HomeMy WebLinkAbout11-11-2003 Information for a Records Management Policy - Response7
BROWN, SALZMAN, WEISS & GARGANESE, P.A.
Attorneys at Law
Offices in Orlando, Kissimmee, Debra S. Babb-Nutcher
Usher L. Brown' Cocoa & Viera Jeffrey P. Buak°
Suzanne D'Agresta° John U. Biedenharn, Jr.
Anthony A. Garganese° Joseph E. Blitch
Gary S. Salzman* Douglas Lambert
John H. Ward' Katherine Latorre
Jeffrey S. Weiss Michelle A. Reddin
'Board Certified Civil Trial Lawyer
'Board Certified Business Litigation Lawyer
°Board Certified City, County & Local Government Law
November 11, 2003
Andrea Lorenzo-Luaces, CMC, City Clerk
City of Winter Springs
1126 East State Road 434
Winter Springs, Florida 32708-2799
Re: Information for a Records Management Policy - Response
City of Winter Springs - General
Our File No.: 1193
Dear Andrea:
Erin J. O'Leary
Of Counsel
CITY OF WINTER SPRINGS
CITY f iAl I_
This correspondence is in response to your request for information and legal opinions
regarding the retention and disposition of public records. We have responded to each of your
questions individually, and have attached hereto a copy of your memorandum, marked as
Attachment "A", for your convenience.
Form of records retained - written, photographic, or electronic.
A. is the City permitted to optically (electronically) image minutes, building plans,
blueprints, or other documents, or must it use microfilm (photographic)
technology?
1) The City has the discretion to determine how its records will be retained and
maintained. Records may be stored as originally created, they may be
photographed, or they may be converted to electronic format.
2) Should the City choose to retain and maintain its records in photographic or
electronic format, it must be sure to follow the standards and requirements for
such mediums provided in Chapter 1 B-26, Florida Administrative Code. We
have provided a copy of this Chapter, it is attached hereto as Attachment "B".
225 East Robinson Street, Suite 660 • P.O. Box 2873 •Orlando, Florida 32802-2873
Orlando (407) 425-9566 Fax (407) 425-9596 • Kissimmee (321) 402-0144 - Cocoa & Viera (866) 425-9566
Website: www.orlandolaw.net • Email: firm@orlandolaw.net
Andrea Lorenzo-Luaces, CMC, City Clerk
November 11, 2003
Page 2
3) Notwithstanding, the Bureau of Archives and Records Management has
indicated there are a few concerns with electronic storage of documents, the
theme of which is stability and longevity:
a) Compression and decompression of the stored record.
b) Image modification or enhancement.
c) Computer failure.
d) Degradation in the record.
The Bureau says most of these concerns can be overcome by complying with
the rules relating to electronic retention, having a strong policy in place, and
having procedures for the authentication through audits or written records of the
manipulation of the data. We have attached hereto as Attachment "C" the
Electronic Records and Records Management Practices handbook, prepared by
the Bureau of Archives and Records Management.
4) Determination of whether a record should be retained and maintained in
photographic vs. electronic format or both, will have to do with the type of record
it is. For instance, records which must be maintained in excess of ten (10)
years, which is the usual life -span of an electronic record without further copying,
probably should be saved in photographic format. But, if the record is one which
will be viewed and/or used often, the City may want it to be in electronic format
in lieu or in addition to the photographic for ease of access.
5) In light of the tandem goals of saving space but protecting right of access, we
don't believe the City would want to make an across the board determination of
photographic format over electronic format, or visa versa. If economics plays a
role in the decision, such that the City can only have one over the other, then it
would appear photographic would be preferable from a stability and longevity
perspective.
B. How should commercial plans and/or blueprints be stored, photographic or
electronic?
1) Generally, see the above discourse. Since the records need to be recorded
for the life of the structure, it seems photographic format would be more reliable
than electronic, but the access would not be as easy or as quick for the users of
the record. If possible, the City may want to provide both, having the record
copy in photographic format and the duplicate in electronic format.
C. Is the City required to inform the state of how it is storing, retaining and/or
maintaining its records?
Andrea Lorenzo-Luaces, CIVIC, City Clerk
November 11, 2003
Page 3
1) The City is not required to tell the state, nor will the state tell the City, how its
records will be stored. The City is required, however, to execute a compliance
certificate each year, certifying it is retaining and maintaining its records in
accordance with Florida statutes and regulations. So if the City utilizes
photographic and/or electronic mediums, the City certifies the process is in
compliance with Chapter 1 B-26, Florida Administrative Code.
D. If yes...
1) Not Applicable.
E. May minutes be disposed of once stored in photographic format? Should the
minutes be kept as a historical or archival record?
1) We agree, written or typed minutes and agendas of meetings may be
disposed of once the originals have been saved in photographic format.
2) Whether the original minutes should be kept for historical purposes is
determined by the historical significance of the record. The Bureau of Archives
and Records Management has identified a series of records which have potential
historical or archival value. Such records should be provided to the Bureau for
evaluation before disposal. Technical Assistance in determining archival value
can be obtained from the Bureau staff at (850) 487-2073. Additional record
series to be disposed of can be reviewed upon request as well.
F. Can the City dispose of records by a certified/bonded company?
1) We are aware of no requirement by either statute or rule which would require
the City to use a certified and/or bonded company for the disposal of records.
Therefore, there should be no reason the City could not use such a service. If
the City is using the service to make determinations relating to whether a record
is disposable, then the City should definitely use a certified and bonded
company.
G. How does the City perform a "cost -based -analysis" as required under Section
1 B-26.003, F.A.C.?
1) Please see Attachment "C" and we have attached hereto as Attachment "D"
The Basics of Records Management handbook prepared by the Bureau of
Archives and Records Management. These manuals will assist the City in
determining initially what types of records it has, and who is accessing these
records. Once this is determined then the City must consider the cost
associated with storing, retaining, and maintaining these records in photographic
and/or electronic formats.
Andrea Lorenzo-Luaces, CMC, City Clerk
November 11, 2003
Page 4
II. Handling of duplicate records.
A. Should the City use "Records Disposition Request" forms for the disposition of
record and duplicate records?
1) As of February 20, 2001, the submission or use of the "Records Disposition
Request" form is no longer required.
2) The Bureau recommends the use of the "Records Disposition Report", a copy
is attached hereto as Attachment "E". This report will be maintained by the
City and should indicate all records which have been disposed of since February
20, 2001.
3) It does not appear required that the City note the disposal of duplicate copies,
but as such should be retained until obsolete, superseded or administrative
value is lost, then it would appear a good practice to record such disposition.
B. How should duplicate records be disposed of?
1) We agree, duplicate records should be disposed of as record copies or
originals would be disposed of. Having a consistent policy helps to insure the
procedures are followed.
III. The retention of minutes, agendas, and supporting documents under the State's
General Records Schedules.
A. May the City retain only the supporting documents of the Planning & Zoning
Board, and not those of other advisory boards?
1) We are of the opinion that the General Records Schedule requires the City to
maintain, as a permanent record, all agendas, minutes, and/or transcriptions of
each and every City board or commission. Likewise, any supporting
documentation which is provided to or considered by the board or commission
must be retained for the period provided in the schedule. There does not appear
to be any leeway in this requirement for advisory boards.
B. How should the City handle the disposition of audio tapes which recorded a
board or commissions meeting, especially considering board members refer to
the tapes from time to time, indicating review of the meeting is possible.
1) The retention schedule is clear, audio tapes of proceedings before any board
or commission of the City may be disposed of after two (2) years of the adoption
of the meeting minutes. Of course this is a minimum retention schedule.
r
Andrea Lorenzo-Luaces, CIVIC, City Clerk
November 11, 2003
Page 5
2) No record, whether audio tape or not, should be disposed of before
determining that the required retention period has run, and that there is no
pending litigation related to the record and that there has been no public records
request related to the record in the preceding thirty (30) days. In addition to the
minimum retention period provided by the state, the City should consider if there
is a longer retention period due to certification or accreditation afforded the City.
