The Clerk’s Records Management Function

1. The Clerk’s Records Management Function An Introduction to Records Management at the Clerk’s Office Fall 2013 edition

2. Overview of the Records Function • The Principals of Record Management • Requirements of the Clerk’s Office for records • Importance of Records Management • Public Records and Florida Statutes • Examples of Public Records • Clerk Responsibilities • Authority and Procedures • Florida Retention Schedules • Destruction of Records • Off Site Storage • Et al

3. Records Management • Records Management is an organized process of managing the information of a business entity. It is a function with many processes designed to preserve and protect information, while providing access to information generated on behalf of the organization. It includes the ultimate control and, if allowable, destruction of information, based upon the statutory requirements. • Records Management is critical to manage all facets of information, regardless of the media type ( paper, digital, film, etc.) on which the information resides. The RM function also ensures compliance to any number of regulatory bodies. • Compliant records management functions provide information about: • Records and information which are held in storage and accessible to users, • An awareness of where or on what device the “copy of record” is maintained, • The “chain of custody” is maintained through proper tracking mechanisms, • That, ultimately the record is purged, based on defined retention requirements that are consistently applied, or is maintained in a controlled environment to ensure permanence, if regulations require that to be so.

4. Basic Principles of Records Program- 1 • Accountability – • Affixes responsibility for the person who will oversee and be accountable for record keeping program. • This person will delegate program responsibilities to appropriate individuals; adopt policies and establish and enforce procedures to ensure integrity and preservation, and assure program compliance. • Holds business managers accountable for information governance , as well as records management principles, policies, and related costs.

5. Basic Principles of Records Program-2 • Integrity - Construct a program to allow that records generated for the organization have a reasonable guarantee of authenticity and reliability. • Identify technologies and processes that can provide reasonable guarantees of information integrity. The organization must define and classify the difference between official records and business information. • Protection - The program must ensure a reasonable level of protection to records and information that are confidential, privileged, or essential to business continuity. • Compliance - The program is established to comply with applicable laws, regulations, and organizational policies. The challenge for most organizations is to develop enforceable policies that speak to the records issues in the agency.

6. Basic Principles of a Records Program - 3 • Availability - The program maintains records to ensure timely, efficient, and accurate retrieval of information, to meet the needs of the end users. • Retention - Maintain records and other information for the required period, taking into account business, legal, regulatory, fiscal, operational, and historical requirements. • Disposition – The program provides for the disposition of records with no incremental business value or records that create liability for the business, as per the regulatory guidelines. • Transparency – The program must be implemented in a defensible, understandable, and efficient manner and be available to be executed by internal and external stakeholders. • Hybrid Nature- Organizations have some electronic information while moving from paper based systems. However, operating in a hybrid environment requires all media formats be effectively managed.

7. Records Management Program Functions • Provide compliance with State and Federal retention requirements • Enforce established records retention schedules • Provide consultation to user departments • Evaluate department recordkeeping processes • Develop and present education to user groups • Operate a records center/storage facility • Manage any off site storage relationships • Manage the regulated destruction of records • Provide records suspension, when necessary.

8. Clerk Responsibilities • The Clerk is the custodian of all records generated on behalf of the office. • The Clerk is responsible for all administrative records commonly created and/or maintained by the Clerks in each Florida town and county. • Florida State Schedule GS-11 Clerk of the Courts Jan. 2010 • Florida State Schedule GS-1 State and Local Government Agencies Nov. 2010

9. Statutory Responsibilities of the Clerk Each public official shall systematically dispose of records no longer needed, subject to the consent of the records and information management program of the [State Library and Archives of Florida] in accordance with F.S. 257.36. Section 119.021(2)(c), F.S.

10. What is a Record Series? “Record Series” means a group of related documents kept in a single organized arrangement or kept together as a unit, since they consist of the same form, relate to the same subject, result from the same activity, or have certain common characteristics. Florida Administrative Code Rule 1B-24.001(1)(k)

11. Records Life Cycle • Records Life Cycle • Each record has a life cycle, which includes • Creation of the record, whether on paper, on film or in electronic or digital format. • Access and storage of the record. • Disposal of the file based on the organization's records management policy. • Ultimately, destruction of the record, if appropriate.

12. Records Life Cycle Archive Use

13. The Roles of Records Management • Required Statutory/Fla. Supreme Court Requirements • Manage Risk of Litigation • Dispose of records when retention is met • Maintain permanent documentation of disposal, transfer, and destruction of all records. (Fl Form 107) • Quickly identify, hold, and provide records required for legal discovery. • Ensure the careful and effective destruction of records. • Improve Service to Stakeholders • Identify and retrieve records quickly • Protect confidential information

14. Primary Regulatory Documents Some Statutory and Judicial Guidelines for which the Clerk’s Office is required to comply: • GS1-SL for Florida State and Local Government Agencies • GS-11 for Florida Clerk’s of the Court • Rule 2.430Retention of Court Records, FL Rules of Judicial Admin. • Additional Federal groups: • *Homeland Security • *IRS • *INS • *State Department • *OSHA • *Labor Department *(see CFR–Code of Federal Regulations)

15. Basis for Authority • Florida Statute Chapter 257 • Establishes the Florida State Archives and Records Management Program under the direction of the Division of Library and Information Services, Department of State, which specifically provides for a system for the scheduling and disposition of public records.

16. More of the same • F.S. Chapter 257 • Authorizes the Division to establish and coordinate standards, procedures, and techniques for efficient and economical recordkeeping, and • Requires all agencies to appoint a Records Management Liaison Officer.

