Why Do We Need This Training?

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Why Do We Need This Training?. Jerry Lucente-Kirkpatrick, Records Mgmt. Melanie Sturgeon, History and Archives . General Guidance. - PowerPoint PPT Presentation


<p>41-151.14.5</p> <p>Why Do We Need This Training?</p> <p>Jerry Lucente-Kirkpatrick, Records Mgmt. Melanie Sturgeon, History and Archives </p> <p>Jerry:Load Training SlidesStart recording of sessionLower Melanies and Jerrys (presenters) microphone levels</p> <p>To Audience:Welcome to this important training on ARS 41-151.14: Creating Lists of Essential Records. We appreciate your attendance today, and your interest and partnership in Records Management across the State. We have scheduled this training for 90 minutes, but the actual time may vary based upon participant interaction.**The software we are using for this webinar is very interactive. Whatever you say is going to be heard by everyone in the on-line training room. Whatever you do is going to be visible by all the on-line participants this includes creating doodles on the main whiteboard.**In our first webinar session we had trouble with feedback and echoes. In order to correct this, once we get passed the first couple of slides, I will be muting everyone. You will hear a voice commenting that all microphones have been muted. When we get to the point where we are going to ask questions, please interact with all of us by raising your hand or by sending a note to all of us. From time to time, when we ask questions, I will unmute everyones microphone to allow for interaction that way, but will re-mute once we continue. </p> <p>We would like to begin with a basic introduction to the on-line classroom, and some of the features we hope you will make use of today. In the top left corner of your screen you will see some command buttons. If you would like to ask a question at any time during the training, please press the Raise Hand button and we will know that you have a question or comment for us and call on you specifically. To test this, lets have all of us raise our hands. Good. Now, simply press the same button again and we will all put our hands down. Good.If you wish to send us a note, please press the Send Note button. This will bring up a box where you can type your message and then press send, and it will get delivered to our Notes section. If you need to step away from the training for any reason, press the Step Out button.If you want to view this training in full screen mode, then press the Whiteboard button and you will have the option of viewing with or without the toolbar visible.If you are experiencing a lot of feedback, please mute your microphone. This can be done by pressing the Mute button until you wish to talk and then pressing the Mute button again to unmute your microphone. Please remember that everyone is able to hear whatever you say, unless your microphone is muted.Please remember that if you draw lines or marks or doodles on the whiteboard (presentation slides) then everyone will be able to view them.</p> <p>Melanie: Discuss Records as part of Disaster Recovery. History of adding Records Managers to DR Plans for First Responders. (NARA and Hurricane Katrina)</p> <p>1General Guidance1. 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. Please make sure that all phones are muted during the sessions. Press *6 and you phone will be muted.</p> <p>3. 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.</p> <p>4. Take a vote: How many of you participated in the first round of trainings on essential records?</p> <p>5. Take a vote: How many of you are participating in todays session with a group of co-workers?If so, how many of you are there in your group? (Send # as a note)</p> <p>Retention Schedules Covered During This SessionRetention Schedules covered in session: Building Safety and Inspection, Flood Control, Planning and Zoning, Streets (Public Works), Water and Sewer (Public Works), Highways (Transportation)Building Safety and Inspection Records:http://www.azlibrary.gov/records/documents/pdf/city_county%20-%20building.pdfFlood Control Records:http://www.azlibrary.gov/records/documents/pdf/city_county_special_state%20-%20flood%20control.pdfPlanning and Zoning Records:http://www.azlibrary.gov/records/documents/pdf/20121010104359153.pdfhttp://www.azlibrary.gov/records/documents/pdf/20121010104450845.pdfStreets Records:http://www.azlibrary.gov/records/documents/pdf/20121010104410210.pdfWater and Sewer Records:http://www.azlibrary.gov/records/documents/pdf/20121010104456249.pdfHighway Records:http://www.azlibrary.gov/records/documents/pdf/20121010104503031.pdfAgenda For Todays SessionWhat we learned in the first trainingQuick reviewWhere we are going today a. We will review the assigned Retention Schedulesb. We will discuss each records series as Essential or not?c. We will be voting on each records series using the raise hands featureTodays Agenda - continued3. Basic Ground RulesASLAPR is here as the facilitator for discussionAll participants will need to be muted to help with sound distortionPlease raise your hand if you wish to speakFeel free to submit notes during session for discussionWhen we get to the portion of the sessions where we begin voting on which records series are essential for most public bodies, we would like to propose the following process: Majority Rules we will be voting on which records series are deemed essential and will go with a majority rules approach. Will this be OK?</p> <p>Todays Agenda - continued4. Discussion of Form and information neededWhat information do you think will need to be captured on the Lists form?What information do you think your successor(s) will need on the Lists that you compile and report?Would you like to include the locations and formats of the records listed as essential?Review of some Lists currently in use in US.5. Whats Next for Essential Records</p> <p>Records As Defined By Statute41-151.18. Definition of records</p> <p>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 41-151.16, 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.</p> <p>Here is what Arizona law says about a record.</p> <p>Notice what is in red Regardless of physical form or characteristics</p> <p>Therefore, electronic records are records and the same laws and regulations that apply to paper records and other formats apply to e-records</p> <p>Managing Government Records In Any FormatARS 41-151.14: </p> <p>5.A. The head of each state and local agency shall:Once every five years submit to the director lists of all essential public records in the custody of the agency.Jerry: This is one great example where a teamwork approach will work best. The project of identifying, creating and submitting lists of essential records needs to be a group endeavor. Just like Records Management, essential records are found in every Department, Section, Office and are not limited to the designated Records Manager for your public body. The best approach may be to form a Records Management Committee to help with identifying these records. Potential team members could include, in addition to Records Management staff, appropriate Management staff, Administrative staff, Legal, I.T. (Information Technology), Emergency Planning / Emergency Management. (Most Counties and Municipalities have a specific Emergency Management Division. At the State, we have DEMA (Department of Emergency and Military Affairs.) For an important project like Essential Records, it is best to bring in multiple Knowledge Experts within your public body.ASK FOR FEEDBACK: How many of you work in a public body that currently has a Records Management Committee?How many of you that have such a Committee have one that includes professionals other than your Records Managers?8ARS 41-151.12 - Essential Records DefinedTwo Categories of Essential Records:</p> <p>4. Establish criteria for designation of essential records within the following general categories:(a) Records containing information necessary to the operations of government in the emergency created by a disaster.