can never be destroyed.
When you no longer wish to hold onto Permanent records, you can transfer them to the State Archives.
Disposition

17. What are our Records Management Responsibilities as Custodians of Records?
Security of information while in our custody
Retention for A SPECIFIC time period per an approved Retention Schedule (General or Custom)
Preservation of Records in our custody:
Carefully protect and preserve the records from deterioration, mutilation, loss or destruction
Shall cause them to be properly repaired and renovated.
We have three main responsibilities as the custodians for our records and information.
You need to ensure that your records are kept in a secure manner. If material is confidential, then it should be locked up and access to it controlled. If confidential material is on a computer, then it should be accessed by a password.
You need to know the retention period of the records in your office and when it is time to destroy them, you should see that they are destroyed. But first make sure they are not going to be audited or called for in a lawsuit, or the focus of a government investigation.
Records cannot be destroyed whenever we feel they are no longer needed. All records need to be retained for a specific period of time, so that we and the public know when the records are available and when they are no longer needed and can be destroyed.
If your records need to be kept long-term, then take steps to ensure that they will still be around in later years. This is particularly true of electronic records. With hardware and software changing so rapidly, you need to have a plan in place for how you intend to keep those records readable in the future.

18. the four (4) horsemen of the Recs. Mgmt
the four (4) horsemen of the Recs. Mgmt. apocalypse - Water damage, mold, fire and termites?
You are not alone in the event of an records emergency – it will just FEEL that way in the beginning.
Water Damage Resource:
See the following Standard Operational Procedure (SOP) and Forms from the RMC website:
Mold Damage Resource:
See the Northeast Document Conservation Center for a Mold resources:
Termites, Fire and Vandalism Damages Resource:
See the Northeast Document Conservation Center for a Termite / Pest resources:
In Arizona, we have four (4) real “dangers” when it comes to the safety of our records. I call these the Four Horseman of the Records Apocalypse.
Water damage is a real risk, even though we live in a desert state. The LAPR has created a Standard Operating Procedure, and accompanying forms, which you can find on our website, at the address provided.
If water damage is not totally cleaned up, then you will be visited by the second horseman – Mold. Mold can quickly destroy records, and create a biohazard wherever present. Please refer to the LAPR – ARM Conservation webpage for resources, or refer to the North East Document Conservation Center webpage, at the address provided.
Termites and Pests are the next danger to our records. We need to be ever careful in making sure our paper records do not fall victim to termites. Again, please refer to the ARM or NEDCC website for valuable tools.
Finally, Fire poses a real risk to our records, both paper and electronic. Often, however, fire is not the biggest challenge, but the water and chemicals used to put out the fire.

19. Basic definitions of records Management
Managing Government Records In Any Format
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
As we move into a detailed look at records retention and disposition, we need to examine three words that will be used repeatedly: Retention Schedule, Records Series and Retention Period.
A records retention schedule is nothing more that a timetable for records and their safekeeping. All Retention Schedules will contain the following:
A description of the types of records that you have in your office (records series)
The length of type that each record series needs to be retained (retention period)
A record series is defined as a group of files or documents that are kept together (either physically or intellectually) because they relate to a particular subject or function, result from the same activity, or document a specific type of transaction.
Some examples of record series are personnel records; administrative reports files; policies, procedures and regulations files; surplus property files; accounts payable and accounts receivable files.
A Retention Period is nothing more than the legally required period of time that records needs to be retained and preserved. At the end of the retention period, the records can either be destroyed or transferred for permanent archival retention.
Now we will talk about how a records retention schedule is created.

20. Basic definitions of Government Entities
Managing Government Records In Any Format
Basic definitions of Government Entities
State Agencies –
Term specifically applying to State Agencies, Boards and Commissions. A good breakdown of all State Agencies can be found on the AZ.GOV website
Local Agencies –
Term applies to public bodies that are NOT State Agencies: Community Colleges, Counties, Fire Districts, Municipalities, School Districts and Charter Schools, and Special Districts
All Public Bodies –
Term applies to the combination of State Agencies and Local Agencies (See §ARS )
When reviewing Retention Schedules, you will notice three “types” of public bodies, which appear in the Title 41 Records Management Statutes.
The term, State Agency, applies specifically to State Agencies, Boards and Commissions. Refer to the AZ.GOV website for a breakdown of these State Agencies.
The term, Local Agency, applies to all other public bodies: Community Colleges, Counties, Fire Districts, School Districts and Charter Schools, and Special Districts, which include Library, Stadium, Lighting, Irrigation and other districts.
The term, All Public Bodies, is used to include both State and Local Agencies. You will see this term most often on General Retention Schedules, which are more and more often target to All Public Bodies.

