Public Records Retention

Transcription

1 Public Records Retention State Certification Program FCEP II Florida State Association of Supervisors of Elections FSASE and Florida Institute of Government The Florida State University Instructor: Tim Few Florida Department of State

2 PARTICIPANT GUIDE Florida Certified Elections Professional Level II Public Records Retention Tim Few January , Florida State Association of Supervisors of Elections, Tallahassee, FL The John Scott Dailey Florida Institute of Government at Florida State University No part of this publication may be reproduced in any way without written permission. ALL RIGHTS RESERVED. Level 2 Florida Certified Elections Professional 1

3 Florida State Association of Supervisors of Elections Florida Certified Elections Professional The FSASE s certification program is a statewide collaborative effort with the Florida Institute of Government at Florida State University (FSU) that has produced a comprehensive, multi-level program for state certification for Supervisors of Elections and their staff. During FSASE s strategic planning process in August 2005, both the need and initial commitment for such a program were expressed. The FCEP Program has been honored with the 2015 Guardian Award by the Election Center and the 2016 Eagle Award by IACREOT, now IGO. Designed to address statewide conformity, consistency of practices, and voter confidence, the Florida Certified Elections Professional Program (FCEP) was initially coordinated through the Florida Institute of Government at Florida Gulf Coast University. Each of the 67 counties was contacted and included during the research phase in one or more of the following methodologies: focus groups, telephone interviews and an online survey. All resulting recommendations were channeled through FSASE s Education and Certification Committee. The program consists of a three-tiered system to professional certification (Florida Certified Elections Professional I, II, and III) comprised of classroom content, participant workbooks, application activities, shared best practices, and end-of-course assessments. In addition, three strands of specialization guided the selection of courses into the curriculum: Election Process and Law; Administrative Skills, Research and Technology; and Human Resource Relations (Talent Management). Course content is based on real-life, practical experience for Florida elections. There are a total of 33 courses. An overarching set of core values directs all course content. The values are as follows: 1. Apply the highest ethical standards, integrity, competencies and professionalism 2. Seek to continuously improve the election experience in Florida 3. Maintain transparency in relationships with citizens, colleagues, staff and other agencies 4. Communicate openly and honestly, inviting the free expression of ideas 5. Collaborate as a team acknowledging diverse roles and expertise 6. Strive for personal excellence and professional development through purposeful and continual learning Participants who have successfully completed all coursework achieve the Master Florida Certified Elections Professional (MFCEP) or Master Florida Certified Elections Vendor (MFCEV) designation, are recognized at a formal FSASE event, and awarded a plaque and pin. At the conclusion of the July 2017 classes, 115 have graduated and achieved the highest level of certification 113 MFCEP and 2 MFCEV. Level 2 Florida Certified Elections Professional 2

4 FCEP LEVEL II Public Records Retention Learner Objectives To identify key terms and definitions relating to record retention in election offices. To demonstrate knowledge about public records through a case study. To identify legal requirements involving privacy and the public s right to know. To share best practices. To create an action plan for at-home retention and disposition. Slides 1-5 Level 2 Florida Certified Elections Professional 3

5 Public Records Retention Agenda I. Overview and Introductions Notes II. What is Records Management III. Benefits of Records Management IV. Legal Mandates V. Identifying Public Records VI. Retention Requirements VII. Disposition Requirements VIII. Public Records Access VIII. End-of-course Quiz IX. Closure and Course Evaluation Slides 1-5 Level 2 Florida Certified Elections Professional 4

6 Public Records Retention Tim Few Florida Department of State January 24,

7 3 Agenda What Is Records Management? Benefits of Records Management Legal Mandates Identifying Public Records Retention Requirements Disposition Requirements Public Records Access Class Wrap-Up 4 2