For instance, the City enjoys a specific rating relating to fire response times, this
rating affects the insurance rates of all property owners within the City, if this
organization requires the retention of response records in excess of the states
minimum requirement, then the record should not be disposed of until the longer
time frame has run.
3) As for the board or commission members, education is key. Keeping board
members minimally apprized of retention schedules may help, so that visitors to
the boards or commission will not think the audio record will exist permanently.
For instance, reminding the board or commission that agendas and minutes are
permanent records, but that the audio tapes may be disposed of after a short
period may help to alleviate these misconceptions.
C. What does "applicable audits" refer to in the retention schedule relating to
supporting documents?
1) If the record supports an action to approve an audit, such as the City's annual
financial audit, then the retention time period would not necessarily begin with
the adoption of the meeting minutes, but may start later, if the audit is not issued
until after the adoption of the minutes. Conversely, if the record does not
support an audit, but some other City business or application, then the retention
period will begin solely upon the adoption of the meeting minutes.
2) It is also important to note that a record may be retained as two (2) or more
series of records. For instance, a record relating to the police department may
have a retention period under the General Schedule, but may also have a
retention under the Law Enforcement Schedule, where such occurrence arises,
the record should be retained for the longer period of time.
D. Retaining audio recordings as records of the meeting and as a supporting
document, which retention period does the City follow?
1) It is an important distinction for what purpose the audio tape is created. If the
tape was created for the purposes of recording the business of the meeting, then
the retention period is two (2) calendar years from the adoption of the minutes.
Andrea Lorenzo-Luaces, CIVIC, City Clerk
November 11, 2003
Page 6
2) Where the audio tapes was used to support the action before the City, such
as providing evidence or information to be considered and acted upon, then the
retention period is three (3) fiscal years.
3) It does not seem to us, that an audio tape would serve both purposes, but
should it, then the record should be retained for the longer period of time.
E. What types of meetings, are not official meetings under Chapter 286, F.S., and
which would require a one (1) year retention period?
1) We believe such a meeting would not be the City DRC, where the DRC is the
City Commission. Such meetings may include, however, ad hoc committees,
meetings of staff, meetings of staff with third parties. This is a catch all
provision, and each meeting should be looked at separately to see whether it
qualifies as a public meeting under Chapter 286.
We hope the foregoing is helpful to you. After you have had an opportunity to review
this information lets meet by telephone or in person to discuss any questions you may have and
to set a course for the establishment of a records management policy.
We are looking forward to working with you to complete the records policy.
Very truly yours,
JVey Buak
Assistant City Attorney
Enclosures.
Memorandum dated April 7, 2003
Chapter 1 B-26, F.A.C.
Electronic Records and Records Management Practices
The Basics of Records management
Records Disposition Report
cc: R. McLemore, City Manager (w/ attachments)
MEMORANDUM
TO: Ronald W. McLemore, City anage
FROM: Andrea Lorenzo-Luaces, CM ity Clerk
SUBJECT: Information For A Records Management Policy
DATE: April 7, 2003
During a discussion we had the other day regarding asking City Attorney Anthony A.
Garganese to put together a Records Management Policy, please consider the following
questions and the attached document as concerns that should be addressed in such a
written City Policy:
The following pertains to discussions and seminars I have had with representatives of the
State of Florida on the issue of Records Management:
A) There is no State requirement that any particular type of document must be
microfilmed, however they have and still sit that:
- Documents/plans/blueprints which have retention value of 10 years or greater should be
microfilmed
- Once Minutes and Building Plans/Blueprints are microfilmed, and the microfilmed copy
is deemed the "record copy," the paper (previous original) copy can be destroyed
- It has always been suggested that documents to be disposed of are dis osed of by a
certifi y ?
- Florida Administrative Code Chapter IB-26.0021 (4) (c) and Florida Administrative
Code Chapter IB-26.003 (3) (b) references a "cost benefit analysis shall be prepared..."
Question(s) for clarification/Possible items for inclusion in a City Policy:
1) Are we able to optically image Minutes/Building Plans/Blueprints or other
documents, or must they be microfilmed? Should we ever do both? Across -
the board for all items, should we only microfilm or only image documents?
2) What about commercial plans/blueprints which are to be retained for the
life of the structure?
3) Are we required to inform the State of our actions of microfilming
documents or imaging documents?
4) If yes, what is the best way to inform the State of our actions?
S) Since Minutes once microfilmed, can be disposed of, what is your
recommendation? Should they be disposed of, or should they be kept with the
City as a memento of history, or should they be given to a historical society?
I
Memorandum To t,ny Manager Ronald W. McLemore
April 7, 2003
Page 2 of 4
6) Can we still dispose of Minutes/Plans/Blueprints by a certified/bonded
company?
7) How do you recommend that the "cost benefit analysis" (noted under A)
above - which "shall" be done - be completed, and should it be done prior to
issuing an RFP?
B) A duplicate record is not required to be listed on "Records Disposition Request"
forms, and can be disposed of. The State has recommended that duplicate records should
be noted on "Records Disposition Request" forms, and then properly disposed of.
- If this procedure is not followed, and "Records Disposition Request" forms are not
completed, then quantities of "duplicate" documents will not be reported to the State.
(Note: Once a year, we are required to report the quantity of records disposed of, and of
course, the City could be audited at any time and all completed "Records Disposition
Request" forms could be reviewed for accuracy.)
Note: The State of Florida recommends that we follow the same procedures at all time,
especially in case we are audited.
Questions) for clarification/Possible items for inclusion in a City Policy:
1) Should "Records Disposition Request" forms be completed for both a
Record Copy and a Duplicate? For some "Duplicates., " The retention
values are usually noted with either a specific number of years or with the
wording "Retain until obsolete, superseded or administrative value is
lost. "
2) Whether or not a "Records Disposition Request" form is to be completed
for either a Record Copy or a Duplicate, should such documents be
properly disposed of, no matter what the retention value is noted (see
above) — which has been our normal procedure?
C) The following are excerpts from the State's General Records Schedules for Minutes
(and Agenda Items and Supporting Documents):
MINUTES: OFFICIAL MEETINGS
Item# 32
This record series consists of any information which is the official record of meetings as
defined in Florida Statutes Section 286.011(1) and (2); which may include transcriptions
and/or agenda. See also "MINUTES: OFFICIAL MEETINGS (HANDWRITTEN/ AUDIO/
VISUAL RECORDINGS)," "MINUTES: OFFICIAL MEETINGS (SUPPORTING
DOCUMENTS)," and/or "MINUTES: OTHER MEETINGS." These records may have
archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
l
Memorandum To —ity Manager Ronald W. McLemore
April 7, 2003
Page 3 of 4
MINUTES: OFFICIAL MEETINGS (HANDWRITTEN/ AUDIO/ VISUAL
RECORDINGS)
Item# 4
This record series consists of handwritten, audio and/or visual recordings of official
meetings as defined in s. 286.011(2), F.S. See also "MINUTES: OFFICIAL MEETINGS,"
and/or "MINUTES: OFFICIAL MEETINGS (SUPPORTING DOCUMENTS)."
RETENTION:
a) Record copy. 2 years after adoption of the official minutes.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MINUTES: OFFICIAL MEETINGS (SUPPORTING DOCUMENTS)
Item# 123
This record series consists of supporting documents for minutes and agendas generated by
official meetings. See also "MINUTES: OFFICIAL MEETINGS," "MINUTES: OFFICIAL
MEETINGS (HANDWRITTEN/ AUDIO/ VISUAL RECORDINGS)."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MINUTES: OTHER MEETINGS
Item# 33
This record series consists of minutes and all supporting documentation from meetings
which are not included in "MINUTES: OFFICIAL MEETINGS." These records may
have archival value.