21. Two types of retention schedules
General Records Retention Schedules
General schedules are comprised of record series that are common to all State and Local Agencies (public bodies).
A general schedule is developed to cover all the like offices and records groups in State and Local Agencies.
The general retention schedules ensure consistent and standardized retention periods for similar record series from various agencies.
Custom Records Retention Schedules
Custom Schedules are created for one specific public body, and covers records series that are unique to that particular public body
OR, cover a retention period that is different from the General Schedule(s) and applies only to one specific public body
At the LAPR, we create two types of Records Retention Schedules.
General Retention Schedules are created to include records series that are common to almost every type of public body. These GRS include schedules for Administrative, Bond, Equipment, Facilities, Financial, Human Resources, Management and about 20 other types of retention schedules.
These GRS are aimed at logical groupings of records wherever they exist. Our Financial Records GRS is aimed, not at Finance Departments, but at financial records as they exist in almost every Department of our public bodies. The Human Resources GRS is aimed at HR records existing in almost every Department, not just in our HR Departments.
While some of the GRS are aimed at a specific Office or Department, like the County Treasurer GRS, and the County Recorder GRS, and the Constables GRS, most GRS are aimed at the records regardless of where an in which Department they find their custody.
Custom Retention Schedules are create for those records series that are not common to all public bodies, and are unique to usually one or a handful of bodies. Our goal is to incorporate existing Custom Schedules fully into General Schedules, so that CRS in the future will be truly rare and unique.

22. 3 Main Parts of a Retention Schedule
Name and then Describe the record series –
(Includes the following…)
Retention Period –
State the specific minimum length of time each record series needs to be kept
May Provide Instructions for cutoff, retirement and / or final disposition of the records series
A records retention schedule will contain the following three (3) pieces of information:
First, The name of the records series, and a brief description of the series or of the documents or information that are located in the records series.
Secondly, the retention period, or length of time that each record series needs to be retained before the final disposition.
Finally, you will notice the cut-off remarks, and sometimes even remarks about the records series. For all Permanent records series, you will see the following notation:
Retain per Arizona Standards for Permanent Records or transfer to State Archives when administrative value has been served.

23. Setting a Cut-off Point
Managing Government Records In Any Format
Setting a Cut-off Point
It is the point from which retention periods are calculated. Often called the “trigger” for when retention begins
It is also the basis upon which records are transferred to inactive storage. (Move from Active to Inactive records)
Two of the more common cut-off points
Time based: such as "after the calendar year (CY) received" or "after the fiscal year (FY) created.“
Event based: such as "after project is closed" or "after date of termination of employment“
A cut-off point is something you must decide on before you can begin writing a Records Retention Schedule. To cut off records means to break, or end them at regular intervals to permit their disposal or transfer in complete blocks. In another sense, the cut-off period triggers when the records begin their retention.
Sometimes it is not possible to find a cut-off time and if that happens you must explain how inactive records are separated from active ones.
Sometimes, this trigger can be event based.
Records in a series or system should be cut off at regular intervals, usually annually, for records series like correspondence files, or accounts payable and receivable records, and then to permit the establishment of new files.
Normally correspondence files are cut off at the end of each year (fiscal or calendar), when documents are no longer added to that year's files, and new file folders are set up for the next year's files.
Unless high volume makes more frequent cutoffs necessary, case files normally are cut off at the end of the year (fiscal or calendar) in which final action is taken.
Cutoffs are needed before disposition instructions can be applied because retention periods usually begin with the cutoff, not with the creation or receipt, of the records.

