Guidance and Related Resources

21st Century Records Management Checklist

This checklist is provided to help agencies in making an assessment of the status of their records management programs and in identifying major problems and setting priorities for program improvements regarding records creation, maintenance, and disposition policies and procedures.

Arizona Revised Statutes Pertaining to Public Records

Implementing File Plans Guidance

This document provides information about file plans, what they are and how to create one. Several examples are included for demonstration purposes. Records Officers should consider utilizing file plans to assist their organizations with managing their records.

Draft Model Assurance Statement
for Electronic Recordkeeping Systems

We are developing an assurance program to review agencies' electronic recordkeeping systems to ensure that archival records in those systems are maintained in a trustworthy manner. Agencies that want to keep their permanent records in an electronic format may be able to enter into an agreement with the Arizona State Library, Archives and Public Records that certifies that the agency will assure on an annual basis that they are following a prescribed methodology to maintain their permanent records. Their annual assurance statement must indicate that the records still exist in a useable format and are readily accessible.

Electronic Recordkeeping System Guidelines

The ERS Guidelines describe specifications for recordkeeping functionality that should be incorporated into any electronic recordkeeping system to ensure the records are accepted as evidence, well managed, and preserved, and that benefits are appropriate to the costs. These specifications are organized into three broad sections.

Specific functional requirements, including requirements for system administration, origin/creation of records, security and trustworthiness, access, maintenance and preservation, and disposal.
General requirements for recordkeeping, including trustworthiness, records management, legal requirements, business requirements, security requirements, administrative considerations, and human factors.
Background to help designers balance the compliance with the requirements with resources and value of the records.

Recordkeeping Requirements to Consider
When Developing a New System

This is a document of recordkeeping issues that agencies should think about when designing new systems. It asks questions about which recordkeeping functions should be incorporated into a new system.

For example:

How will the records be protected from unauthorized access?
Thought process:
Oh, yes, we need to be able to protect the information from unauthorized access.
Draft specification:
System must be able to ensure protection from unauthorized access.
How will the records be protected from unauthorized destruction?
Thought process:
Oh, yes, we need to be able to protect the information from unauthorized destruction.
Draft specification:
System must be able to ensure protection from unauthorized destruction.

Guidelines for Managing Public Records
Sent and Received Via Electronic Mail

This document provides guidelines for the management (creation, maintenance, access and use, and disposition) of e-mail messages in accordance with state and federal legal requirements. Public officials and other custodians of public records (hereafter referred to collectively as “agencies”) shall preserve and protect public records in accordance with these guidelines and to maintain documentation as evidence that these standards are being met. These guidelines apply to state and local government agencies and political subdivisions in the State of Arizona.

Managing Electronic Mail

This document provides more explicit detail on managing e-mail public records for the records manager. It discusses legal and retention requirements; best practices in filing messages, distribution lists, subject lines, sending confidential information, and storing and managing e-mail records, including permanent records; discovery and backup issues; access requirements; and defining responsibilities of agency personnel in the management of e-mail records.