RETENTION:
a) Record copy. 1 year.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Question(s) for clarification/Possible items for inclusion in a City Policy:
1) As noted above under #32, all Advisory Board/Committee Minutes would be
kept in some form as a permanent record; however, we are thinking that the
only Advisory Board/Committee files that should be kept are the Planning &
Zoning Boards supporting documents (above Item #123) — of which we would
image or microfilm them, then dispose of the paper copies and audio tapes —
and not keep any other Advisory Board/Committees supporting documents. Is
it acceptable to keep only one Advisory Board/Committees files, and not the
others?
2) Once the Minutes from the City Commission and any Advisory
Board/Committee Meeting is adopted, as noted under the above excerpt —
Item #4, then the audio tapes can be disposed of "2 years after adoption of the
Minutes. " Note: Often during a Meeting, a comment is made that one can
listen to the audio recording for the entire discussion; however, once the
audio tapes are destroyed, this will not be the case. What do you suggest? If
f )
Memorandum To u,ty Manager Ronald W. McLemore
April 7, 2003
Page 4 of 4
an audio tape can be disposed of, prior to doing this, should the audio tapes
be reviewed for any mention of something pertaining to a current lawsuit?
3) In relation to either City Commission or Advisory Board/Committee "record
copy" of supporting documents (#123) — how do we ensure that documents
can be disposed of with consideration of "provided applicable audits have
been released. (Note: The State referred us to our Attorney for this answer).
4) Items #4 and #123 (above) both reference "audio " recordings, but both
"record copy's " have a different retention definition - which one should we
comply with?
S) What kind of Meeting would #33 above pertain to? DRC Meetings?
Attachment
Message Page 1 of 1
f
Andrea Lorenzo-luaces
From: Joanne Dalka
Sent: Wednesday, April 02, 2003 3:56 PM
To: Andrea Lorenzo-luaces
Subject: Questions for Anthony regarding procedures needed.doc
Here is my list of questions
4/7/2003
Information Services Department
List of Questions for Anthony
➢ We need Official Written policies/procedures for the following:
■ Need guidelines for dealing with digital signatures
■ How long should email backup tapes be kept?
■ Voice mail — how to handle voice mail messages, how are transitory
messages to be handled; are there some messages that need to be kept?
If so, for how long? — This is a concern because our voice mail system
is limited to approximately 70 messages before it gets full.
■ Digital documents — all departments need to realize that they must
manage ALL their documents whether they reside on a City computer,
server, imaging system — regardless of their format or where they are
stored, those documents belong to a certain department and that
department needs to remember to destroy and manage those
documents as well as their paper documents. This includes email also.
➢ Are there any requirements for certain documents to be microfilmed? Or can
we image them and keep them on other media? My main concern is for
documents that have a lifetime retention or 100 year retention, etc.
➢ Need an official written policy with a list of questions to be asked to
determine whether or not:
■ an event can be placed on our web site in the events calendar
■ a web site link can be placed on our web site
C.Tocuments and Settings\aluaces\Local Settings\Temporary Internet Files\OLK3\Questions for Anthony
regarding procedures needed3.doc
CHAPTER 111-26 RECORDS MANAGEMENT - STANDARDS AND REQUIREMENTS
1B-26.0021 Microfilm Standards.
1B-26.003 Electronic Recordkeeping.
1B-26.0021 Microfilm Standards.
(1) Purpose. The purpose of this section is to provide standards for microfilming of public records to assure that the film,
photographing methods, processing, handling, and storage is in accordance with methods, procedures, and specifications designed
to protect and preserve such records on microfilm.
(2) Definitions. When used in this section the following terms and definitions apply:
(a) Permanent record - Any public record that has been determined by the Division of Library and Information Services to
have sufficient historical or other value to warrant its continued preservation. Each record series shall be considered on an
individual basis by the Division of Library and Information Services in making this decision. See Section 119.011(1), F.S., for a
definition of a public record.
(b) Long-term record - Any record that has an established retention period of more than 10 years.
(c) Medium -term record - Any record that has an established retention period of less than 10 years.
(d) Original microfilm - Camera microfilm whether produced by conventional source document or Computer Output
Microfilm (COM) methods, and regardless of emulsion or base.
(e) Silver original microfilm - Camera microfilm meeting the requirements of the American National Standards Institute
(ANSI) standards:
1. ANSI/IT9.6 - American National Standard for photography (film) - safety photographic film.
2. ANSI/NAPM IT9.1 - American National Standard for photography (film) - archival records, silver -gelatin type, with a base
of safety cellulose ester and polyester having silver -gelatin emulsion.
3. ANSI/IT9.10 - American National Standard for photography (film) - methods for determining curl.
4. ANSI/NAPM IT9.7 - American National Standard method for determining the brittleness of photographic films and papers.
American National Standards Institute (ANSI) standards may be obtained from the American National Standards Institute, Inc., 11
West 42nd Street, New York, N.Y. 10036.
(f) Duplicate microfilm - Second generation negative or positive microfilm meeting the requirements of American National
Standards Institute (ANSI) standards ANSI/NAPM IT9.1 referenced in paragraph (e) above, or:
1. ANSI/IT9.5 - American National Standard for photography (film) - ammonia -processed diazo films - specifications for
stability.
2. ANSI/IT9.12 - American National Standard for photography (film) - processed vesicular film - specifications for stability,
whether produced from an original negative or from an original positive.
(3) Standards for microfilming permanent and long-term public records:
(a) Arrangement and reproduction, general - The integrity of the original records shall be maintained by insuring that the
microfilmed copies are adequate substitutes for the original records and that they serve the purposes for which the original records
were created or maintained. To insure this:
1. The microfilm copies shall contain all significant record data shown on the originals;
2. The records on microfilm shall be arranged, identified, and indexed so that an individual document or component of records
can be located with reasonable facility;
3. The photographic densities on negative microfilm shall be at the lowest level commensurate with intended use. Where
possible, the delta densities on negative copies shall be as follows:
a. Background densities on negative -appearing camera microfilm. Gross background densities from 0.80 to 1.50 in clear -base,
negative appearing film are recommended depending on the type of original document and on the reduction. Groups 1 to 5 indicate
the density range at which these documents likely can be microfilmed successfully.
(I) Group 1. High -quality, high contrast printed books, periodicals and black typing. Density of 1.3 to 1.50.
(II) Group 2. Fine line originals, black opaque pencil writing and documents with small, high -contrast printing. Density of 1.15
to 1.40.
(III) Group 3. Pencil and ink drawings, faded printing and very small printing, such as the footnotes at the bottom of a printed
page. Density of 1.0 to 1.20.
(IV) Group 4. Low -contrast manuscripts and drawings; graph paper with pale, fine -colored lines; letters typed with a wom
ribbon; and poorly printed, faint documents. Density of 0.80 to 1.0.
(V) Group 5. Although not a general practice, some poor -contrast documents may require a background density of 0.70 to 0.85.
b. The base -plus -fog density of unexposed, processed, clear -base film shall not exceed 0.10. When a tinted base film is used,
the density will increase by 0.1 or 0.2, which must be added to the 0.10 value.
c. The ultimate density criteria are for the microfilm to be legible for its intended use, for example, reading, duplicating or
printing hardcopies, and for all images in a roll to be duplicated at the same duplicator exposure.
4. Resolution requirements are dependent upon the reduction ratio being utilized. The following is the recommended minimum
resolving power (line pairs per mm.) for each reduction ratio:
- 45
Reduction
Resolving Power
Ratio
(Lines pairs per mm.)