24. Example of Retention Schedule
Records Series Number: 12.
Records Title and Description: Employee Personnel Records
(for full-time, part-time, contract, seasonal, interns, volunteer, appointed, or elected positions. Including applications, resumes, performance reviews, disciplinary records, records documenting employee pay decisions, loyalty oaths and oaths of office, conflict of interest and personal interest disclosure records, confidentiality agreements, policy acknowledgements, exit interviews, drivers' qualifications, training, and p re-employment background check records, but not including criminal history information records.)
Cut-off Point and Retention Period:
a. Official copy…………………………………. 5 years after employee terminated
b. Supervisors' and other non official copies… 6 months after employee terminated or transferred
c. Contract Employees………………………… 6 years after contract expired canceled or revoked
Let’s look at a records series familiar to almost all of us, so we can see how each piece of this puzzle fits together.
On the Human Resources and Personnel Records General Retention Schedule, you will find the following records series for Employee Personnel Records.
The Records Series # is 12, which means it is the 12th records series on that particular GRS.
The records series title is: Employee Personnel Records
The records series description, for this particular record, is broken into two sections:
Who is an employee?
full-time, part-time, contract, seasonal, interns, volunteer, appointed, or elected positions.
What documents are part of the EPR?
Including applications, resumes, performance reviews, disciplinary records, records documenting employee pay decisions,exit interviews, training, and p re-employment background check records, but not including criminal history information records.)
Next, you will see three sub-records under that same series
Official
b. Supervisors' and other non official copies
c. Contract Employees
The cut-off for most employee-related records is “after employee terminated, transferred, retired, or in some way leaves the employment of your public body.
The retention period is then 5 years or 6 years after the cutoff or trigger event.

25. Why we revise / update retention Schedules
Managing Government Records In Any Format
Why we revise / update retention Schedules
New records series are created
Series overlooked in inventory
Series resulting from new programs or responsibilities
Need to revise current Retention Schedules
Inadequate retention periods - increase or decrease
Lack of clarity in the records series or the retention period
Need to review Retention Schedules for revision every year or two
You should annually, or at least every two years, review your schedules to make sure that they still fit your office needs.
There are any number of events that can trigger the need for an updated or revised Retention Schedule:
Sometimes there is departmental reorganization
or the tasks an office performs might change.
Or it might be that you find the retention period set for a record does not meet your needs.
Maybe the descriptions or title of the record series does not fit the records you actually have.
In any of these cases you will need to submit proposed changes you would like to have made to that records series.
When our office creates GRS, we begin by creating a DRAFT GRS that is as complete as we can get, without the input of the users of that GRS – YOU.
Then, we distribute the DRAFT GRS out via our Review Committees, and give them one month to review the DRAFT and provide comments, edits, statutory references, etc. We then revise the DRAFT GRS based upon your input, and sent the GRS back out for review. When the DRAFT GRS seems to be complete, and has been thoroughly reviewed, then we sign off on the GRS and it becomes official.
If you are in need of a CRS, then please contact us and we will work with you through a similar process to arrive at a CRS that meets your needs and is one that we can sign off and endorse.

26. Scheduled Records vs. unscheduled records
Scheduled records series
These are records series that have been placed on an approved Retention Schedule, have an assigned retention period, and can be destroyed by following a General or Custom Schedule
Unscheduled records series
These are records series that have NEVER been placed on an approved Schedule
Have NEVER been assigned a retention period,
CANNOT be destroyed UNTIL
they are placed on an approved schedule,
OR,
approved for destruction via completing and submitting to the LAPR – RMC the following form: Pre-approval for Unscheduled Records Disposition
We make a distinction between records series that appear on an official Retention Schedule, whether Custom or General, and those records series that are not on an approved Schedule.
Scheduled records series are those records series that
have been placed on an approved Retention Schedule,
have an assigned retention period,
and can be destroyed by following a General or Custom Schedule
Unscheduled records series are those records series that:
have NEVER been placed on an approved Schedule
Have NEVER been assigned a retention period,
And CANNOT be destroyed
They cannot be destroyed because no retention period for these records has ever been decided,
And they haven’t reached the end of their retention period because one has never been set.
There are two options for unscheduled records series:
they are either be added to an existing, approved schedule,
OR,
They can be approved for destruction via completing and submitting to the LAPR – RMC the following form: Pre-approval for Unscheduled Records Disposition
Use of this form allows the ARM to research the records, designate a retention period, and then allow the records to be destroyed or further retained until they reach the end of the retention period set forth in the Pre-approval form.