(b) Records containing information necessary to protect the rights and interests of persons or to establish and affirm the powers and duties of governments in the resumption of operations after a disaster.</p> <p>Jerry: There are 2 types of records retention periods listed on every Retention Schedule.ASK FOR FEEDBACK: Can anyone identify one of these two retention periods?Permanent, which is reserve for historic records that cannot be destroyed. Then, we have All Others, which covers records series that have retention periods ranging from transitory / very short-term think of a voicemail that you have responded to. On the opposite end of that spectrum of All Others are records like Sex Offender Records, which have a 109-year retention period.It is important to remember there is a difference between Permanent / Historic records and Essential Records. As we will see throughout this training, Essential Records can include many records that have a much less than Permanent retention budget records, payroll, etc. While historic records are significant and essential to any records management program, you will usually find that many of the records you identify as Essential Records are not going to be Permanent records. But, some Permanent records will be Essential Records Minutes, Org Chart Records, etc.9Why Prepare for the Worst?Records custodians must be prepared to protect their essential records so that, in the event of an emergency, their offices can recover quickly and return to service for the residents of their state or locality. </p> <p>Melanie: Hurricane Katrina demonstrated the chaos that can occur for governments, individuals and communities when essential records are damaged or destroyed. One of the critical lessons learned from that experience was that records in all formats, including electronic records, can disappear. When disasters strike, records become very important. Emergency responders need records to respond to the situation and to continue operations. Government agencies need records to provide essential services. Individuals need government records to prove their identity and re-establish their lives. We will be going into greater detail about this later.10Essential Records: How Do I Identify Them?</p> <p>Melanie: I am certain that none of us have offices or records facilities that actually look like thisbut when we are asked to identify and find our essential records it sometimes feels like this. It can be overwhelming to think about all of the kinds of records your agency producesespecially for larger agencies---and can seem like an impossible task to identify the records that are essential. So to help you figure this out, the first thing we are going to do is to look at ARS 41.151.12, the statute that gives you some brief guidelines about essential records.</p> <p>11Five Types of Essential RecordsRecords are considered essential when they: 1. Are necessary for emergency response</p> <p>2. Are necessary to resume or continue operations</p> <p>3. Protect the health, safety, property, and rights ofresidents</p> <p>4. Would require massive resources to reconstruct</p> <p>5. Document the history of communities and families Melanie: As we go through each of these, think about your own agency or office and the types of records that might fit within these categories. For example, what kinds of records might be necessary for emergency response? One of the critical ones for each of you would be a list of your essential records. Many agencies and cultural institutions in the path of Hurricane Katrina said that it was difficult to respond because their Emergency Response plans were in their buildings and they could not get to them. As a result, there were no phone trees for notifying employees, no lists of essential records available, no way to convince first responders that their essential records were critical. Your agency might be one that is a first responderyou might need [maps of building; emergency and disaster plans/continuity of operations plan, etc). Your agency might provide information to first respondersutility lines, hazards and so on. What about successions or delegation of authorities within agenciesthese are all essential records that are necessary to resume or continue operations. Do you have records that protect the health, safety, property and rights of individualsthese might be medical records, property records, retirement records, birth and death records and so on. We sometimes think of essential records as only those required in the first twelve hours of an emergency or disaster, but the longer an emergency goes on, the more records become essential. When you think about records that would require massive resources to reconstruct, think about complex GIS systems and databases, tax records and so on. Records that document the history of communities and families can be personal papers, photographs, community libraries and other insitutions. As you think about these five types of essential records and as you begin to identify the kinds of records that you hold that might fit into several or even all five of these types, think about those that you will need in the first 0 to 12 hours, those that will become essential in the first 12 to 72 hours and those that will become essential after the first 72 hours. 12More About Essential Records Essential records require special protection strategies to ensure they are protected and accessible.</p> <p>Essential records can be found in any format and in any medium.Melanie: Katrina, all formats of records and information were lost . Servers go down or electronic records systems are destroyed. In New Orleans, they had to let prisoners out of jails, including felons, because the computer systems, servers, backups, etc. were destroyed and they had no way to identify the inmates. Need to think about ways to protect essential records long before a disaster or emergency strikes. To do this we need to develop mitigation strategies to make sure, for instance, that our essential records are not stored under water pipes, that our backup are not stored underneath our computers or in the same room with them. We also need to remember that essential records can be found in paper, microfilm and in various electronic format...</p>