8:1
80
12:1
108
15:1
106
16:1
114
17:1
107
20:1
112
21.2:1
119
24:1
120
28:1
126
30:1
135
33.9:1
136
36:1
144
42.4:1
136
48:1
134
(b) Roll microfilm identification and arrangement.
1. The photographic images at the beginning of each roll of microfilm shall include:
a. Information identifying the agency and organization to which the records relate,
b. The title of the records,
c. The microfilm roll number,
d. The inclusive dates, names, or other data identifying the first and last records on the roll, and
e. Any indexes, registers, or other finding aids for the records on the roll.
2. If the microfilm is to be used in evidence, appropriate certifications are required at the beginning and end of each roll.
(c) Unit microfilm arrangement — microfilm systems employing unit microforms jackets, fiche, etc. shall be so designed that:
1. The resulting microfilm file is an accurate representation of the original records, and
2. Any indexes, registers, or other finding aids essential to the operation of the system are microfilmed and located in a readily
identifiable place with a collection of microfilmed records.
(d) Applicability of standards to Computer Output Microfilm — Computer Output Microfilm (COM) systems, which produce
original permanent and long term records on microfilm with no paper originals shall be designed so that the resulting microfilm
product meets applicable standards set forth in this section.
(e) Microfilm stock — permanent and long term records. The film used to make the original microfilm copies of permanent
records shall be safety -base permanent records film specified by the American National Standards Institute (ANSI) Standards set
forth in paragraph (2)(e). The film used to make the original microfilm copies of long term records shall be safety -base permanent
record film specified by the American National Standards Institute (ANSI) Standards set forth in paragraph (2)(e), unless a security
duplicate is made in accordance with ANSI Standard IT9.5, Ammonia Processed Diazo Films or IT9.12, Processed Vesicular Film,
paragraph (2Xf), and stored in accordance with paragraph (2)(i), permanent and long-term storage standards.
(f) Film processing — film used for microphotographic copies of permanent records shall be processed so that the residual
thiosulfate concentration will not exceed 0.14 micrograms per square centimeter. The test used for determining the concentration of
residual thiosulfate on processed film shall be those specified in American National Standards Institute (ANSI) standard IT9.17,
Standard for Photography (Chemicals) — Residual Thiosulfate and Other Chemicals in Films, Plates, and Papers — Determination
and Measurement.
(g) Microfilm use criteria — the following criteria shall be observed in using microfilm of permanent records:
1. Original microfilm of permanent and long term records shall not be used for reference purposes. Negative or positive
duplicates, such as silver, vesicular, or diazo of the original negatives shall be provided for reference use.
2. Adequate measures shall be taken to keep the original microfilm clean and unscratched.
(h) Standards for reels and containers — the following standards are to be observed in packaging silver original microfilm
copies of permanent and long term records. The standards shall also be applied to silver duplicate microfilm to assure maximum
protection against deterioration:
1. Microfilm stored in roll form shall be wound on cores or on reels of a type specified by American National Standards
Institute (ANSI) standard MS34, Standard for dimensions for 100-foot Reels for Processed 16mm and 35mm Microfilm. The
materials used for the cores and reels shall be non -corroding such as plastic compounds or non-ferrous metals. Steel reels shall be
used only if the reels are well protected by lacquer, enamel, tinning, or other corrosion -resistant finish. Plastics and lacquer that
might give off reactive fumes or exudations during storage shall not be used. If plastic materials are used, they shall be free of
peroxides.
- 46
2. Paper strips which have not been deacidified or rubber bands shall not be used for confining film on reels or cores. No
materials are to be used that shall ignite, decompose, or develop reactive fumes and vapors.
3. Closed containers made of inert materials such as metal or plastic of proven quality shall be used. The container shall be
sealed where needed to maintain prescribed humidity limits or to protect film against gases and impurities. If the temperature and
humidity controls are maintained as prescribed in subparagraph (i)2. below, and if there is good ventilation in the storage area, the
containers need not be sealed. Open containers, such as acid -free boxes or folding cartons, may be used only if it has been
determined by the manufacturer that the container material is acid free and will have no adverse effect on the film over long periods
of time.
(i) Permanent and long-term storage standards — The following standards are applicable to the storage of microfilm copies of
permanent and long-term records:
1. The microfilm is to be kept in a fire resistant vault or room. The storage area is not to be used as an office or working area.
No flammable materials shall be stored in the storage area. For full protection against exposure to fire and associated hazards, fire
resistive safes or insulated containers shall be placed within fire resistive vaults or rooms constructed in accordance with
recommendations of the National Fire Protection Association standard NFPA 232. A copy of the standard may be obtained by
writing to NFPA, 1 Batterymarch Park, P. O. Box 9 10 1, Quincy, Ma. 02269-9101.
2. The relative humidity and temperature of the storage vault or room shall be maintained at a constant level. Optimum levels
are below 21 Celsius for temperature and between 20% and 50% for humidity according to ANSI/NAPM IT9.11, 1993. Rapid
cycling and wide ranges of humidity or temperature shall be avoided and shall in no instance exceed plus or minus 5 percent
humidity or plus or minus 5 degrees E temperature in a 24-hour period. Where inactivity of the film permits, protection may be
increased by conditioning and sealing the film at a lower temperature. Moreover, a lower temperature can compensate for a higher
humidity, but the maximum humidity shall not exceed 50%. Film stored at humidities below 20 percent and temperatures below 21
degrees Celsius shall be sufficiently warmed and reconditioned before using to avoid damage in handling.
3. Air conditioning shall be kept under sufficient control to meet the standards for temperature and humidity as specified in 2.
above. Dehumidifiers employing inert desiccants may be used provided the humidifier is equipped with filters capable of removing
dust particles down to 0.3 micrograms per square centimeter in size and is controlled to maintain the relative humidity. Water trays
or saturated chemical solutions shall not be used to increase the humidity level because there is serious danger of over
humidification.
4. Silver -gelatin microfilm shall not be stored with other types of film in the same room or in rooms connected by ventilating
ducts because gases given off by the non -silver gelatin microfilm may damage or destroy the safety -film base.
0) Microfilm inspection — a number of different representative samples of film shall be inspected at 2 year intervals. If
deviation from recommended temperature and humidity has occurred, inspection shall be made at I year intervals. For each
biennial inspection, a different lot sample shall be chosen, allowing some overlapping of inspection to note any changes in
previously inspected samples. Guidelines as set forth in the National Bureau of Standards Handbook 96, Inspection of Processed
Photographic Record Films for Aging Blemishes shall be followed. If such inspections indicate the presence of blemishes, the
Division of Library and Information Services, Department of State, the Capitol, Tallahassee, Florida 32399-0250 shall be notified
within 30 days after the inspection is completed. Reports shall include the minimum of the following information:
1. Quantity of microfilm of permanent records on hand, that is, the number of rolls, microfiche, jackets, etc.,
2. Quantity of microfilm inspected,
3. Condition of the microfilm,
4. Corrective action required.
(4) Standards for filming medium -term public records.
(a) Records with a medium -term retention period of less than 10 years — Records to be retained less than 10 years may be
microfilmed in accordance with agency standards and requirements for the retention of the records, including the option of using
any film, processing system, or storage containers the agency may select.
(b) Storage standards for medium -term microfilm — Temperature and humidity of medium -term storage areas shall be
maintained in accordance with American National Standards Institute (ANSI) standard NAPM IT9.11. Walls and enclosures shall
be so designed to prevent moisture from condensing on surfaces when exterior temperatures are below the dew point. Inspection
and viewing of medium -term film may be done in the same area — separate work and storage areas need not be maintained, but
good housekeeping practices shall be followed. Separate storage rooms shall be maintained for films that release acid fumes.