27. What and why of a Records Inventory?
What is a Records Inventory:
The records inventory identifies and quantifies the records created and received by an agency.
The inventory is the first step in the development of a public body’s records program
Becomes the working document for records retention and disposition schedules, file plans and essential records programs.
Simply defined, the records inventory is a list of each record series, together with an indication of where it is located and other pertinent data.
The inventory is NOT:
A document by document listing
A folder by folder listing
Why create a Records Inventory:
The first step in developing records retention and disposition schedules
Is the foundation to determining what records exist in an public body.
First an inventory of the records in your office must be completed. This inventory will identify the records that are created or received in your office.
We do not want a list of all the documents in our office, or all the folders in your office.
What we are looking for are records series that are located in your office.
As mentioned earlier, an example of a records series would be personnel records. Those might contain things like applications, resumes, background checks.
We don’t need a list of all the people for whom you have a personnel file.
Just knowing that you have folders that contain personnel records is enough detail to complete your schedule.
Why create a Records Inventory:
The first step in developing records retention and disposition schedules
Is the foundation to determining what records exist in an public body.

28. Methods of taking a records inventory
Three methods of taking an inventory:
Questionnaire
Consultation
Physical Inventory
For more detailed information on Records Inventories, please refer to the following from the RMC Website:
Look for: Tip Sheets
Then look for: Records Inventory
There are 3 methods that are generally used when taking an inventory:
Questionnaire
First, you create a questionnaire that can be used to help determine what records series are being created or received in your public body.
Each office in your public body needs to complete a form for each record series in their office. This is not always a good method because not everyone completes and returns the forms.
Consultation
A schedule is drafted by a person in the office in consultation with a records analyst.
This is a good method, but can be expensive
And, sometimes, one person does not know of all the records that exist in an office.
Physical Inventory
An analyst comes to your office and goes through your records to come up with the different records series that are in your office.
This is the most time consuming, but it is very thorough.

29. 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
After an inventory has been completed, you must appraise the records you have listed, determine their value, and assign retention based upon this information.
In setting a retention period, we consider three things:
Is there a specific retention period set by Statute, Code, Regulation, etc? Statutes should not be setting retention, since only the State Librarian is able to set retention. But, sometimes Federal Codes set retentions that need to be honored to allow for compliance.
Is the records series historic?
If so, then the retention period is always going to be Permanent.
If there is no statutory retention period, and if the records series is not historic, then we look your business need for the information. Is there an audit need for the information? How often is the audit performed?
Is there some other business need that will drive the time period the records needs to exist?

30. 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 = years of retention
In general, there are four main values that records have.
Administrative value
Fiscal value
Legal value
Historical or research value
Let’s look at each in a little more detail.

31. Legal Value
Specific legal requirements to keep records for a given period of time can be found in the Arizona Revised Statutes (ARS), United States Code (USC), and Code of Federal Regulations (CFR)
Examples of Records with Legal Value:
Contracts
Agreements
Federal or state statutory or regulatory requirements
Sometimes there are laws that state how long records must be kept. These laws could be either state or federal laws or regulations.
Records with legal value can often be subject to official actions such as subpoenas, investigations or lawsuits. And just as you shouldn’t destroy records if you believe there might be an audit, litigation or government investigation, if you hear something about a lawsuit being filed against your office, that’s the worst time to clean out your files..
They must be made available if they are requested for litigation.
A record has legal value if the information it holds gives evidence of the legal rights or obligations of the government and its citizens or ensures compliance with relevant laws and regulations.
A common example of records that would fall into this category are job applications. We routinely schedule the applications for people not hired to be destroyed in office after 2 years, unless there is a discrimination charge pending against those records. If a charge has been filed, the records must be kept for a year after the charge is resolved.
If you have concerns about some of your records, be sure to bring that up with your records analyst.

