Extracted text (via pymupdf)
17359 characters
MARICOPA COUNTY INTERNAL POLICY Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Current Implementation Date: MM-DD- 20255/31/2019 Approved by: COUNTY MANAGERBOARD OF SUPERVISORS Board Agenda Number: C#- Original Adoption Date: 11-1991 3/13/2025 I. PURPOSE To establish provide direction for the creation, management, retention, and disposaland maintain an active, continuing program for the economical and efficient management of the Maricopa County government records of the County;. Tto ensure that all records, regardless of mediaum, within Maricopa County government are retained, maintained, preserved, and destroyed as requiredin the manner prescribed by law; and to ensure compliance with applicable state and local laws, promote efficient administration, and protect the legal, fiscal, and historical interests of Maricopa County. II. AUTHORITY Per Arizona Revised Statutes A.R.S. § 41-151.14(B), the governing body of each county, city, town, or other political subdivision shall promote the principles of efficient records management for local public records. II.III. APPLICATION This policy applies to all Maricopa County appointed departments, as well as the Flood Control District of Maricopa County, and the Maricopa County Library District, and the Maricopa County Stadium District (Special Districts). The Board of Supervisors is authorized to jointly adopt policies applying to the Special Districts under the intergovernmental agreement C-06-18-393-6-00, approved on April 11, 2018. This policy also applies to employees of County elected offices unless the elected official has implemented a similar policy specific to their his or her office. III. AUTHORITY Per Arizona Revised Statutes A.R.S. § 41-151.14(B), the governing body of each county, city, town or other political subdivision shall promote the principles of efficient records management for local public records. IV. DEFINITIONS A. Appointing Authority: An elected official, the single administrative or executive head of a department/Special District, or the designated representative authorized to act in this capacity. Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Page 2 of 7 B. Arizona Public Records Law: A.R.S. §39-121 through §39-129, as interpreted by binding case law. C. Arizona State Library Archives and Public Records (LAPR): A division within the Secretary of State’s Office responsible for determining the value and retention period for Records; the approving entity of Department Records Retention Schedules. D. Certificate of Destruction: An official document that verifies Records have been properly and securely destroyed. As authorized under ARS §41-151.19, "...A report of records destruction that includes a list of all records disposed of shall be filed at least annually with the state library on a form prescribed by the state library." A.E. Confidential Records: Some records, which fit within the definition of "public records and other matters," may be withheld from public scrutiny because they are considered confidential. Records may be designated confidential by law, statute, or court decisions. In limited cases, records may be designated confidential by department policy, and with consultation and approval from the Civil Division of the County Attorney’s Office. F. County Records Manager: An individual who has the statutory authority pursuant to A.R.S. § 41-151.14(A)(7) and responsibility to manage the records management program of the County and act as coordinator and liaison for the agency with the LAPR. Per ARS §41-151.14.A.6: A. The head of each state and local agency shall: Designate an individual within the agency to manage the records management program of the agency. The agency shall reconfirm the identity of this individual to the state library every other year. The designated individual: (a) Must be at a level of management sufficient to direct the records management program in an efficient and effective manner. (b) Shall act as coordinator and liaison for the agency with the state library. B. It is the responsibility of the County Records Manager to administer the Maricopa County Records Management program. The Program creates and implements systemic controls for Records and information from the point of creation or receipt through the final disposition or archival retention, including the distribution, use, storage, retrieval, protection, and preservation of County Records regardless of the format of the Record. F. Department Records CoordinatorCustodian (DRC): A person designated by the Appointing Authority to 1) exercise control of all department Records according to Retention Schedules, 2) be the point of contact for the department’s Records management, 3) serve as the Records coordinator for their department, and 4) help the County Records Manager make sure the department complies with this policy. An individual who serves as the records coordinator for their department, and shall assist the County Records Manager in ensuring the department’s compliance with this policy. G. Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Page 3 of 7 C.H. Disposition of Records: The process of deciding what to do with Records at the end of the retention period. The action taken at the end of a record’s lifecycle. If disposition is to destroy, the method should be specified, i.e. shred or recycle. I. Electronic Records: Electronic Records must be managed with the same care as physical Records. Electronic Records must be retained and disposed of according to the applicable Records Retention Schedule. J. Essential Records: Records needed 1) to keep government operations running during and after an emergency caused by a disaster, 2) to protect the rights of individuals, and 3) to help restore government functions after a disaster. Per ARS 41-151.14A (4) A., The head of each state and local agency shall: Once every five years submit to the director of Arizona State Library and Public Records lists of all essential public records in the custody of the agency. K. Information Governance Department: Policy owner and responsible for overseeing all aspects of County Records management and retention. The Information Governance Director is the designated Maricopa County Records Manager. D. LAPR: Arizona State Library Archives and Public Records. A division within the Secretary of State’s Office responsible for determining the value and retention period for records. L. Non-Records: For this policy, not all recorded information is a Record. Non-Records do not require retention, scheduling, authorization to destroy, or reporting of destruction. To control excessive accumulation, it is necessary to keep only current, useful materials, and to destroy Non-Records immediately after they are no longer needed unless these items have been identified as part of a preservation. M. Permanent Records: Records that have enduring, historical, or research value that are retained permanently in an office or in the Arizona State Archives after a period of active use. Records are considered permanent if they have enduring administrative, fiscal, or legal value to the government or if they possess significant secondary research value beyond those for which they were created. Permanent Records are also known as historically significant, historical, or archival records. AZ LAPR has the sole authority to determine whether a Record is to be kept permanently. ARS-39-101 gives the AZ LAPR the sole authority to determine the media, storage, and maintenance of permanent records. Permanent records which are “born digital” (originally digital) must be preserved in a manner that ensures they are always accessible. Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Page 4 of 7 E.N. Records: ARS § 41-151.2 (a) defines a record as "...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."All books, papers, maps, photographs or other documentary materials, regardless of physical form or characteristics, made or received by public officials or employees of the county and its departments that provide evidence of the organization, functions, policies, decisions, procedures, operations and other essential activities. F.O. Records Management: The creation and implementation of systematic controls for rRecords, regardless of media, 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. G.P. Retention Schedule: The document that describes the time period that a Record must be retained and the authorized time the Record should be destroyed. Approved by the LAPR, Retention Schedules authorize destruction of Records and define the required retention period for Records.Approved by the LAPR, Retention Schedules authorize destruction of records and define the required retention period for records based on the following: i. Legal Value – based on current or pending litigation, or anticipated legal action. ii. Administrative Value – needed to perform current or future work of the business unit. iii. Historical Value - historically significant in that they document a controversial issue or significant event V. POLICY A. Each County department will make and maintainkeep records containing adequate and proper documentation of the organization’s activities, functions, policies, decisions, procedures, and essential transactions. of the agency designed to furnish information to These records are meant to protect both the organization’s rights of the agency and of persons directly affected by the organization’s workagency's activities. B. Per A.R.S. § 41-151.14(A)(7), the County Board of Supervisors shawill designate an individual within the County to manage the records management program as thea County Records Manager to manage the County’s Records Management program. The County Records Manager shawill have enough authoritybe at a level of management sufficient to direct the records management program in an efficient and effective manner; act as coordinator and liaison for the Countywork with the LAPR; and comply with the rules, standards, and procedures adopted set by the Director of the LAPR. C. Appointment of Department Records Custodian (DRC) Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Page 5 of 7 Each Appointing Authority must designate a DRC in writing and provide a copy of the designation to the County Information Governance Department. Per County Policy A1606 Public Records Requests, if the DRC changes, the Information Governance Department must by notified immediately. A Department Records Coordinator will serve as the records coordinator within each department, and shall assist the County Records Manager in ensuring the department’s compliance with this policy. Duties of the DRC: 1. Attend training on proper Records Management policies and procedures. 