(c) Cost benefit analysis — Before records with a retention period of less than 10 years are committed to microfilm, a cost
benefit analysis shall be prepared to insure that the project or system contemplated is cost effective.
Specific Authority 257.14, 257.36(7) FS. Law Implemented 25736(1) FS. History —New 12-22-86, Amended 2-7-96.
IB-26.003 Electronic Recordkeeping.
(1) PURPOSE. These rules provide standards for record (master) copies of public records which reside in electronic
recordkeeping systems. Recordkeeping requirements must be incorporated in the design and implementation of new systems and
enhancements to existing systems. Public records are those as defined by Section 119.011(1), F.S.
(2) AUTHORITY. The authority for the establishment of these rules is Sections 257.36(1) and (6)(c), F.S.
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(3) SCOPE.
(a)l. These rules are applicable to all agencies as defined by Section 119.011(2), F.S.
2. These rules establish minimum requirements for the creation, utilization, maintenance, retention, preservation, storage and
disposition of record (master) copies, regardless of the media.
3. Electronic records include numeric, graphic, sound, video, and textual information which is recorded or transmitted in
analog or digital form.
4. These rules apply to all electronic recordkeeping systems, including, but not limited to, microcomputers, minicomputers,
main-frame computers, and image recording systems (regardless of storage media) in network or stand-alone configurations.
(b) Before existing records are committed to an electronic recordkeeping system, the agency shall conduct a cost benefit
analysis to insure that the project or system contemplated is cost effective.
(c) Any electronic recordkeeping system not meeting the provisions of these rules may be utilized for long-term or permanent
records provided the record (master) copy is maintained or microfilmed in accordance with the provisions of Rule 1B-26.0021,
F.A.C., prior to disposition.
(4) INTENT. Electronic recordkeeping systems in use at the effective date of this rule, that are not in compliance with the
requirements of this rule, may be used until the systems are replaced or upgraded. New and upgraded electronic recordkeeping
systems created after the effective date of this rule shall comply with the requirements contained herein. The Department is aware
that it may not be possible to implement this rule in its entirety immediately upon its enactment, and it is not the intent by this rule
to disrupt existing recordkeeping practices provided that agencies make no further disposition of public records without approval of
the Division of Library and Information Services of the Department of State.
(5) DEFINITIONS. For the purpose of these rules:
(a) "Database" means an organized collection of automated information.
(b) "Database management system" means a set of software programs that controls the organization, storage and retrieval of
data (fields, records and files) in a database. It also controls the security and integrity of the database.
(c) "Data file" means related numeric, textual, sound, video, or graphic information that is organized in a prescribed form and
format.
(d) "Electronic record" means any information that is recorded in machine readable form.
(e) "Electronic recordkeeping system" means an automated information system for the organized collection, processing,
transmission, and dissemination of information in accordance with defined procedures.
(f) "System design" means the design of the nature and content of input, files, procedures, and output and their
interrelationships.
(g) "Permanent or Long-term records" means any public records which have an established retention period of more than 10
years. See Section 119.011(1), F.S., for the definition of a public record.
(h) "Record (master) copy" means public records specifically designated by the custodian as the official record.
(i) "Geographic information system" means a computer system for capturing, storing, checking, integrating, manipulating,
analyzing and displaying data related to positions on the Earth's surface.
0) "Open format" means a data format that is defined in complete detail and that allows transformation of the data to other
formats without loss of information. An open format may be either standards -based or proprietary.
(6) AGENCY DUTIES AND RESPONSIBILITIES. The head of each agency shall:
(a) Develop and implement a program for the management of electronic records.
(b) Ensure that all records are included within records retention schedules, either by being included within an applicable
General Records Schedule, or by developing and obtaining approval for a specific records retention schedule. Each record series
shall be considered on an individual basis by the Division of Library and Information Services in establishing this retention period.
See subsection 1B-24.001(3), F.A.C., for the definition of a record series.
(c) Integrate the management of electronic records with other records and information resources management programs of the
agency.
(d) Incorporate electronic records management objectives, responsibilities, and authorities in pertinent agency directives, or
rules, as applicable.
(e) Establish procedures for addressing records management requirements, including recordkeeping requirements and
disposition, before approving, recommending, adopting, or implementing new electronic recordkeeping systems or enhancements
to existing systems.
(f) Provide training for users of electronic recordkeeping systems in the operation, care, and handling of the equipment,
software, and media used in the system.
(g) Ensure that electronic recordkeeping systems meet state requirements for public access to records.
1. STANDARD. Each agency which maintains public records in an electronic recordkeeping system shall provide, to any
person making a request pursuant to Chapter 119, F.S., a copy of any data in such records which is not specifically exempt. Said
copy shall be on paper, disk, tape, optical disk, or any other electronic storage device or media requested by the person, if the
agency currently maintains the record in that form, or as otherwise required by Chapter 119, F.S. Except as otherwise provided by
state statute, the cost for providing a copy of such data shall be in accordance with the provisions of Sections 119.07(1)(a) and (b),
F.S.
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2. STANDARD. Except as otherwise provided by law, no agency shall enter into a contract with, or otherwise obligate itself
to, any person or entity if such contract or obligation impairs the right of the public under state law to inspect or copy the agency's
nonexempt public records existing on-line in, or stored on a device or media used in connection with, a computer system or optical
imaging system owned, leased or otherwise used by an agency in the course of its governmental functions.
3. STANDARD. Each agency shall ensure that current and proposed electronic recordkeeping systems adequately provide for
the rights of the public to access public records under Chapter 119, F.S.
4. STANDARD. In addition to ensuring that electronic recordkeeping systems meet requirements for public access to public
records, agencies shall ensure that procedures and controls maintain confidentiality for information which is exempt from public
disclosure.
(h) Develop and maintain documentation about electronic recordkeeping systems used by the agency to specify technical
characteristics necessary for reading or processing the records. Documentation for electronic records systems shall meet the
following standards:
1. STANDARD. Each agency shall identify all inputs and outputs of the system; define the organization and contents of the
files and records; define policies on access and use; define the purpose and function of the system; define update cycles or
conditions and rules for adding information to the system, changing information in it, or deleting information; and ensure the
timely, authorized disposition of the records in accordance with Chapter 1B-24, F.A.C.
2. STANDARD. Each agency shall specify the location and media in which electronic records are maintained to meet retention
requirements, establish and document security controls for the protection of the records, and maintain inventories of electronic
recordkeeping systems to facilitate disposition.
(7) DOCUMENTATION STANDARDS.
(a) STANDARD. Agencies shall maintain adequate and up-to-date technical documentation for each electronic recordkeeping
system. Documentation for electronic records systems shall be maintained in printed form, and should also be maintained in
computer -readable form to facilitate access to the records. The minimum documentation required is:
1. A narrative description of the system;
2. The physical and technical characteristics of the records, including a record layout or markup language that describes each
file or field including its name, size, starting or relative position, and description of the form of the data (such as alphabetic,
decimal, or numeric), or a data dictionary or the equivalent information associated with a database management system including a
description of the relationship between data elements in databases;
3. For information coming from geographic information systems, the physical and technical characteristics of the records must
be described including a data dictionary, a quality and accuracy report and a description of the graphic data structure, such as
recommended by the federal Spatial Data Transfer Standards; and
4. Any other technical information needed to read or process the records.
(8) CREATION AND USE OF ELECTRONIC RECORDS AS RECORD (MASTER) COPIES. Electronic recordkeeping
systems that maintain record (master) copies of public records on electronic media shall meet the following minimum
requirements:
(a)l . Provide a method for all authorized users of the system to retrieve desired records;
2. Provide an appropriate level of security to ensure the integrity of the records, in accordance with the requirements of Chapter
282, F.S. Security controls should include, at a minimum, physical and logical access controls, backup and recovery procedures,
and training for custodians and users. Automated methods for integrity checking should be incorporated in all systems that generate
and use official file copies of records. Hashing algorithms and digital signatures should be considered for all official file copies of
electronic records. The use of automated integrity controls, such as hashing algorithms and digital signatures, can reduce the need
for other security controls. Hashing algorithms used to protect the integrity of official file copies of records should meet the
requirements of US Federal Information Processing Standard Publication 180-1 (FIPS-PUB 180-1) (April 17, 1995) entitled
"Secure Hash Standard," which is hereby incorporated by reference, and made a part of this rule. This publication is available from
the National Technical Information Service (NTIS), 5285 Port Royal Road, U.S. Department of Commerce, Springfield, VA
22161, and at the Internet Uniform Resource Locator: http://www.itl.nist.gov/fipspubs/fipl80-l.htm. Agencies should also
consider using only validated implementations of hashing algorithms in cases where the data being protected are of great intrinsic
value or where the content and authenticity of the records are likely to be at issue in litigation.