8 Objectives Define records management and identify its benefits Describe the legal mandates governing public records in Florida Identify your agency s public records and vital records Use records retention schedules to identify record series and retention periods Identify how to document the disposition of records Identify records management policies each agency should have Identify public records that are open to inspection 5 What Is a Public Record? Public records are all materials, regardless of the physical form, made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency. Florida Statutes, (12), Definitions A public record is any material prepared in connection with official agency business which is intended to perpetuate, communicate, or formalize knowledge. Shevin v. Byron, Harless, Schaffer, Reid & Associates Inc., 379 So. 2d 633 (Fla. 1980) 6 3

9 Custodian of Public Records Custodian of public records means the elected or appointed state, county, or municipal officer charged with the responsibility of maintaining the office having public records, or his or her designee. Florida Statutes, Subsection (5) 7 What Is Records Management? Records management includes the planning, organizing, directing, controlling and other activities that are needed to effectively create, maintain, access and use an agency s records. Effective records management allows an agency to maintain and locate records from the time of creation/receipt to final disposition. 8 4

10 The Life Cycle of Records Creation Use Permanent retention Disposition Destruction Transfer to archives 9 Benefits of Records Management 10 5

11 Save Space Identifying, maintaining and disposing of records according to retention schedules saves space. On-site storage space Off-site storage space Electronic records storage 11 Find Records Faster Fewer lost or misfiled records Records are properly identified Easier to locate 12 6

12 Compliance With Retention Requirements Retention is based on legal, fiscal, administrative and historical values. Lower the risk of legal trouble Dispose of records when retention is met Prevent the premature destruction of records 13 Control Over the Creation of New Records Creating and maintaining records costs money Reduce the proliferation of unnecessary records Improve the effectiveness of necessary records 14 7

13 Protect Vital Records Also called essential records, mission-critical records or business-critical records Necessary for an agency s continued operations in the event of a disaster Loss of vital records can cost millions Identified during a records inventory 15 Save Money Less money spent on storage costs Average cost of on-site storage is over $85 per cubic foot annually Less money spent on filing cabinets and folders Less spent on electronic storage Money saved in staff time 16 8

14 Identification of Archival Records Identified through records management programs Once identified, archival records must be preserved and protected 17 Review What is records management? How can the practice of records management help you and your agency? 18 9

15 Legal Mandates 19 Florida Statutes, Chapter 119, Public Records Florida s Public Records Law Provides a definition of public record Dictates that records can only be disposed of according to retention schedules Establishes the right to inspect records unless there is an exemption or restriction 20 10

16 Florida Statutes, Chapter 257, Public Libraries and State Archives Authorizes the Division of Library and Information Services to oversee the records management functions of public agencies Specifies the records management responsibilities of public agencies, including: Creating a records management program Appointing a records management liaison officer 21 Bureau of Archives and Records Management Provides technical assistance to ensure compliance Offers records management training and consultation Evaluates public agency recordkeeping operations Establishes records retention schedules Operates the State Records Center 22 11

17 Public Agency Duties and Responsibilities Create and manage a records management program to economically and efficiently handle the agency s records Provide access to public records Appoint a Records Management Liaison Officer Submit an annual compliance statement Adhere to established retention schedules Document the disposition of public records 23 Records Management Liaison Officer Point of contact between an agency and the Division Duties may include: Coordinating the identification of agency s records Maintaining retention and disposition forms Ensuring appropriate disposition of records Coordinating staff training on records management Participating in decisions on microfilming, digital imaging, storing and disposing Contributing to agency s development of electronic recordkeeping systems Reporting annually agency s compliance with records management legal mandates Participating in the development of policies and procedures 24 12

18 Florida Administrative Code, Rule 1B-24, Public Records Scheduling and Disposition Establishes standards and procedures for the scheduling and disposition of public records Articulates that archival records must be identified and protected 25 Florida Administrative Code, 1B , Microfilm Standards Establishes standards for the microfilming of public records Outlines methods for photographing, processing, handling and storing microfilm 26 13

