Why Do We Need This Training?. Jerry Lucente-Kirkpatrick, Records Mgmt. Melanie Sturgeon, History and Archives . General Guidance. - PowerPoint PPT Presentation
Why Do We Need This Training?
Jerry Lucente-Kirkpatrick, Records Mgmt. Melanie Sturgeon, History and Archives
Jerry:Load Training SlidesStart recording of sessionLower Melanies and Jerrys (presenters) microphone levels
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.
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.
Melanie: Discuss Records as part of Disaster Recovery. History of adding Records Managers to DR Plans for First Responders. (NARA and Hurricane Katrina)
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.
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.
4. Take a vote: How many of you participated in the first round of trainings on essential records?
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)
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?
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
Records As Defined By Statute41-151.18. 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 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.
Here is what Arizona law says about a record.
Notice what is in red Regardless of physical form or characteristics
Therefore, electronic records are records and the same laws and regulations that apply to paper records and other formats apply to e-records
Managing Government Records In Any FormatARS 41-151.14:
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:
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.
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.
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?
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.
11Five Types of Essential RecordsRecords are considered essential when they: 1. Are necessary for emergency response
2. Are necessary to resume or continue operations
3. Protect the health, safety, property, and rights ofresidents
4. Would require massive resources to reconstruct
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.
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 formats.13Four Sources of Essential Records InformationEssential records differ by agency.Each agency must determine which of its records is or are essential.What you need to know to identify essential records:1. Your agencys essential functions2. The stakeholders3. Your agencys records4. Relevant statutes, regulations, and standardsMelanie: While there may be some records that are common among agencies, many of you create or keep records unique to your agency, so it is up to each agency to determine which of its records are essential. Here are four sources of information that you can use to help you identify your particular agencys essential records.14Differentiate Essential Records from Other Records
Only a small percentage of records are essential
Its critical value during and/or after an emergency makes a record essential.
As disruption time increases, more records become essential.Melanie: Think about the earlier slide with the piles of records stacked around the desk. One of the things that will help you in determining your essential records is to remember that for most of us, only a small percentage records our agency creates will be essential. It is a records critical value during an emergency or during the aftermath that makes a record essential. When you are differentiating your essential records, emember that as the disruption time increases that more records become essential. So as you are putting together your lists, think about the first priority records---those critical in the first 24 hours, the second priority recordsthose critical in the first 48 hours, and the 3rd priority recordsthose critical within the first 72 hours. 15Retention Schedules as ResourcesRetention Schedules are lists of records that are being created or received by public bodies.Some of the records series listed on Retention Schedules will be essential records.A great place to start when thinking about your essential records is by reviewing all the General and Custom Schedules that apply to your public body .During review, decide which records series on these Schedules are essential for you and circle the records series number.
Jerry: We have two types of Retention Schedules:General which lists records series / records types that are common to many public bodies, regardless of your particular mission. For example: General Correspondence, Budget, Time and Leave, etc.Custom which list records series that are unique to only your public body, or your specific Department in your public body. Thank about Assessor Rolls, Tax Rolls, etc.Some records on the General Retention Schedules are going to be Essential Records for many / all public bodies. If you have Custom Retention Schedules, these are basically lists of records that are UNIQUE to your public body. These Retention Schedules will be a great resource for records that no one else at your public body, or within the State, will have and records that will need to be captured on your lists of Essential Records.Here is the website for General Schedules for All Public Bodies:http://www.azlibrary.gov/records/schedules_and_manuals.aspxOnce at this page, then you just need to determine your type of public body and click on that link for a full listing of General Retention Schedules that apply to you. (Counties, Community Colleges, Fire Districts, Municipalities, School Districts and Charter Schools, Special Districts (Lighting, Water, Sports, Stadium, etc), State Agencies, Boards and Commissions.)16Building Safety / Inspection RecordsBuilding Permitting DatabaseBuilding Permit Recordsa. Approvedb. All others3. Building Permit Address Records4. Certificates of Completion5. Certificates of Occupancy6. Change of Records Affidavits7. Code Enforcement Records8. Construction Plans, Specifications and Computations9. Demolition Permits10. Inspection Records11. Pool Plans12. Registers of Permits