3. Identify the open format or standard interchange format when necessary to permit the exchange of records on electronic
media between agency electronic recordkeeping systems using different software/operating systems and the conversion or
migration of records on electronic media from one system to another. For text records in the absence of other conversion
capabilities, the word processing or text creation system should be able to import and export files in the ASCII format as prescribed
by Federal Information Processing Standard Publication (FIPS PUB) Number 1-2; entitled Coded Character Sets — 7-Bit American
National Standard Code for Information Exchange (7-Bit ASCII) (1986, R2002), which is hereby incorporated by reference, and
made a part of this rule. This publication is available from the National Technical Information Service (NTIS), 5285 Port Royal
Road, U.S. Department of Commerce, Springfield, VA 22161; and
4. Provide for the disposition of the records including, when appropriate, transfer to the Florida State Archives.
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(b) STANDARD. Before a record (master) copy is created on an electronic recordkeeping system, the record shall be uniquely
identified to enable authorized personnel to retrieve, protect, and carry out the disposition of records in the system. Agencies shall
ensure that records maintained in such systems can be correlated with any existing related records on paper, microfilm, or other
media.
(9) LEGAL AUTHENTICATION. Agencies shall implement the following procedures to enhance the legal admissibility of
electronic records:
(a) Document that similar kinds of records generated and stored electronically are created by the same processes each time and
have a standardized retrieval approach.
(b) Substantiate that security procedures prevent unauthorized addition, modification, or deletion of a record and ensure
systems protection against such problems as power interruptions.
(c) Identify the electronic media on which records are stored throughout their life cycle, the maximum time span that records
remain on each storage media, and the official retention requirements as approved by the Division of Library and Information
Services.
(d) State agencies shall, and other agencies are encouraged to, establish and maintain integrity controls for record (master)
copies of electronic records in accordance with the requirements of Chapter 282, F.S.
(10) SELECTION OF ELECTRONIC RECORDS STORAGE MEDIA. For storing record (master) copies of electronic public
records throughout their life cycle, agencies shall select appropriate media and systems which meet the following requirements:
(a) Permit easy and accurate retrieval in a timely fashion;
(b) Retain the records in a usable format until their authorized disposition and, when appropriate, meet the requirements
necessary for transfer to the Florida State Archives.
(c) Obtain recording media only from vendors whose guarantee of 10 years or more of readability is based upon documented
accelerated aging tests which are linked to specific locations on the media.
(d) STANDARD. A scanning density with a minimum of 300 dots per inch is required for recording electronic records.
(e) STANDARD. Record (master) copies of digital images must be stored in accordance with the TIFF 6.0 specification (June
3, 1992), which is hereby incorporated by reference and made a part of this rule. This specification is available from the Aldus
Corporation, 411 First Avenue South, Seattle, WA 98104-2871. If use of a proprietary image format is unavoidable, the agency
must provide a gateway to lossless conversion to the TIFF 6.0 specification.
(f) The following factors are to be considered before selecting a storage media or converting from one media to another:
1. The authorized retention of the records as determined during the scheduling process;
2. The maintenance necessary to retain the records;
3. The cost of storing and retrieving the records;
4. The access time to retrieve stored records;
5. The portability of the medium (that is, selecting a medium that can be read by equipment offered by multiple
manufacturers); and
6. The ability to transfer the information from one medium to another, such as from optical disk to magnetic tape.
(11) MAINTENANCE OF ELECTRONIC RECORDS.
(a) STANDARD. Agencies shall maintain all long-term and permanent backup/security electronic recording media in a storage
facility, either on -site or off -site, with constant temperature (below 68 degrees Fahrenheit) and relative humidity (20 to 30 percent)
controls. Storage and handling of long-term and permanent records on magnetic tape shall conform to the standards contained in
Standard AES22-1997 "AES recommended practice for audio preservation and restoration — Storage and handling — Storage of
polyester -base magnetic tape," (1997) which is hereby incorporated by reference and made a part of this rule. This publication is
available from the Audio Engineering Society, Incorporated, 60 East 42nd Street, Room 2520, New York, New York, 10165-2520.
(b) STANDARD. Agencies shall annually read a statistical sample of all electronic media containing long-term or permanent
records to identify any loss of information and to discover and correct the cause of data loss.
(c) STANDARD. Agencies shall test all long-term or permanent electronic records at least every 10 years and verify that the
media are free of permanent errors.
(d) STANDARD. Agencies shall only rewind tapes immediately before use to restore proper tension. When tapes with extreme
cases of degradation are discovered, they should be rewound to avoid more permanent damage. Tapes shall be played continuously
from end to end to ensure even packing. Tapes shall be stored so that the tape is all on one reel or hub.
(e) STANDARD. Agencies shall prohibit smoking, eating, and drinking in areas where electronic records are created, stored,
used, or tested.
(f) STANDARD. External labels (or the equivalent automated management system) for electronic recording media used to
store long-term or permanent records shall provide unique identification for each storage media, including:
1. The name of the organizational unit responsible for the data;
2. System title, including the version number of the application;
3. Special security requirements or restrictions on access, if any; and
4. Software in use at the time of creation.
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(g) STANDARD. For each electronic records series, agencies shall maintain human readable information specifying the
metadata associated with the series, and technical documentation specifying recording methods, formats, languages, dependencies,
and schema sufficient to ensure continued access to, and intellectual control over, the series. Additionally, the following
information shall be maintained for each media used to store long-term or permanent electronic records:
1. File title;
2. Dates of creation;
3. Dates of coverage; and
4. Character code/software dependency.
(h) STANDARD. Electronic records shall not be stored closer than 2 meters from sources of magnetic fields, including
generators, elevators, transformers, loudspeakers, microphones, headphones, magnetic cabinet latches and magnetized tools.
(i) STANDARD. Electronic records on magnetic tape or disk shall not be stored in metal containers unless the metal is
non-magnetic. Storage containers shall be resistant to impact, dust intrusion and moisture. Compact disks shall be stored in hard
cases, and not in cardboard, paper or flimsy sleeves.
0) STANDARD. Agencies shall ensure that record (master) copies of electronic records are maintained by personnel properly
trained in the use and handling of the records and associated equipment.
(k) STANDARD. Agencies shall not use floppy disks, audio cassettes, or VHS -format video cassettes for the storage of record
(master) copies of long-term or permanent records. Long-term and permanent records on magnetic tape shall be stored on
polyester -based media. Agencies shall use only previously unrecorded videotape for original record (master) copies of long-term or
permanent video recordings. For long-term or permanent audio recordings of record (master) copies, agencies shall use only one
quarter inch open -reel tapes at three and three-quarters or seven and one half inches per second, full track, using professional
unrecorded polyester splice -free tape stock. For long term or permanent digital recordings of record (master) copies, agencies may
use open reel one-half inch tape reels recorded at 1600 or more bits -per -inch; 3480, 3490, or 3590-type tape cartridges; or compact
disk read -only -memory (CD-ROM) media.
