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WHAT’S HAPPENING WITH E-RECORDS?

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REDEFINING “PERMANENT STUDENT RECORDS”

PROJECT TO REDEFINE“PERMANENT STUDENT RECORDS”

• Participants:• Department of Education• Charter School Board• Library, Archives and Public Records (LAPR)• AZ Association of School Boards (AASB)• Several School Districts and Charter Schools

• Goal is to clarify what is needed and what is not needed as part of the “Permanent Student Records”

• Clarify difference between “Cume Card”, paper records and SIS.• Which is the official Permanent Student Record?• What is the retention period for SIS information?• Why not have DOE e-records system be “official” record?

• Possible Outcome – centralized repository for these records.

CURRENT DEFINITION

16. Immunization Records

(card specified by Department of Health Services) …Permanent. Preserve pursuant to ARS §39-101

• 20. Permanent Student Records • (including Personal Identifying Information (name, student• identification number, etc.),• Transcript of Final Grades,• Summary of Attendance • and Standardized Test Scores)…Permanent. Preserve

pursuant to ARS §39-101

TAKE FROM ASCUS TO PSR COMMITTEE???

• Are there any questions, issues, concerns, ideas, etc., that you would like me to bring to the Permanent Student Records Committee from ASCUS?

• We are meeting again on 09/30.

WHERE ARE THE GENERAL RETENTION SCHEDULES?

• Here is the link:• http://apps.azlibrary.gov/records/general.aspx

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NEW PERMANENT RECORDS STANDARDS

OUT WITH THE OLD

• Only two formats acceptable for Official Permanent records:• Paper• Microfilm

No approved system for retention of electronic Permanent records, including “Permanent Student Records”

IN WITH THE NEW

• Permanent records – those records that have a permanent retention period listed on an approved Retention Schedule.

• “Born Digital” - meaning records that are created electronically or via a digital audiovisual media

• If the records are born digital, and if they have a permanent retention period, then they CAN be retained ELECTRONICALLY!

BUT…

• BUT, the permanent records need to be retained according to the Arizona Standards for Permanent Records.

The system must include the ability to export permanent records to an open format that is appropriate for long-term preservation and sufficient for public access to the records, including any metadata necessary to locate and access individual records, relationship to other records, as well as definitions of all data fields, codes, abbreviations and acronyms, valid at time of creation of record.

Electronic/Digital formats & Analog formats (Formats and media not paper or micrographic)5.4 For permanent records in electronic/digital formats and analog formats

Note: Currently, there is no “enduring” analog or electronic format or storage media other than paper or micrographics. no file format or storage media is durable or lasting. Permanent records stored in electronic formats and media require constant migration of file formats and storage media, comprehensive descriptive metadata, as well as adherence to strict compliance and security processes.

AND…

• As with all records formats, those stored electronically are very susceptible to degradation, corruption and destruction during emergencies, disasters

• Steps must be taken to ensure all vital and permanent records are protected.

• All media devices will fail, meet end of life and/or become obsolete. • Records must be duplicated and/or transferred to a new media device prior

to obsolescence or media reaching end of life, • System must be able to export all records, • including all corresponding metadata, • with the relationships of metadata to the record maintained • and the record relationship to other records maintained, • into an application neutral and commonly used open format, • which can be ingested into another system. • Export must not contain any intellectual property information from a

proprietary software or hardware system.

WHERE ARE THE NEW PERMANENT RECORDS STANDARDS

Here is the link to the New Standards:http://www.azlibrary.gov/arm/guidelines-standards-and-statutes

GOT QUESTIONS?

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ARIZONA E-RECORDS TOWN HALL

WHY THE E-RECORDS TOWN HALL?

Sent email out on 06/04/2014• Arizona e-Records Town Hall

• Fact: Federal, State and Local Governments across the US are faced with the Challenge of managing electronic records and information.

• Fact: This Challenge grows with each new technology / innovation.  (Think email, unstructured data, social media, texting, tweeting, big data, etc.)

• Fact: All Governments face the Challenge of managing and producing electronic records and information in response to Audits, e-Discovery, Investigations, Litigation, RM statutes and Public Records statutes.

• Fact: Solutions to this Challenge are lagging far behind the technology, and are getting further behind all the time.

• What can be done to help stem this tide, reverse it, or even master the Challenge posed by electronic records and information? 

WHAT IS THE E-RECORDS TOWN HALL?

• The Arizona Library, Archives and Public Records (LAPR) would like to propose a collaborative first-step approach to this pressing Challenge:

• A one-day, town hall-style meeting where we would invite any interested Arizona governments (targeting CIO / IT, Legal, Officials / Executives, Records Management, Risk Management, PIO, Privacy / Security, etc.) to come together and discuss some of the most pressing aspects of this Challenge and begin the process of working toward some solutions that are effective, efficient, and viable.

WHEN? WHERE? WHAT?...

• We are working on finalizing the agenda and format, and will send that information out through our Listserv.

• Are you on our Listserv? • If not, send me an email and I will have you added.• jkirkpatrick@azlibrary.gov

• The e-Records Town Hall will take place after the newly elected officials are installed – probably in March.

DRAFT AGENDA AM – WOULD YOU ATTEND THIS?

Session One: General - Who’s Managing All of This Stuff?• Developing, communicating and enforcing Records Management for e-records:• In many places• In many formats Moderator:• Across many departments Panelists:• Often without a single party responsible • BYOD – employees using own devices

Session Two: Specific - “Duck, Duck, Solution”• With A Solution: System / EDMS Moderator:• One / two with an EDMS Panelists:• Looking For a Solution 1-2 with solution• Stuck Without A Solution (no system, no EDMS) 1-2 without solution• One / two managing without a system 1-2 looking for solution• Without software solution• Without automation

DRAFT AGENDA PM – WOULD YOU ATTEND THIS?