19 Florida Administrative Code, 1B , Electronic Recordkeeping Establishes standards for records maintained or created in electronic media form, including: Requirements for creating and maintaining scanned records Requirements for electronic recordkeeping systems 27 Common Elements of a Records Management Policy Introduction Definitions Agency authority and responsibility Inventory procedures Filing and storage Record copy designation Retention Disposition Legal holds Electronic records Social Media Public records requests/access From The Basics of Records Management: info.florida.gov/media/31105/basicsrecordsmanagement.pdf 28 14

20 Review What is a Records Management Liaison Officer? Which statute authorizes the Division of Library and Information Services to oversee the records management programs of public agencies in the state? 29 Identifying Public Records 30 15

21 Identifying Public Records Format is irrelevant when identifying public records. The CONTENT is what matters. 31 Meeting Minutes 32 16

22 Photographs of Agency Events 33 Voter Registration Information 34 17

23 Criminal Investigative Information 35 Personnel Files 36 18

24 Patient Medical Records 37 s as Public Record s are public record in some circumstances. We conclude that personal s are not made or received pursuant to law or ordinance or in connection with the transaction of official business and, therefore, do not fall within the definition of public records. State v. City of Clearwater, 863 So. 2d 149 (Fla. 2003) 38 19

25 Work-Related s 39 Personal s Hey, buddy, Sorry to you at work, but I lost your cell number. I m in town for a few days. Give me a call! John Morning! Again, sorry to catch you at work, but can we grab dinner some night this week? -John 40 20

26 Social Media Social media should be used for official business. If material posted on social media meets the definition of a public record, then it is a public record. AGO : myfloridalegal.com/ago.nsf/opinion s/25f14f90483f a2004 E46CB 41 Are These Public Records? Florida Statute books Blank forms Spreadsheet of monthly statistics Telephone books Calendar showing official daily appointments and meetings Office furniture Plat maps held by a property appraiser s office Correspondence Microfilmed copies of meeting minutes 42 21

27 Retention of Public Records 43 Retention of Public Records Subsection (6), Florida Statutes, states: A public record may be destroyed or otherwise disposed of only in accordance with retention schedules established by the division

28 Record Series A record series is a grouping of related public records that have common characteristics or relate to the same subject or activity. 45 Records Retention Schedule A records retention schedule describes a record series and sets a MINIMUM period of time that the records must be retained before final disposition

29 General Schedules General schedules establish retention periods for records common to all agencies or specific types of agencies. 47 General Schedules GS1-SL State and Local Government Agencies GS2 Law Enforcement, Correctional Facilities and District Medical Examiners GS3 Election Records GS4 Public Health Care Facilities and Providers GS5 Public Universities and Colleges GS7 Public Schools Pre-K-12 and Adult and Career Education GS8 Fire Department Records GS9 State Attorneys GS11 Clerks of Court Records (Only county administrative records) GS12 Property Appraisers GS13 Tax Collectors GS14 Public Utilities GS15 Public Libraries 48 24

30 How to Use the General Schedules 49 How to Use the General Schedules 50 25

31 Records Retention Schedule Record Series Title Description Retention Item Number PASSPORT RECORDS: DAILY Item #407 This record series consists of daily reports of persons applying for passports. Records may include such information as applicant s name, amount paid, and receipt number. The series may also include copies of transmittal records that are prepared and sent with completed applications when mailing to the Passport Agency. RETENTION: 5 fiscal years. 51 Records Retention Schedule Record Series Title Description Retention Item Number PASSPORT RECORDS: DAILY Item #407 This record series consists of daily reports of persons applying for passports. Records may include such information as applicant s name, amount paid, and receipt number. The series may also include copies of transmittal records that are prepared and sent with completed applications when mailing to the Passport Agency. RETENTION: 5 fiscal years

32 Records Retention Schedule Record Series Title Description Retention Item Number PASSPORT RECORDS: DAILY Item #407 This record series consists of daily reports of persons applying for passports. Records may include such information as applicant s name, amount paid, and receipt number. The series may also include copies of transmittal records that are prepared and sent with completed applications when mailing to the Passport Agency. RETENTION: 5 fiscal years. 53 Records Retention Schedule Record Series Title Description Retention Item Number PASSPORT RECORDS: DAILY Item #407 This record series consists of daily reports of persons applying for passports. Records may include such information as applicant s name, amount paid, and receipt number. The series may also include copies of transmittal records that are prepared and sent with completed applications when mailing to the Passport Agency. RETENTION: 5 fiscal years