(1) Agencies shall establish and adopt procedures for external labeling of the contents of diskettes, disks, tapes, or optical disks
so that all authorized users can identify and retrieve the stored information.
(m) Agencies shall convert storage media to provide compatibility with the agency's current hardware and software to ensure
that information is not lost due to changing technology or deterioration of storage media. Before conversion of information to
different media, agencies must determine that authorized disposition of the electronic records can be implemented after conversion.
Long-term or permanent electronic records stored on magnetic tape shall be transferred to new media as needed to prevent loss of
information due to changing technology or deterioration of storage media.
(n) Agencies shall back up electronic records on a regular basis to safeguard against the loss of information due to equipment
malfunctions or human error. Duplicate copies of long-term or permanent records shall be maintained in storage areas located in
buildings separate from the location of the records that have been copied.
(12) RETENTION OF ELECTRONIC RECORDS. Agencies shall establish policies and procedures to ensure that electronic
records and their documentation are retained as long as needed. These retention procedures shall include provisions for:
(a) STANDARD. Scheduling the retention and disposition of all electronic records, as well as related access documentation
and indexes, in accordance with the provisions of Chapter 1B-24, F.A.C.
(b) STANDARD. Transferring a copy of the electronic records and any related documentation and indexes to the Florida State
Archives at the time specified in the records retention schedule, if applicable. Transfer may take place at an earlier date if
convenient for both the agency and the Archives.
(c) STANDARD. Establishing procedures for regular recopying, reformatting, and other necessary maintenance to ensure the
retention and usability of the electronic records throughout their authorized life cycle.
(13) DESTRUCTION OF ELECTRONIC RECORDS. Electronic records may be destroyed only in accordance with the
provision of Chapter 1B-24, F.A.C. At a minimum each agency should ensure that:
(a) Electronic records scheduled for destruction must be disposed of in a manner that ensures protection of any sensitive,
proprietary, or security information, and;
(b) Recording media previously used for electronic records containing sensitive, proprietary, or security information are not
reused if the previously recorded information can be compromised in any way by reuse.
Specific Authority 257.14, 257.36(7) FS. Law Implemented 257.36(1)(a) FS. History —New 8-16-92, Amended 5-13-03.
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P
State of Florida
ELECTRONIC RECORDS
AND
RECORDS MANAGEMENT PRACTICES
February 1996
Florida Department of State
Division of Library and Information Services
Bureau of Archives and Records Management
The Capitol
Tallahassee, Florida 32399-0250
(850)487-2180 Suncom 277-2180
CONTENTS
INTRODUCTION..............................................................................................1
I. RECORDKEEPING REQUIREMENTS.....................................................2
A. What are Electronic Records?................................................................................................3
B. Legal Considerations for Electronic Records..........................................................................3
C. Issues and Concerns About Electronic Imaging Technology...................................................4
U. MANAGEMENT ROLES AND RESPONSIBILITIES........!......................7
A. Records Custodians................................................................................................................7
B. Information Technology Specialist.........................................................................................7
C. Records Manager...................................................................................................................8
III. ORGANIZING AND CONTROLLING ELECTRONIC RECORDS ......... 9
A. Developing Directory Structures.............................................................................................9
B. Defining Master Copy, Duplicate and Intermediate Records..................................................10
IV. E-MAIL AS A PUBLIC RECORD..............................................................12
A. Purpose.................................................................................................................................12
B. Creation and Use of Electronic Mail......................................................................................12
C. Retention and Disposition of Electronic Mail......................................................................... 13
V. MAINTENANCE AND USE OF ELECTRONIC RECORDS....................15
A. Labeling and Indexing Electronic Records.............................................................................15
B. Backup and Off-line Storage Procedures................................................................................15
C. Electronic Media Care...........................................................................................................17
VI. DISPOSITION OF ELECTRONIC RECORDS.........................................18
A. Inventorying Electronic Records...........................................................................................18
B. Applying General Records Schedules....................................................................................19
C. Individual Records Schedules................................................................................................20
D. Obtaining Disposal Authorization.........................................................................................21
VII. FOR MORE INFORMATION....................................................................22
APPENDIX "A" - Attorney General Opinion 85-87............................................................23
APPENDIX "B" - Rule 1B-24, Florida Administrative Code.............................................27
APPENDIX "C" - Rule 1B-2G.003, Florida Administrative Code.......................................30
APPENDIX "D" - Section 92.29, Florida Statutes.............................................................34
ELECTRONIC RECORDS:
RECORDS MANAGEMENT PRACTICES
INTRODUCTION
Chapter 119.011(1), Florida Statutes states that "'Public records' means all documents. papers. letters,
maps, books, tapes, photographs, films, sound recordings, data processing software. or other material,
regardless of 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.' The statutory
definition has been interpreted by the Florida Supreme Court to mean "any material prepared in
connection with official agency business which is intended to perpetuate, communicate, or formalize
knowledge of some type," and has been found to include "all of the information stored on a computer."
Electronic, or machine readable. records are those records in an electronic data format which must be read
and processed by a computer for human understanding and which satisfy the legal definition of a "public
record."
At the most basic level, electronic records consists of binary digits (bits) that represent all data as some
combination of ones and zeros. Standard code sets translate the bits into "alphabets' that computers can
read. The two most common alphabets are: the American Standard Code for Information Interchange
(ASCII) and the Extended Binary Coded Decimal Interchange Code (EBCDIC).
Electronic records may include "data files" and "databases", machine readable indexes, word processing
files. electronic spreadsheets. electronic mail and electronic messages, as well as other text or numeric
information. Electronic recordkeeping involves the use of a computer to create. store. retrieve. analyze.
transmit or delete records.
This handbook is addressed to the creators and users of electronic records. Information Resource
Managers. electronic data processing staff and agency records managers. The guidance in this handbook
applies to all electronic records systems. whether on micro-, mini-. or mainframe computers. in networked
or stand-alone configurations as well as electronic records which are parts of automated information
systems. It does not deal with data which is created in electronic form as "tools" used to create the final
intended product that represents final evidence of the knowledge to be recorded. "Intermediate Files
also known as processing files, are relatively temporary machine-readable files used to create, correct.
reorganize. update, or derive output from master data files. Intermediate files constitute mere precursors
of records and are not, in themselves, intended as final evidence of the knowledge to be recorded.
Intermediate files only exist provided a final product is generated which is intended to perpetuate,
communicate, or formalize knowledge. In the absence of a final product so described, processing files
constitute final evidence of the knowledge to be recorded and must not be construed as intermediate files
for the purposes of scheduling and dispositioning. It should be noted that Attorney General Opinion 85-
87 states that machine-readable intermediate files are not public records within the meaning of Chapters
119 and 257 (formerly 267). Florida Statutes. (See appendix "A" for further information on
"Intermediate" files.)
This handbook emphasizes the crucial role of records maintenance and disposition in managing electronic
records. Special attention is devoted to the disposition of electronic records with emphasis placed upon
the inventory process, the application of Records Retention Schedules and General Records Schedules to
electronic records and the final disposition of electronic records.
I. RECORDKEEPING REQUIREMENTS
Automated information systems involve creating, utilizing, maintaining, altering. and deleting data. The
procedures for controlling data input. accessing and for updating and deleting data must be detennined as
a part of the system design. They are determined primarily by the ongoing needs for the conduct of
current and future business. During the system design phase, the agency needs to decide whether any of
the data may have value for purposes not previously identified. If so, the agency must define the nature
and duration of such needs and adjust the system design accordingly. This is the basis for establishing
recordkeeping requirements.