Session Three: General - “Alone and Unprotected” Moderator:• How to get buy-in and support from above (from C-level) Panelists:• How to get involvement from all employees? Elected / Management = • Lack of Budget / Resources / Staff Time CIO = • Form a team Finance / Budget = • Setting policies and requirements Legal = • How to keep RM to the Front of the line Risk Management =

• Session Four: Legal• “What Could Possibly Go Wrong?”

• Legal• Risk• Litigation hold – E-Discovery Moderator:• Statutes Panelists:• Public records requests• Security / Auditing / Privacy• Public Records Requests

ASCUS AND E-RECORDS TOWN HALL

• Would ASCUS members attend?

• Any suggestions from ASCUS for Moderators, Panelists, SME?

• Do you have any large rooms (200+) available on your campuses?

• What can ASCUS do to help? • Get the word out about the e-Records Town Hall. When you

receive emails, forward them along to interested professionals in your School District / Charter School.

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ESSENTIAL RECORDS PROJECT

STATUTES ON “ESSENTIAL RECORDS”

ARS 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.

Basics of this statute are from the 1970s

“Once every five years” added in 2011/12 Legislative

ARS 41-151.12“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.”

WHERE TO FIND THE ESSENTIAL RECORDS TOOLS?

IF YOU DON’T KNOW BY NOW…

1. Review previous Essential Records Trainings:• http://

www.azlibrary.gov/arm/programs-training-and-presentations/classes

Here is what you are looking for:• Phase I - Creating Lists of Essential Records• 1.5 hours.  ARS §41-151.14 requires all public bodies to,

"...once every five years submit to the director lists of all essential public records in the custody of the agency." By the end of this training, you will be able to:• Power Point Presentation     PDF of Presentation     • Audio Recording of Online Session

PHASES II AND III TRAININGS

Phase II - Essential Records• 1.5 hours each.  The round of our Creating Lists of Essential Records Project

sessions consist of 90 minute sessions requiring audience participation and voting. This is an opportunity for public bodies to review groupings of Retention Schedules and decide which records series should be considered "essential". We have organized 10 on-line sessions built around groups of shared interests and Retention Schedules….

• .Administrative, Library, and Miscellaneous Records• Power Point Presentation     PDF of Presentation    • Assessor, Recorder and Treasurer Records• Power Point Presentation     PDF of Presentation

Phase III - Wrap-Up Session• Audio Recording of Online Session

E.R. GUIDANCE AND FORM

2. Link to Essential Records Guidance and Form:• http://www.azlibrary.gov/arm/conservation

Here is what you are looking for:• Essential Records• It is the responsibility of the head of each state and local agency to establish

and maintain an active, continuing program for the economical and efficient management of the records of the agency. As part of that responsibility, the head of each state and local agency must submit lists of all essential records in the custody of the agency to the State Library every five years (ARS §41-151.14 a.5).

• Establishing an Essential Records List (Guidance)• Essential Records Listing form   (8.5” x 11” Excel)  (8.5” x 14” Excel) -

FORM• Essential Records Voting Tally (E.R. Tool)

COMBINE LISTING FORM AND VOTING TALLEY

TWO NEW GENERAL RETENTION SCHEDULES

This week, we released two new General Retention Schedules that apply to all public bodies:

• Management Records – revised, mainly centered on redefining “Minutes Records, Includes agendas and board packets.”

• Here is the link to the GRS:• http://apps.azlibrary.gov/records/general_rs/Management.pdf

• Public Information and Marketing Records – new GRS, built upon the PIO GRS that applies to only Community Colleges.

• Here is a link to the GRS:• http://apps.azlibrary.gov/records/general_rs/Public

%20Information%20and%20Marketing.pdf

NEW GENERAL RETENTION SCHEDULES

• The Public Information and Marketing Records GRS contains the following records:• Advertising and Outreach Records• Audio / Visual Records• Distribution Lists• Public Events• Press Releases• Graphic Art & Photographs• Public Service Announcements

DID YOU RECEIVE THESE NEW GRS?

• Did you receive these two new GRS via email Tuesday afternoon, 09/16?

• Would you like to receive emails regarding new GRS, training opportunities, statutory changes with RM, etc?

• If so, send me an email asking to be added to our Distribution List, and I will be happy to add you to our DL.

• Here is my email address:• jkirkpatrick@azlibrary.gov

HOW CAN LAPR HELP ASCUS?

• How can the LAPR help the ASCUS?

• Are there any projects we can help you with?

• Can we be a good resource for you?

GOT QUESTIONS?

HELPFUL CONTACTS

Records Management Center (LAPR): http://www.azlibrary.gov/records/

Phone: 602-926-3815

records@azlibrary.gov

Jerry Lucente-Kirkpatrick:

jkirkpatrick@azlibrary.gov

Phone: 602-926-3820

State Ombudsman’s Office

http://www.azleg.gov/ombudsman/default.asp

State Attorney General – Public Records Publication

https://www.azag.gov/sites/default/files/sites/all/docs/agency-handbook/ch06.pdf

AIIM – Global Community of Information Professionals

http://www.aiim.org/

ARMA International:

http://www.arma.org/

Institute of Certified Records Managers (ICRM):

http://www.icrm.org/

National Archives and Records Management (NARA):

http://www.archives.gov/records-mgmt/

National Association of Government Archivists and Records Administrators (NAGARA):

http://www.nagara.org/index.cfm