33 Individual Schedules Created for records unique to particular agencies For records not covered in general schedules Before requesting an individual schedule: Review the general schedules Review your agency s individual schedules Check with your RMLO Contact the Division RMLO can submit a request form 55 Individual Schedule: Record Series Title Summarize form, function and/or subject Avoid abbreviations and agency-specific jargon Original Title Form DR Road Files Bob Smith s Files RMLO Appointment Files Revised Title Communications Services Use Tax Returns Highway Planning Maps Executive Director s Correspondence and Administrative Files Records Management Liaison Officer Appointment Files 56 28

34 Individual Schedule: Description Identify the purpose and use of the records Identify type(s) of information the records contain Include applicable legal citations Example: This record series documents the program. Records contained in this series may include, but are not limited to,. The retention is pursuant to Statute. 57 Individual Schedule: Purpose of the Record Series Administrative value Used in daily office operations or activities Legal value Used in litigation or subject to litigation Documents legal rights or responsibilities Fiscal value Documents financial transactions Subject to financial audit Subject to audit? Applicable laws, rules, statutes, ordinances, codes, etc

35 Individual Schedule: Recommended Retention Recommended by the agency Must meet administrative, legal and fiscal requirements 59 Individual Schedule: Review Process A records analyst: Reviews request information and recommended retention Researches similar established schedules for consistency Standardizes record series title and description Recommends a retention period An archivist reviews it for historical and archival value Request will be disapproved if the record series is covered by an existing schedule 60 30

36 Completing a Records Inventory At a minimum, an inventory should note: Record Series Title Description Inclusive Dates Volume Retention Vital Records 61 Inventory: Record Series Titles Avoid abbreviations and agency-specific jargon. Original Title Form DR Road Files Bob Smith s Files RMLO Appointment Files Revised Title Communications Services Use Tax Returns Highway Planning Maps Executive Director s Correspondence and Administrative Files Records Management Liaison Officer Appointment Files 62 31

37 Inventory: Description Identify: Purpose and use of the records Information the records contain Relevant statutes, laws or regulations 63 Inventory: Inclusive Dates List the earliest date through the latest date

38 Inventory: Inclusive Dates Monthly Report: June 1, 2015 Monthly Report: May 1, 2014 Monthly Report: Jan. 2, 2015 Monthly Report: Feb. 1, 2016 Monthly Report: Nov 1, Inventory: Volume Record volume in cubic feet Formula to calculate cubic foot volume of a container: Length x Width x Height (in inches) = Volume 1,728 Record number of bytes for electronic records (if known) 66 33

39 Inventory: Volume Converting Record Volume to Cubic Foot Measurements Cassette tapes, cubic foot Letter-size, drawer or box 1.5 cubic feet Legal-size, drawer or box 2.0 cubic feet Letter-size, 36-inch shelf 2.0 cubic feet Legal-size, 36-inch shelf 2.5 cubic feet Magnetic tapes, cubic foot 3 x 5 card, ten 12-inch rows 1.0 cubic foot 3 x 5 card, five 25-inch rows 1.0 cubic foot 4 x 6 card, six 12-inch rows 1.0 cubic foot 5 x 8 card, four 12-inch rows 1.0 cubic foot 16mm microfilm, 100 rolls 1.0 cubic foot 35mm microfilm, 50 rolls 1.0 cubic foot 67 Record Copy or Duplicate? Rule 1B (3)(j), Florida Administrative Code, states: Record (master) copy means public records specifically designated by the custodian as the official record. Not necessarily the original copy of the record 68 34

40 Inventory: Retention Check existing retention schedules RMLO can request an individual schedule if required 69 Review What are the inclusive dates of a group of records? Why should you identify your agency s vital records? 70 35