32. Managing Government Records In Any Format
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
Examples of Records with Fiscal Value:
Budget records
Expenditure ledgers
Credit card reports
These records are often subject to audit and they must be kept during the time in which an audit can be initiated. If you believe that it is possible that an audit may take place in the future, do not destroy any records, even if your records schedule says that you may.
These records are needed to document financial authorizations, obligations and transactions.
A record has fiscal value if the information it holds is needed to document the expenditure of public funds or to fulfill financial obligations. After the audit period has passed the record can be destroyed.
Once audits have been resolved, the related fiscal records lose their value rapidly.

33. Managing Government Records In Any Format
Administrative Value
Records with administrative value are those records that are needed to conduct an office’s daily business. These records are common across all types of offices and public bodies
Examples of Records with Administrative Value:
Procedure manuals
Retention schedule
Memos
Reports
Generally, records with administrative value are the ones that help your office do its work. These are the records that you use everyday. Occasionally, they have lasting importance.
It could be that a procedure manual may be needed to verify how something was done at a certain point in time.
Other administrative-related records and information, such as how many red pens a particular office ordered in one year are not needed for a long period of time.

34. Historic Value
Records with historical value document the history of the government and the community.
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 or to discuss the transfer of the records.
Examples of Records with Historic Value:
Governors’ papers
Wills, land records, and marriage records
Directors’ correspondence
Agency histories
Records with historical value document significant historical events or they may reflect decisions about significant actions or events.
They may also document either directly or indirectly family histories.
A record has historical value if the information it holds documents the history of the government and the community.
These are records that need to be transferred to the Arizona State Archives, or as it is also known, the Arizona Division of History and Archives.
Archivists are looking for the following things when determining whether or not a record has historical value:
Evidential
Tell how the organization operated, the decisions made - good or bad , the people that worked there, etc.
Informational
Contain information that has value beyond the uses of the creating entity, like Census records.
Research
Will be useful to future generations as they conduct research.
Intrinsic
Perhaps a famous signer or recipient, link with important event, or other intrinsic value that adds to the record’s uniqueness.

35. Definition of Historic Record
If a record is historic or historically significant, it is a permanent record. Records are deemed historic or 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
Some records have enduring value, even beyond what you might be able to see. These types of records document significant historical events. Some records give official status to significant actions or events in our personal lives and the life of society (marriage bonds and death certificates are examples of official records concerning personal events.) Other records are important for documenting directly or indirectly our family histories. Part of our job is to try to ensure that these and other parts of the historical record of this state are preserved.
There are two things to consider when dealing with records that will be needed for a long time to come.
One is whether or not your office actively needs the record close at hand. If you are constantly referring to records that are anywhere between days and decades old, then perhaps we can make arrangements to help you ensure the longevity of the records, while still keeping them close to you, where you need them.
On the other hand, you may have records which your experience tells you are going to be important down the road, but you don’t know what to do with them. That’s one of the functions of the Arizona State Archives, also known as the Arizona History and Archives Division. They are charged with the care of the permanent, historical record of the state.
In the process of trying to determine if a record has historical value, please refer to the four bullet points that have been prepared by the State Archivist, Dr. Melanie Sturgeon:
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

36. Permanent Records are unique and must be retained in specific Formats
ARS § – Defines a Permanent Record
A. Permanent public records…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.
Standards for Permanent Records are located on the RMC website:
Because historical records are those records of enduring value, they have strict standards that must be adhered to as a means of ensuring the records will exist as long as they are needed.
By statute, Permanent records have a 500 year + retention period. In order for a records to survive 500 years, we must be diligent and dedicated to the records survival, which requires very stringent standards for creating, producing and retaining these records.
The Arizona Standards for Permanent Records can be found on our website, at the address provided.
The ARS require that records with a Permanent retention period be transcribed, or kept in a durable format or media.
The Arizona Standards for Permanent Records are divided into 4 sections:
5.1 applies to all permanent formats
5.2 applies to microfilm and other microforms
5.3 applies to paper records
And
5.4 applies to records that have a Permanent retention period, and are created in an electronic or digital format. These records are considered “born digital” meaning
created electronically or via a digital audiovisual media. Permanent electronic records do not include paper records that have been scanned into an electronic format. Permanent digital records can only be “born digitally”.

