CITY OF PHOENIX CITY OF PHOENIX
RECORDS MANAGEMENTRECORDS MANAGEMENTANDAND
E-PRIVACYE-PRIVACY
Margie PleggenkuhleMargie PleggenkuhleCity Clerk DepartmentCity Clerk Department
March 18, 2004March 18, 2004
PurposePurpose Records Management DefinedRecords Management Defined
- Retention - Retention - Disposition- Disposition
Public Records Law - BasicsPublic Records Law - Basics City of Phoenix PoliciesCity of Phoenix Policies
- Imaging Standards- Imaging Standards- E-Mail Policy- E-Mail Policy- E-Privacy Policy- E-Privacy Policy
What is a Record?What is a Record? Information made or received Information made or received
- In connection with transaction of- In connection with transaction of public businesspublic business- In pursuance of law- In pursuance of law
What is a Record?What is a Record? Information preserved or Information preserved or
appropriate for preservationappropriate for preservation- As evidence of the organization, - As evidence of the organization, functions, policies, decisions, functions, policies, decisions, procedures, operationsprocedures, operations
- As informational / historical value- As informational / historical value
““Regardless of Physical Regardless of Physical Form” Form”
Paper documentsPaper documents Scanned images / Web filesScanned images / Web files Electronic data / DatabasesElectronic data / Databases E-Mail / Word Processing DocumentsE-Mail / Word Processing Documents Microforms / MapsMicroforms / Maps Photographs / BooksPhotographs / Books Spreadsheets / CalendarsSpreadsheets / Calendars
WhatWhat is Records Management? is Records Management? System of controlling records System of controlling records
from creation through from creation through dispositiondisposition
Efficient and economical Efficient and economical management of information management of information during record’s lifeduring record’s life cycle cycle
Mandated by the StateMandated by the State Records “are property of State of Records “are property of State of
Arizona, not personal property, not Arizona, not personal property, not property of county/local government”property of county/local government”
Class 4 felony to destroy public Class 4 felony to destroy public records without lawful authorityrecords without lawful authority
Records retention schedules Records retention schedules approved by State become lawful approved by State become lawful authorization to retain/ destroy ALL authorization to retain/ destroy ALL records even electronic onesrecords even electronic ones
Any Felons Here?Any Felons Here? Public officer Public officer
imprisoned for imprisoned for four years, and four years, and levied a fine of levied a fine of up to $150,000up to $150,000
Public employee Public employee imprisoned 1.5 imprisoned 1.5 years and fine of years and fine of up to $150,000up to $150,000
A.R.S. 38-421A.R.S. 38-421
Why Retain Records?Why Retain Records? Provide evidence of the Provide evidence of the
organization’s functions, policies, organization’s functions, policies, decisions, operationsdecisions, operations
Preserve information with legal, Preserve information with legal, administrative, historical, fiscal, administrative, historical, fiscal, or informational valueor informational value
To maintain the public’s To maintain the public’s confidence in governmentconfidence in government
Retention RequirementsRetention Requirements Applies to information, not formatApplies to information, not format No difference No difference
- - If paperIf paper- If electronic- If electronic
Applications must have means of Applications must have means of deleting data as well as storing itdeleting data as well as storing it
Documents need expiration dateDocuments need expiration date
Reliability and LegalityReliability and Legality Record integrityRecord integrity
- Use in daily course of business- Use in daily course of business- Verify accuracy- Verify accuracy
Record securityRecord security- Processes in place to prevent - Processes in place to prevent corruptioncorruption
- Migrate accurately- Migrate accurately Must be able to certify accuracy for Must be able to certify accuracy for
admissibility in Courtadmissibility in Court
Disposition of RecordsDisposition of Records Retention based on value of Retention based on value of
informationinformation NOT based on “storage capability”NOT based on “storage capability” Determine retention requirementsDetermine retention requirements System needs capability of System needs capability of
dispositiondisposition E-Records are discoverableE-Records are discoverable E-Records are open to disclosureE-Records are open to disclosure
Public Records & Public Records & Other Other MattersMatters
Open to inspectionOpen to inspection By any personBy any person In the officeIn the office During office hoursDuring office hours