2. Be the main contact for staff with questions about Records Management and destruction. 3. Contact the Information Governance Department when dealing with complex, sensitive, or high-profile Records Management and destruction activities. 4. Help the County Records Manager make sure the department complies with this policy. 5. Adhere to the department’s and the County’s approved Retention Schedules. C.D. Public records shall must be openavailable tofor public inspection and be preserved in the manner prescribed byaccording to the law. D.E. Per A.R.S. § 41.151.12(A)(3), all County records shall be retained and disposedmust be kept or destroyed of in accordingance with to the LAPR approved rRetention Sschedules. F. Records must be destroyed according to LAPR destruction policies as soon as possible after their scheduled retention period ends. Records needed for legal or audit purposes beyond the recommended retention period will be maintained until cleared for destruction by the appropriate authority. i. A Certificate of Destruction must be completed by the DRC and submitted to the County Records Manager for approval before the destruction of Records. E. Records shall be destroyed in a cost effective manner as soon as practicable after their scheduled retention period ends. Records required for legal or audit purposes beyond the recommended retention shall be maintained until cleared by the appropriate authority before destruction. F.G. Records of a cConfidential Records nature shallmust be securely shredded beyondso that they cannot be reconstructed and used again. Non-confidential Records may be recycled according to the applicable Retention Schedule.replacement and use. Records of a non- confidential nature may be recycled. H. Electronic Records must be kept in proper electronic systems and be destroyed according to LAPR destruction policies and the applicable Records Retention Schedule as soon as possible after their scheduled retention period ends. Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Page 6 of 7 G. Electronic records, which shall be properly retained in acceptable electronic or other recordkeeping systems, must be completely destroyed in a cost effective manner as soon as practicable after their scheduled retention period ends. I. Permanent Records that are “born paper” (originally created on paper) must be preserved on acid-free paper or microfilm. Permanent Records that are “born digital” (originally created in a digital format) or “imaged” (represented visually using technology) must be preserved in a manner that makes sure they can always be accessed. i. If a Record is born paper and is NOT on a permanent Retention Schedule, and the retention period is less than 10 years, the Record can be thrown away after it has been successfully imaged. No approval is needed from the state. ii. If a Record is born paper and is NOT on a permanent Retention Schedule, and the retention period is 10 years or greater, the Record can be thrown away after it has been successfully scanned or imaged. Approval must be obtained from LAPR before imaging the Record. iii. If a Record is born paper and IS on a permanent Retention Schedule, then the department may digitally image and transfer the Permanent Record to the state via the LAPR transfer request form. H. Permanent records shall be maintained or preserved on acid-free paper or on microfilm. Permanent records which are “born digital” must be preserved in a manner that ensures their accessibility in perpetuity. I.J. Per A.R.S. § 41-151.16, Records of state agencies or political subdivisions may be microfilmed or electronically imaged only after approval has been granted by the LAPR. All requests are to be sent to the Information Governance Department for review. The Information Governance Department will coordinate the approval process with LAPR. records of state agencies or political subdivisions may be microfilmed or electronically imaged only after approval has been granted by the LAPR. K. Violation of this policy may result in disciplinary actions up to and including termination. VI. RESOURCES For assistance, contact the Information Governance Department InformationGovernance@maricopa.gov LAPR Certificate of Records Destruction https://azlibrary.gov/sites/default/files/rm_form_destruction.pdf LAPR Essential Records Listing https://azsos.libguides.com/c.php?g=1241074&p=9082801 LAPR General Retention Schedules Policy Title: RECORDS MANAGEMENT Policy Number: A2101 Current Adoption Date: 5/31/2019MM-DD- 2025 Page 7 of 7 https://apps.azlibrary.gov/records/general.aspx Revision History Version Revision Date Description of Revision 1 11-/1-/1991 Initial version. 2 09/-20/-2017 Policies A2101 through A2105 were compiled into one policy (A2101 Records Management) and a handbook on Records Management. 3 5/-31/-2019 Change definition of department records manager to department records coordinator to more accurately reflect duties and maintain consistency with other policies. 4 MM-DD-2025 Updated policy template, converted to BOS approved, transferred ownership from Office of Procurement Services to Information Governance, expanded definitions and responsibilities. (C#)