PUBLIC RECORDS REQUIREMENTS & RECORD RETENTION

Transcription

1 PUBLIC RECORDS REQUIREMENTS & RECORD RETENTION ASBA Summer Leadership Institute Board Secretary Track Friday, June 12, 2015 Flagstaff, AZ

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11 RECORDS RETENTION 101 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 11

12 LIFE CYCLE OF RECORDS AND INFORMATION Made or Received Useful Life -- Active: storage on-site or active servers Inactive: Storage offsite 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? 12

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 13

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 = years of retention 14

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 Records; records management; powers and duties of director; fees; records services fund State and local public records management; violation; classification; definition Preservation of public records Production and reproduction of records by agencies of the state and political subdivisions; admissibility; violation; classification Duties relating to historical value Definition of records Determination of value; disposition RESOURCES AVAILABLE FROM THE LIBRARY, ARCHIVES AND PUBLIC RECORDS (LAPR) 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 15

16 GENERAL RECORDS RETENTION SCHEDULES FOR SCHOOL DISTRICTS AND CHARTER SCHOOLS 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 16

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 17

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: School Districts and Charter Schools FAQs: 18

19 RECORDS OFFICER HANDBOOK RECORDS OFFICER HANDBOOK - CONTENTS 19

20 ARIZONA STANDARDS FOR PERMANENT RECORDS PERMANENT RECORD FORMATS: PAPER, MICROFILM, BORN DIGITAL 20

21 Permanent Student Records Work Group ahperfectpetals.com 21

22 dssg.uchicago.edu; gao.az.gov;

23 PUBLIC RECORDS REQUIREMENTS & RECORD RETENTION ASBA Summer Leadership Institute Board Secretary Track Friday, June 12, 2015 Flagstaff, AZ