* Jessica Gifford Funkhouser * Jessica Gifford Funkhouser Special Counsel, AZ Attorney General’s Special Counsel, AZ Attorney General’s
OfficeOffice
What is a Public Record? What is a Public Record? If Law requires you to If Law requires you to createcreate it it If Law requires you to If Law requires you to receivereceive it it If not required, but received or If not required, but received or
created and created and related related to Official Dutiesto Official Duties
Public Record is Anything in Public Record is Anything in OfficeOffice
Created with government propertyCreated with government property On government timeOn government time Received as part of office workReceived as part of office work
Anything in OfficeAnything in Office If have copy, no originalIf have copy, no original
- Must produce copy- Must produce copy- Copy good as original for - Copy good as original for discoverydiscovery
Copy could be on computerCopy could be on computer Remember - E-Mail is like Remember - E-Mail is like
LETTER TO EDITORLETTER TO EDITOR
Duty to Protect RecordsDuty to Protect Records When to *When to *WithholdWithhold Records Records ConfidentialityConfidentiality Privacy Privacy Best Interests of StateBest Interests of State
If Confidential By LawIf Confidential By Law Address protected VotersAddress protected Voters Attorney-client privilegeAttorney-client privilege Sealed bids – up to certain pointSealed bids – up to certain point NegotiationsNegotiations Vital RecordsVital Records
**Examples - Jessica Gifford FunkhouserExamples - Jessica Gifford Funkhouser
Privacy ViolatedPrivacy Violated Social Security numbersSocial Security numbers Public employee’s home Public employee’s home
addressesaddresses Date of birthDate of birth AgeAge
**Examples - Jessica Gifford FunkhouserExamples - Jessica Gifford Funkhouser
Best Interests of StateBest Interests of State Includes cities & townsIncludes cities & towns Only if would Only if would jeopardizejeopardize an an
important public interestimportant public interest- Ongoing criminal investigation - Ongoing criminal investigation (not in every case)(not in every case)
- Budget for competitive bid - Budget for competitive bid projectproject
- Upper limit authorized for - Upper limit authorized for liability claim settlement offerliability claim settlement offer
**Examples - Jessica Gifford FunkhouserExamples - Jessica Gifford Funkhouser
Imaging StandardsImaging Standards Must ensure application appropriateMust ensure application appropriate Procedures to ensure integrity of recordsProcedures to ensure integrity of records Use standard formats (Open Use standard formats (Open
architecture)architecture) Must allocate funds for migrating Must allocate funds for migrating
documents (software/hardware)documents (software/hardware) Must be approved by StateMust be approved by State Imaging not meet long-term storage Imaging not meet long-term storage
requirementsrequirements
E-Mail PolicyE-Mail Policy E-Mail is public recordE-Mail is public record Retention is 1 monthRetention is 1 month E-Mail is automatically deletedE-Mail is automatically deleted Retention determined by contentRetention determined by content - - If content falls into record category, If content falls into record category,
retention of that category appliesretention of that category applies-- Must be moved to new file Must be moved to new file (electronic (electronic or hardcopy)or hardcopy)
E-Phoenix Privacy PolicyE-Phoenix Privacy Policy Committed to protecting online users’ Committed to protecting online users’
privacyprivacy Provides information gathered when Provides information gathered when
site visitedsite visited States how information usedStates how information used Whether information disclosedWhether information disclosed Provides choices regarding use of info Provides choices regarding use of info
E-Phoenix Privacy PolicyE-Phoenix Privacy PolicyImplementationImplementation
Standard policy for ALL web pagesStandard policy for ALL web pages Extended policy for web pages that collect Extended policy for web pages that collect
PII (Personally Identifying Information) PII (Personally Identifying Information) All web applications subject to extended All web applications subject to extended
privacy and retention policy featuresprivacy and retention policy features Appointed Privacy and Public Access Appointed Privacy and Public Access
OfficialOfficial Privacy Team for oversight and policyPrivacy Team for oversight and policy Monitor legislative efforts toward privacyMonitor legislative efforts toward privacy
Privacy
PublicRecordsRetention
Disclosure
MUSTACT
MUSTPROTECT
MAYVIOLATE
City of Phoenix Records City of Phoenix Records Management ProgramManagement Program
Questions?Questions? Contact: Contact: Margie PleggenkuhleMargie Pleggenkuhle City Clerk DepartmentCity Clerk Department
602-256-3186602-256-3186 [email protected]@phoenix.gov