41 Calculating Retention 71 Types of Retention Periods OSA: Retain until Obsolete, Superseded or Administrative value is lost. Fiscal year: Most state agencies: July 1 through June 30 Most local agencies: October 1 through September 30 Calendar year: January 1 through December 31 Anniversary year: 12-month period from a particular event (birthday, marriage, separation of employment, etc.) 72 36

42 Triggering Events Records are eligible for disposition on or after a specific triggering event. Examples from GS1-SL: 2 fiscal years after expiration of permit Destroy immediately upon completion of transaction 5 fiscal years after final action 1 calendar year after completion of data collection or release of report, whichever is later 73 Calculating Eligibility Dates Fiscal Year Retention: State Agency Fiscal year: July 1 through June 30 Record dated April 1, Go to the end of the fiscal year of the last date: June 30, Count 1 full fiscal year: July 1, 2012 through June 30, The record is eligible for disposition: July 1,

43 State Agency: Fiscal Year GS1-SL Item #322 Records Management Compliance Statements Retention: 1 Fiscal Year Eligible for disposition on July 1, Calculating Eligibility Dates Fiscal Year Retention: Local Agency Fiscal year: October 1 through September 30 Record dated April 1, Go to the end of the fiscal year of the last date: September 30, Count 1 full fiscal year: October 1, 2012 through September 30, The record is eligible for disposition: October 1,

44 Local Agency: Fiscal Year GS1-SL Item #322 Records Management Compliance Statements Retention: 1 fiscal year Eligible for disposition on October 1, Calculating Eligibility Dates Calendar Year Retention Record dated April 1, Go to the end of the calendar year of the latest date: December 31, Count 1 full calendar year: January 1, 2013 through December 31, The record is eligible for disposition: January 1,

45 Any Agency: Calendar Year GS1-SL Item #224 Equipment/Vehicle Usage Records Retention: 1 calendar year Eligible for disposition on January 1, Calculating Eligibility Dates Anniversary Year Retention Count required number of years from exact ending date of records 80 40

46 Any Agency: Anniversary Year GS1-SL Item #89 Calendars Retention: 1 anniversary year Eligible for disposition on April 30, Reasons to Retain a Record Longer Active or anticipated litigation Audit pending Public records request within the last 30 days Administrative need to retain the record 82 41

47 Review What should you avoid when writing a record series title? What general schedule is used by every public agency in the state? What does the acronym OSA stand for? 83 Records Storage 84 42

48 Records Storage Long-term records have a retention period of over 10 years. Short-term records have a retention period shorter than 10 years. Archival records have permanent or enduring value. 85 Storage Considerations Away from windows Anchored, flame retardant metal shelving Bottom shelf 3-6 inches from the floor No food, beverages or potted plants No smoking Secure area 86 43

49 Long-Term and Archival Records Climate control Relative humidity: 40-50% Temperature: Lighting in stack area Max foot candles or lux 87 Active/Inactive Records Active records have continuing administrative, fiscal, legal or historical value that warrants storing them in an easily accessible location (i.e., keeping them in the office). Inactive records have lost some value or been superseded by new records, but their retention requirements have not been met. These records can be stored off-site until final disposition. These are sometimes referred to as semi-active records

50 Off-Site Storage Recommended for inactive records Save money and space Facility should be close enough for records to be retrieved efficiently 89 Photographic Reproductions Section 92.29, Florida Statutes, states: Photographic reproductions or reproductions through electronic recordkeeping systems shall in all cases and in all courts and places be admitted and received as evidence with a like force and effect as the original would be, whether the original record, document, paper, or instrument in writing or in an electronic recordkeeping system is in existence or not

51 Disposition of Public Records 91 Disposition of Records Per Rule 1B (9)(d), Florida Administrative Code, agencies must: Ensure that retention requirements are met Document each record series being disposed of Documentation is not required for OSA records unless they are part of a retrospective conversion project