37. Role of Information Technology (I.T.) in RM
How Your Information Technology Department Can Assist You in Records Management
Understand State or Local Agency’s Retention Schedules, and how retention periods apply equally to paper and electronic records, regardless of where the records are stored.
Take steps to manage e-records OR assist with e-records
Program databases to facilitate responding to public record requests
Maintain an inventory of all places e-records may be stored: smart phones / devices, servers, individual computer hard drives, shared drives, personal drives, removable storage media, personal digital assistants, home computers
More and more of our records are being created electronically, or “born digital”. If records are not born digital, the paper records are often scanned into an electronic format for easier use and wider access and distribution.
This is an example of where IT and RM need to form a strong partnership to ensure electronic records are being fully managed and retained per approved retention schedules.
You should work closely with your IT department to ensure full compliance with RM statutes, standards and procedures.
Make sure that IT is aware of any Retention Schedules that impact records in their custody, and work with them to ensure that retention periods apply equally to paper and electronic records, regardless of where the records are stored.
Take steps to manage e-records OR assist with e-records
Program databases to facilitate responding to public record requests and automate retention periods
Maintain an inventory of all places e-records may be stored: smart phones / devices, servers, individual computer hard drives, shared drives, personal drives, removable storage media, personal digital assistants, home computers

38. Time to Dispose of Records
What do I do when my Records Retention Schedule says it is time to destroy records?
Check with others (record creator, record user(s), Risk Management and your Legal departments) 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
Before you destroy any records, you need to see if any of these three events are pending or in effect.
Even though your records retention schedule says you may destroy records, you need to make sure that those records will not be needed as part of
a lawsuit,
audit
or investigation.
If you know that there is the possibility of a lawsuit, audit, or investigation then you should not destroy the records.
Once the action has reached its end, then it is OK to destroy the records, and there are other things you need to consider.

39. Choosing the method for records destruction
Managing Government Records In Any Format
Choosing the method for records destruction
Do the records contain ANY confidential Information?
If the answer is NO --
These are the ways to destroy these records:
Recycle
Landfill
If the answer is YES –
More care must be taken with these records. They can be destroyed the following ways:
Secure Shredding
Why the difference for Confidential Information?
See ARS ARS §
When it comes to the methods you will use to destroy records, you need to consider the content of the records, and whether or not there is any confidentail information contained in the records.
If the records are Non-Confidential
They can be disposed of in the following ways:
Recycling
Preferred method if feasible. Costs for sorting and handling materials should not exceed the revenues paid for the materials.
Both paper and microfilm may be recycled.
Landfill
Essentially disposing of the records as trash. May include anything from placing records into wastepaper baskets to delivering them en masse to the landfill.
If records contain confidential information, as defined in ARS , the only approved method of destruction is secure shredding. Shredded records are those that have destroyed the records or information in a manner that renders the record or information unusable or beyond the ability to be restored or recreated.

40. The records have been destroyed after the end of their retention period. Now what?
If Records were destroyed based upon the retention period in an approved Retention Schedule, then -
No approval is needed from LAPR BEFORE destroying records.
After records have been destroyed based upon an approved Retention Schedule and retention period – Complete and Send to the RMC – LAPR the following form:
Certificate of Records Destruction
Certificates of Records Destruction MUST be filed at least once annually
Certificates of Records Destruction are Located on the RMC website:
Once the records have been destroyed, you have one further duty.
The destruction of records needs to be documented, at least once annually, by completing and submitting to the ARM a Certificate of Records Destruction.
This form is used when you destroy records after they have met their required retention period listed on an approved Records Retention Schedule
When you are destroying records based upon an approved retention period, you do not need to notify us before the records are destroyed, but only after they are destroyed. You are required to submit the Certificate at least once annually, but can submit the form anytime that records are destroyed.
This is a legal document that will prove your public body’s RM Program is fully compliant with retention requirements. This is documentation that you have been following approved retention schedules and destroying records only after they have met their retention period.