17. Additional Regulations • Rule 2.430. Retention of Court Records, FL ST Judicial Admin • Rule 2.440. Retention of Judicial Branch Administrative Records, FL ST Judicial Admin Rule • Chapter 119 Public Records • Chapter 257 • Rule 1B-26

18. Public Records in Florida • Florida Statute Chapter 119 defines the terms • “public records” • “custodian of public records” and • “agency” as well as • the fundamental process by which disposition of said records is authorized under State law. • It also cites exceptions to the public records law.

19. Chapter 119 Public Records • 119.01 General state policy on public records.— (1) It is the policy of this state that all state, county, and municipal records are open for personal inspection and copying by any person. Providing access to public records is a duty of each agency. • (2)(a) Automation of public records must not erode right of access to those records. As each agency increases its use of and dependence on electronic recordkeeping, each agency must provide reasonable public access to records electronically maintained and must ensure that exempt or confidential records are not disclosed except as permitted by law. • (c) An agency may not enter into a contract for the creation or maintenance of public records if that contract impairs the ability of the public to inspect or copy public records, including public records that are online or stored in an electronic recordkeeping system. • Note: this is a annotated version of the statute- NOT complete. 

20. Defining Public Records • "Public records" means all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of the physical form, characteristics, or means of transmission, made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency. Florida Statute Section 119.011(11)

21. Florida Supreme Court Interpretation of Public Records “…all materials made or received by an agency in connection with official business whichare used to perpetuate, communicate, or formalize knowledge. All such materials, regardless of whether they are in final form, are open for public inspection, unless the Legislature has exempted them from disclosure.”

22. Public Records also include • Photographs • Microfilm • Spreadsheets • Data tapes • Blueprints and Track Maps • Audio and visual tapes • Meeting transcripts • Digital video files (wmv, avi) • Digital audio files (wav, mp3) • Historical books and documents

23. These Are Not Public Records • Law books • Library books • Magazines • Newspaper clippings • Blank forms • Printed publications • Junk mail • Office supply catalogs • Telephone books

24. Retention Schedule Objective • A records retention schedule lists all records series of an organization, affixes ownership to the department that has custody of the record copy, and states the retention requirement for the record to be maintained. • A Records Retention Schedule, when approved by the Florida Department of State’s Bureau of Archives and Records Management, officially establishes the minimum length of time records must be retained. • Based on the Schedule format, there can be other information included about each record series, such as where the copy of record resides, on what system, if digital, and if there are special conditions (status or events) for a given record.

25. Use of State of Florida Schedules • All Florida public agencies are eligible to use the GS1-SL, which provides retention periods for the most common administrative records such as routine correspondence and • personnel, payroll, financial, and legal records. • The retention periods set forth in the general records schedules are based on federal and state laws and regulations, general administrative practices, and fiscal management principles. • The retention periods stated are minimum retention periods; public agencies may retain records longer at their discretion.

26. About the Record Center A Records Center manages records for the organization and services the users to include: • Agency Records • Administrative Records • Electronic Records • Historical Records • Records Occurring on Other Media

27. Holdings by the Records Center Currently, the Records Center contains: • 2.1 Million case files from the Courts area • 24,500 boxes of records and information • 3,000 historical books and ledgers that date back to 1845, when Hillsborough County began. • 104 Million images held on microfilm for Official Records

28. Records Center Function The staff at the Records Center perform a variety of tasks: • Receives records for storage from all user departments • Return requested documents to files stored at the Record Center • Deliver files to requestors • Perform destruction of records that have met their retention requirements • Train user departments • Acts as the official archive for the Clerk’s Office.

29. Off Site Storage Additionally, the Clerk’s Office manages the storage of millions of records at Iron Mountain in Pennsylvania (formerly called Underground Storage). This is done for protection and preservation of records.

30. What you need to know about off site storage • Each action is billable • Nothing happens “for free”. • Removal of records to close out off site accounts are often very expensive (hostage fees) • Best used for records that have virtually NO retrievals • Or, for items that are stored off site • for disaster mode avoidance.

31. What You Need from Your Users! • Place ONE OF A KIND records series in boxes. Do NOT allow mixing different types of records in one box!!! • Create clear and concise requests or procedures. • Check the System to ensure the records being requested, are available. • Ensure that the requested records are not in user areas or departments. • Put your returns in numerical sequence and separate them by year.

32. What Users Need to Know about Your Operation! • There are approximately 800 employees in the Clerk’s Office. • There are 11 ( count ‘em) people to service your requests in the Records Center! • Note: There are only8 hours in a day!

33. What We Get from You!

34. Requests Arriving at the Records Center Staff… feeling a bit overwhelmed!!!

35. PRINT TIMES 6:50 AM 9:30 AM 11:00 AM 1:30 PM 3:45 PM COURIER TIMES (MAILROOM COURIER PICK-UPS) PICK-UP: 7:00AM PICK-UP: 10:30 AM PICK-UP: 2:30 PM (RECORD CENTER COURIER) LEAVES: 8:30 AM PRINT & COURIER TIMES Schedule Example

36. Records Center Contacts • JoAnn Constantini - Director Ext. 7019 • David LaPeer, Manager, Ext. 4763 • Barbara Warren – Manager Ext. 4088 • Pamela Soto, Sr. Secretary, Ext. 4920 • Record Center Staff - Extension 4937

37. A Final Thought… • “Not having the information you need when you need it… leaves you wanting. • Not knowing where to look for that information… leaves you powerless. • In a society where information is king, none of us can afford that!”Lois Horowitz

38. Ok, Just One More…