52 Retrospective Conversion Project A retrospective conversion project is the bulk microfilming or scanning of existing backfiles to save storage space. Examples: Scanning paper records dating from 1960 to 1990 and then disposing of the paper copy Microfilming paper records dating from 1965 to 1985 and disposing of the paper copy Scanning microfilm records dating from 1975 to 1995 and then disposing of the microfilm copy It does not refer to day-to-day scanning of current items conducted as part of daily workflow. 93 Documenting Records Disposition Disposition documentation must note: 1. Schedule number 2. Item number 3. Record series title 4. Inclusive dates 5. Volume 6. Date and manner of destruction Download the Records Disposition Document: info.florida.gov/media/31064/records-disposition.pdf Or use any form of documentation that records the required information 94 47

53 Disposition: Schedule Number General Schedules: GS1-SL, GS3, etc. Individual Schedules: 95 Item Number and Record Series Title PASSPORT RECORDS: DAILY Item #407 This record series consists of daily reports of persons applying for passports. Records may include such information as applicant s name, amount paid, and receipt number. The series may also include copies of transmittal records that are prepared and sent with completed applications when mailing to the Passport Agency. RETENTION: 5 fiscal years

54 Earliest date through latest date for records being disposed of Latest date must fall within retention requirements Inclusive Dates 97 Disposition: Volume Per Rule 1B , Florida Administrative Code, agencies must document the volume of records disposed of in cubic feet for paper records. Cubic Foot Length Height Width 98 49

55 Date and Manner of Disposition Per Rule 1B-24, Florida Administrative Code: Disposition method must safeguard the interests of the state and the safety, security, and privacy of individuals. Disposition method must also prevent unauthorized access to or use of the information and ensure that the information cannot be practicably be read, reconstructed, or recovered. If it contains confidential or exempt information, DO NOT bury it. 99 Disposition Methods Paper: Incineration, pulping, shredding, macerating Water repellant paper should be shredded or burned Electronic: Physical destruction methods: incineration, crushing, shredding Degaussing, demagnetizing, high-level overwriting Other media (audio tapes, video tapes, photo film, etc.): Pulverizing, shredding, chemical decomposition/recycling When possible, recycling after destruction is encouraged

56 Automatic Purge/Deletion Cycles Records that are automatically deleted on an ongoing basis (e.g., surveillance recordings) Ensure retention requirements are met before deletion Disposition documentation can be completed periodically (e.g., monthly, every 6 months, annually) Documenting upcoming dispositions at the beginning of each period is recommended 101 Untimely Disposals Common Reasons: Natural disasters Poor storage Human error Manmade disasters

57 Review What unit of measure must be used when reporting the disposition of records? 103 Public Records Access

58 Public Records Access Every person who has custody of a public record shall permit the record to be inspected and copied by any person desiring to do so, at any reasonable time, under reasonable conditions, and under supervision by the custodian of the public records. Section (1)(a), Florida Statutes 105 Records Management Policy The public records access section should note: Procedures for handling public records requests Timeframes for responding to requests Methods of accepting payment Formulas for calculating extensive use The time period the agency considers extensive Procedures for protecting information that is confidential and/or exempt from disclosure Other related procedures

59 Exemptions Florida State Legislature creates exemptions Over 1,100 exemptions Per Section (8), Florida Statutes: Exemption means a provision of general law which provides that a specified record is not subject to the access requirements. 107 Confidential and Exempt Information deemed confidential is not open to public inspection and can only be released to the specific individuals outlined in that statute. Restrictions apply to confidential information of ALL individuals, not just those with an exemption

60 Exemptions May be subject to disclosure in certain circumstances: Exam question and answer sheets for professional licensing or employment Test-taker may review own exam and answers Active criminal investigative information In the furtherance of official duties or to aid an investigation (ss (2)2, Florida Statutes) 109 Occupational Exemptions Home addresses and personal information of certain public officers and employees: Law enforcement personnel Military servicemembers (serving after 9/11/01) Firefighters Judges State attorneys and state prosecutors Human resource officials Magistrates Public defenders County tax collectors And other occupations