Flood Control RecordsAerial PhotographsArea Drainage Master Studies / Area Drainage Master PlansBlue Stake Requests / ResponsesCertifications of land Rights Acquisitions to Federal AgenciesCondemnation Case Recordsa. Final Order of Condemnationsb. All other records6. Correspondence7. Development Review Recordsa. Letterb. Backup materials8. Drainage Records 9. Elevation Certificates10. Flood Damage ReportsFlood Control Records11. Floodplain Determination Records12. Floodplain Records13. Grandfathered Water Rights Certificates14. Hydrologic Engineering Center (HEC) 1 Models15. Infrastructure Records16. Inspection Records on Structuresa. Dam Safetyb. State and Federal Agency Inspectionsc. Operations and Maintenance17. Laboratory Water Quality Records from National Pollutant Discharge Elimination System (NPDES)18. Licenses and Temporary Use Permits Received / Granted19. Office Pest Commission Records20. Negotiator RecordsFlood Control Records21. Project Recordsa. Red-lined plans and other working recordsb. All other records22. Relocation Records23. Resolution Records24. Right of Entry for Preliminary Investigation Records25. Right of Way permits26. Sales Records27. State Land Department Lease Records28. Storm Recordsa. Regulation Recordsb. Storm event records29. Trespass Records30. Warranty Deeds, Easements, Final Orders of Condemnation, Title Insurance Policies, Escrow instructions and DeedsPlanning & Zoning RecordsZoning Case FilesIncomplete Zoning CasesComprehensive Plans including land use, neighborhoods, areas, etc.Background Materials and Preliminary Drafts of PlansMinute of Public Meetings of Boards or Commissions (office copy)Planning and Zoning ReportsViolation Case Files
Streets RecordsHighway / Road Project Construction Recordsa. Project Construction filesb. As-built plansc. Extra copies of construction records2. Highway / Road maintenance Recordsa. Routine Maintenanceb. Major Maintenance and Improvement Projects3. Encroachment and Road Cut Permits4. Survey Notes and Records5. Maps including aerials, mosaics, negatives, contour, etc.6. Contracts and Intergovernmental Agreementsa. Officialb. Office copy7. Right of Way filesWater and Sewer RecordsWater and Sewer Construction and Improvement Recordsa. Federally funded projects expenditure recordsb. As-built plans2. Water and Sewage Treatment System Maintenance Records3. Sewage Treatment Plant Sludge Incinerator Records4. Sewage Treatment copy of semi-annual report to EPA5. Sewage Treatment Plant Monthly Operational Reports6. Sewage Treatment Plant Discharge Monitoring Reports7. Individual Sewage Disposal Systems including applications, permits, plot plans, engineering reports, etc.8. Sewer System Plans (ACC Certified Companies)9. Water Treatment Plan Records including permits, applications, plans, engineering reports, etc.Water and Sewer10. Water System Plans (ACC Certified Companies)11. Water System Records of Bacteriological Analyses 12. Water Treatment Records of Chemical Analysis13. Water Treatment Records of Action Taken to Correct Violations of Federal Primary Drinking Water Regulations14. Water Treatment Reports, summaries and correspondence relating to sanitary surveys of the water system15. Water Treatment Records of any Variance or Exemption Granted to the Water System16. Water Treatment Sampling Data and Analyses, Reports, Surveys, Letters, Evaluations, Schedules, State Determinations, etc.Highway RecordsHighway / road Project Construction Recordsa. Project Construction filesb. As-built plansc. Extra copies2. Highway / road Maintenance Recordsa. Routine Maintenanceb. Major Maintenance and Improvement projects3. Encroachment and Road Cut permits4. Survey Notes and Records5. Maps including aerials, mosaics, negatives, contour, etc.6. Contracts and Intergovernmental Agreementsa. Official copyb. Office / extra copies7. Right of Way filesContinuing Process for Submitting Lists These follow-up sessions are the next step in the process of integrating ARS 41-151.14 into Records Management: submit to the director lists of all essential public records in the custody of the agency. ASLAPR will create the form for you to use. ASLAPR will refine and define the process for you to use to submit these lists.In June (approximately), we will follow-up with you all on the next steps completing the form and submitting the lists.Melanie: The process for submitting the lists is pending, but this training is the first step in helping you integrate ARS 41-151.14 into your records processes. Again, ASLAPR will create the form for you to use, and we will refine and develop a procedure for you to submit your lists. We are using April as a target date for us to follow up with you, but we also hope that you will use that as a target date to develop your list of essential records by using the road map we have provided today. . 26The FORM to submit Lists of Essential Records What Will be Needed?How many of you would like to see the following be included on the Essential Records FORM:Location of Essential recordsFormat (paper, digital, microfilm, backup tape, etc) of essential recordsTimeframe records would become essential first 24 hrs, 48 hrs, 72 hrs, 1 week, etc.Designate which type of essential records they are which of the 5 types is that record?Got Questions?Any Questions?
28HELPFUL CONTACTSDr. Melanie Sturgeon: email@example.comPhone: 602-926-3720 / Fax: 602-256-7982 / Toll Free: 1-800-228-4710 (Arizona only)
Jerry Lucente-Kirkpatrick: firstname.lastname@example.orgPhone: 602-926-3820 / Fax: 602-256-2838
Department of Emergency and Military Affairs / Emergency Management Preparedness: http://www.dem.azdema.gov/preparedness/index.htmlPhone: (602) 244-0504 / Toll Free: 1-800-411-ADEM (2336)
Council of State Archivists (CoSA) / Emergency Preparedness: http://www.statearchivists.org/prepare/index.htmTelephone: 518-473-9098 / Fax: 518-473-7058
Federal Emergency Management Agency: http://www.fema.gov/plan-prepare-mitigate
Thank you for participating in our Essential Records 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 email 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 email it, or..mail it back to Jerrys attention.We hope to see you at another training soon perhaps one or both of our IPER trainings to be offered in late-Spring.29