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 margie.pleggenkuhle@phoenix.govmargie.pleggenkuhle@phoenix.gov