61 Occupational Exemptions Additional exemptions extended to spouses and children of exempt personnel: Places of employment Names and locations of schools and day care facilities attended 111 Records Held by Another Agency An agency that is the custodian of the information and that is not the employer of the person specified shall maintain the exempt status of that information only if the person or employing agency of the designated employee submits a written request for maintenance of the exemption to the custodial agency. Subsection (4)(d)3, Florida Statutes

62 Exemption Requests Individual holds the burden to notify an agency (other than their employer) in writing that their records should be exempt from inspection Exemption request forms are usually located on agency websites dos.myflorida.com/offices/generalcounsel 113 Confidential Information Examples include: Social Security numbers Patient medical records Autopsy photographs and recordings Traffic crash reports (only confidential and exempt for 60 days after report is filed)

63 Protecting Exempt and/or Confidential Information If an exemption applies to part of a record, redact that portion and produce the remainder of the record for inspection and copying. Section (d)(1), Florida Statutes Redact any exempt and/or confidential information from the distributed copy (not the record copy). 115 Government-in-the-Sunshine Manual Published by Florida First Amendment Foundation floridafaf.org Notes exemptions and corresponding statutes myfloridalegal.com/sun.nsf/sunmanual

64 Public Records Requests Barring exemptions, public records are open for inspection and copying by any person, whether he or she be the most outstanding civic citizen or the most heinous criminal. Church of Scientology Flag Service Org. Inc. v. Wood, No CI-07 The requestor does not need to show a special or legitimate interest in the records. The motivation of the person seeking the records does not impact the person s right to see them. Curry v. State, 811 So. 2d 736, 742 (Fla. 4th DCA 2002) 117 Processing Requests A request does not need to be made in writing. No name is required. Per Subsection (1)(c), F.S. the custodian must: [A]cknowledge requests to inspect or copy records promptly and respond to such requests in good faith

65 Processing Requests The law does not specify a time period. Per Ch. 119, F.S., A good faith response includes making reasonable efforts to determine whether such a record exists and, if so, the location. The time period will vary based on: The nature/volume of the request The location of the records Whether there is exempt/confidential information that must be redacted The number of copies required 119 Processing Requests A request cannot be refused on the grounds that the records are also held at another agency. Agencies are not required to create a record that does not exist just to fulfill a request. Agencies are only required to provide a record in a format in which they maintain it

66 Processing Overbroad Requests An overbroad request is one that lacks specificity or involves a large volume of records. An agency cannot deny a request that is considered overbroad. Example: A person requesting ALL financial records can t be required to specify a particular year. 121 Redacted Information A statutory citation must be provided. The agency cannot impose its own restrictions on copying or access

67 Fees for Copies of Public Records Per Subsection (4), Florida Statutes: The custodian of public records shall furnish a copy or a certified copy of the record upon payment of the fee prescribed by law. 15 per one-sided copy, legal-size or smaller 20 per two-sided copy, legal-size or smaller $1.00 per certified copy Actual cost of duplication for other types of media 123 Extensive-Use Fees An agency may charge, in addition to the actual cost of duplication, a special service charge, which shall be reasonable and shall be based on the cost incurred for such extensive use. Section (4)(d), Florida Statutes Based on the salary of the lowest paid employee capable of doing the work Cost of employee benefits can be included Cannot include travel time

68 Payments and Deposits for Copy Fees Copies are provided upon payment of the fee prescribed by law. Section (1)(a), F.S. An agency can charge an advanced deposit prior to fulfilling a request (AGO ). 125 Inspection of Records Every person who has custody of a public record shall permit the record to be inspected and copied by any person desiring to do so, at any reasonable time, under reasonable conditions, and under supervision by the custodian of the public records. Subsection (1)(a), Florida Statutes An agency is not required to provide information from its public records (AGO 80-57)

69 Review Can an agency create its own restrictions on access? Can a request be denied for being too broad? What is the timeframe for responding to a public records request? 127 Violations and Penalties Any public officer who violates any provision of this chapter commits a noncriminal infraction, punishable by fine not exceeding $500. Florida Statutes (1)(a), Violation of chapter; penalties