41. The records have been accidentally and prematurely destroyed. Now what?
If Records were destroyed BEFORE the retention period in an approved Retention Schedule, then -
Complete and Send to the RMC – LAPR the following form:
Notice of Destruction Prior to Records Disposition Date
This Form is used if records are accidentally destroyed,
OR if records are destroyed beyond repair by water damage, mold or termites
Notice of Destruction Prior to Records Disposition Date form are located on the RMC website:
If records have been destroyed accidentally, or if records have been destroyed BEFORE they met the retention period, then you will want to complete and submit a Notice of Destruction Prior to Records Dispostion.
This form is used if records are prematurely destroyed. Some of the most common types of premature destruction include water damage, pest damage, fire damage, server failure, USER Error.
Completing and filing this Notice will protect your public body in the case where records have been destroyed by your public body in any manner, but have been done so before the retention period has passed.

42. The records need to be destroyed, but they are not on a Retention Schedule. Now what?
If Records are NOT listed on an approved Retention Schedule, they are considered to be Unscheduled Records and cannot be destroyed Until -
You FIRST Complete and Send to the RMC – LAPR the following form:
Pre-Approval for Unscheduled Records Disposition
The Pre-Approval Form will then be reviewed by the RMC and a retention period determined for the unscheduled records
The RMC will then return the Pre-Approval Form to you with instructions to further retain the records until the end of the retention period just created
OR, provide approval for you to destroy the unscheduled records
Pre-Approval for Unscheduled Records Disposition forms are located on the RMC website:
If you have records that need to be destroyed BUT they are not listed on an approved Records Retention Schedule, then you will need to complete and submit a Pre-Approval for Unscheduled Records Disposition form.
If records are NOT listed on an approved Retention Schedule, they CANNOT be destroyed
Records need to have an approved retention period BEFORE they can be destroyed. This form is used to report the destruction of any records NOT listed on an approved Retention Schedule
If you have records that are unique and unscheduled, then you first complete this form
Then, your return the completed form to the LAPR
The LAPR will assign a Retention Period, and return the form to you
You will then need to either retain the records longer or be authorize to destroy such records

43. Non-Record Copies . . .
…Should be destroyed in a timely manner. …They should never be kept longer than the official copy. …If copies are kept LONGER than the official record, then the copy is no longer a copy and BECOMES the Official Record.
Finally, let’s return to the matter of non-records.
Non-records most commonly take the form of either personal documents, s, texts, or other communications.
OR, copies of official records.
Wherever there are copies of records, used for reference, convenience and / or access, these need to be destroyed whenever they are no longer needed.
Copies of records in different formats such as electronic or microfilm copies should be destroyed as well.
Copies of official records should NEVER be retained longer than the official record, or you have a situation in which the Copy becomes the Official Record due to the fact that it out-lives the original.

44. Any Questions? Got Questions?
At this point, we are finished with our presentation, and you are free to submit any questions you might have.
If you don’t have any questions for me, you are free to exit the classroom, and I appreciate the fact that you were able to join us today.
If you do have questions, stick around and send me a note with your question and I will do my best to answer. Or, you can send me an after this session is finished, and I will get back with you.
We currently have the following Future Trainings Currently in Development (listed in probably production order):
Records Redaction
Review of the Standards for Permanent Records
Records Management Forms – “How to Complete”
RMC Warehousing Forms – Used to send records for storage to the RMC
Boxing Paper Records for Storage
Imaging Records - Microfilm
Imaging / Scanning Records - Digital
***Please complete an Evaluation – in with on-line session instruction***

45. HELPFUL CONTACTS
Records Management Center (LAPR): Phone: Karen Gray Phone: Jerry Lucente-Kirkpatrick: Phone: Dr. Melanie Sturgeon: Phone: Toll Free: (Arizona only) State Ombudsman’s Office State Attorney General – Public Records Publication AIIM – Global Community of Information Professionals ARMA International: Institute of Certified Records Managers (ICRM): National Archives and Records Management (NARA): National Association of Government Archivists and Records Administrators (NAGARA):
Thank you for participating in our Records Retention and Disposition training.
I hope we answered all of your questions – but also raised some questions you can take back to your public body and begin the process of finding those answers.
In the you all received that contained the two documents describing how to access this on-line classroom, you should also have received an Evaluation Form. If you could, please complete your Evaluation Form and then either fax it, or it, or…..mail it back to Jerry’s attention.
We hope to see you at another training soon.