70 Violations and Penalties Any person who willfully and knowingly violates any of the provisions of this chapter commits a misdemeanor of the first degree, punishable as provided in s or s Florida Statutes, (2)(a), Violation of chapter; penalties 129 Violations and Penalties Any public officer who knowingly violates the provisions of s (1) is subject to suspension and removal or impeachment and, in addition, commits a misdemeanor of the first degree, punishable as provided in s or s Florida Statutes (1)(b), Violation of chapter; penalties

71 Violations and Penalties A person who comes into possession of exempt or confidential information contained in police reports may not use that information for any commercial solicitation of the victims or relatives of the victims of the reported crimes or accidents and may not knowingly disclose such information to any third party for the purpose of such solicitation during the period of time that information remains exempt or confidential. Florida Statutes , Protection of victims of crimes or accidents 131 Violations and Penalties Any person who willfully and knowingly violates Section commits a felony of the third degree, punishable as provided in s , s , or s Florida Statutes (2)(b), Violation of chapter; penalties

72 Office of Open Government Charged with providing the Executive Office of the Governor and each of Florida s agencies with the guidance and tools to serve Florida with integrity and transparency flgov.com/open_government scottopengov@eog.myflorida.com Florida Attorney General s Office myfloridalegal.com Mediation Program

73 Florida Attorney General s Office 135 Annual Compliance Statement Rule 1B (11), F.A.C.: Each agency shall submit to the Division, once a year, a signed statement attesting to the agency s compliance with records management laws, rules, and procedures. Mailed out to agencies in November of each year Must be completed and returned by December

74 Section I: Compliance Certification 1. Identify whether the agency is in compliance. 2. Report cubic feet of records disposed of during the previous fiscal year: Use the sum of the volumes reported on disposition documentation. 3. Report whether electronic records were disposed of. 4. Indicate if assistance is requested. 137 Section I: Compliance Certification

75 Section II: Agency Information Indicate any changes in agency name, agency head or agency address. 139 Section III: RMLO Information Indicate any changes regarding the RMLO

76 Review A compliance statement should report the disposition of records during an agency s year. What is the deadline for returning an annual compliance statement? 141 Final Review What are the benefits of records management? What is Chapter 119 of the Florida Statutes? If an agency has a Twitter account, is the information posted there public record? What is the difference between an individual schedule and a general schedule? What is the difference between active and inactive records?

77 Final Review Why might a record need to be kept longer than the minimum retention period? How can an agency dispose of paper records? When documenting the disposition of records, what unit of measure must be used for paper records? What is the difference between exempt and confidential and exempt? 143 Records Management Resources info.florida.gov/records-management/

78 Resources: General Schedules info.florida.gov/records-management/general-records-schedules/ 145 Resources: DOS Publications info.florida.gov/records-management/forms-and-publications/

79 Records Management Program Contact Information Records Management: , Option 4 Records Management Training: rmtraining@dos.myflorida.com Amber Pepe: amber.pepe@dos.myflorida.com Tim Few: tim.few@dos.myflorida.com

80 Meet Your Instructor: Tim Few Public Records Retention FSASE FCEP II Tim Few is currently a Government Operations Consultant within the Records Management Training Section of the Bureau of Archives and Records Management, which is under the Florida Department of State. His career with the Department of State began in 1983 as an Archivist with the Florida State Archives. In 1987, Tim moved from the Archives to Records Management, which is also under the Department of State. Except for three years as a Local Government Archivist with the Utah State Archives and Records Service in the mid 1990 s, Tim has worked in the Records Management area for the State of Florida. Tim s current responsibilities entail providing records management training to public agencies throughout the state, including the supervisors of elections. His office is located in Tallahassee. Tim has a Master of Arts Degree in Historical Administration from Florida State University and a Bachelor of Arts Degree in History from Florida Southern College in Lakeland. Level 2 Florida Certified Elections Professional