Establishing recordkeeping requirements for an information system requires that each agency develop and
maintain documentation about electronic records systems used by the agency to specify technical
characteristics necessary for reading or processing the records. Each agency must develop documentation
which shall identify all inputs and outputs of the system; define the contents of the files and records:
define policies on access and use: define the purpose and function of the system. define update cycles or
conditions and rules for adding information to the system, changing information in the system. or deleting
information; and ensure the timely authorized disposition of the records in accordance with Chapter 1 B-
24. Florida Administrative Code (see appendix "B"). Agencies should maintain adequate and up-to-date
technical documentation for each electronic records system. The minimum documentation required is: a
narrative description of the system. the physical and technical characteristics of the records. including a
record layout that describes each field including its name, size, starting or relative position, and
description of the form of the data (such as alphabetic, decimal, or numeric), or a data dictionary or the
equivalent information associated with a database management system including a description of the
relationship between data elements in data bases; for information coming from geographic information
systems, the physical and technical characteristics of the records must be described including a data
dictionary. a quality and accuracy report and a description of the graphic data structure. such as
recommended by the federal Spatial Data Transfer Standards: and any other technical information needed
to read or process the records. Full, accurate and current documentation of both the system and the data
must be maintained until the information system is of no further value.
The information needed to establish recordkeeping requirements and retention requirements for records
can also serve as a catalyst for answering many management questions that should be addressed when
designing or updating an electronic information system. such as:
• What is the system's purpose? Does it serve different purposes for different users'? Do the different
purposes reflect different needs for retained data?
• What inputs are needed and how long should they be retained? Are they needed for legal or audit
purposes?
• How long does information need to be kept on line? Are on-line retention requirements directly
indicated onto unit records or data sets?
• If the agency no longer needs data on line. does it need to retain it off line and for how long and in
what format?
• Can requirements for retention and disposition of data be integrated with system design and
operations, for example, with update procedures. regular backup operations, creation of history files.
subset files, and public use data sets?
• What will be done with the reports, either on paper or computer output microfilm (COM), generated
by the system?
• Are multiple copies of the data needed? If so, in what format and media? In what locations? Do all
media need to be maintained for the same length of time? What will happen to the different media.
and when? Hoy will the integrity and authority of the data be ensured?
• Is the infornumion in the system part of the agency's vital records program'? If so, what provisions
must be made to ensure availability of the information in emergency situations.
Who is responsible for maintaining up-to-date, authoritative documentation of the system and the
data it contains? Where will the documentation be maintained?
Which medium containing the data must be given special care to ensure data preservation for long-
term operational needs or for archival purposes?
A hafare* fectronc Reccrts�
The primary consideration when establishing recordkeeping requirements for electronic records
is: What is an electronic record? Chapter 119. Florida Statutes provides a definition of "public
records" and further interpretation has been rendered by the Florida Supreme Court. Therefore,
anv electronically recorded data which is: (1) made or received pursuant to law or ordinance or in
connection with the transaction of official business, or (2) any material prepared in connection
with official agency business which is intended to perpetuate, communicate or formalize
knowledge of some type constitutes a public record.
Clearly, this criteria includes the information contained in automated "information systems" as
defined by Chapter 1B-26.003. Florida Administrative Code (see appendix "C"). This rule
defines information systems as "the organized collection, processing, transmission. and
dissemination of information in accordance with defined procedures. whether automated or
manual." These procedures are established by the agency. not individual employees, in order to
ensure the creation and preservation of information related to official government business.
It is also essential to emphasize that all components of electronic information systems are
records: inputs. outputs. digital data stored in a variety of ways, and the related documentation.
Determining the retention requirements of these different record components of an information
system is an essential recordkeeping requirement that the inventory and records scheduling
process fulfills.
The introduction of office automation products, particularly word processing equipment, and the
widespread distribution of microcomputers have raised the most difficult questions regarding
record status. Each agency should establish a policy that provides guidance to all employees
about hoer the record information created on office automation equipment will be maintained.
Policies should also be developed relative to the personal use of these systems and the
maintenance of information within the system.
In most cases, the record status of electronic data should be apparent. When evaluating the
occasional doubtful situation, the safest course is to regard it as a record and proceed accordingly.
Staff of the Bureau of Archives and Records Management are available to advise about the record
status of electronic information, but the final administrative decision rests with the record
custodian.
8. Legal Considerations far>Electronic Records
When effective recordkeeping requirements are implemented, electronic records pose no greater
legal problems than do paper or imicrophotographic records, unless there are specific statutory or
regulatory requirements for paper records. Chapter 92.29, Florida Statutes provides the basis for
admitting all types of records, including computer records. into evidence (see appendix "D").
This section specifically refers to reproductions through electronic recordkeeping systems which
are made by any agency of government in the regular course of business of any original record in
an electronic recordkeeping system which is made, filed or recorded with that agency.
The authentication and identification of computer systems is critical to determining the
trustworthiness of the electronic information. Only through a process of written procedures.
training. and audit can an organization be certain that records produced or maintained by
electronic recordkeeping systems will be admitted in evidence.
Electronic information can be added to, deleted. or modified, generally, without a trace.
Questions may arise about the integrity of the information. The agency will then be responsible
for clearly demonstrating that the electronic information is accurate and can be relied upon as
evidence.
As part of the documentation of the electronic recordkeeping system. it is necessary to maintain
information about the operation of the hardware, the versions of computer software used.
auditing performed to verify the validity of data. and other records to indicate that the system
operates properly and no deceptive practices are followed.
Ensuring the accuracy of electronic records is essential. Electronic records must meet a higher
standard of accuracy than ordinary paper records. especially since data can be readily altered. In
order to ensure the accuracy of the electronic records. it is necessary to be able to document the
following:
• Reliability of Equipment. Because equipment which is not functioning properly can alter the content
of electronic information. the agency may be required to present evidence that the equipment operated
reliably the da_v the electronic record was prepared. A log of computer operations indicating the
absence of anv malfunction should be adequate for this purpose.
• Integrity of Data Entry. Computer errors often result from mistakes made during the entry of data.
Accuracy is enhanced by verifying or proofreading the data following entry into the system.
• Methods Used to Prevent Loss of Data. The reliability of electronic records is enhanced if an accurate
audit trail traces the steps followed in processing the data and the methods used to prevent loss of
data.
• Reliabilit of Computer Programs. Errors in electronic records can result from errors in the computer
programs. It may be necessary to present evidence about the development and testing of the
programs. It may also be necessary to present the specific version of the computer program used to
process the data on the date the information entered into evidence was created.
If the only record is electronic, agencies should ensure that procedures arc established and followed so that
(1) the date of the record can be determined. (2) the date of any alterations will be automatically recorded
by the system. and (3) it will be evident that the document was authorized to be issued ("signed") by an
appropriate agency official. If these steps are not taken. the trustworthiness of ti►e record could be
questioned, and the record could be refused as evidence. It is suggested that you contact your agency's
legal counsel for more specific advice.
C. Issues and Concerns About ElOctronlc Imaging Technology
To determine the impact of existing laws on this technology, the problems which might create legal
obstacles to its use should be anticipated. These are the same issues which should be dealt with in
designing an electronic recordkeeping system, even after the legality of the technology has been
established.
Ordinarily. scanners detect a minimum of 200 to 300 dots per inch (DPI) across a page. While this
resolution is adequate to fully reproduce the image, it means that some dots from the original do not
appear in the electronically recorded duplicate. While this may seem to be a major obstacle. other
technologies such as microfilm or other duplication methods also fail to reproduce even- dot
contained in the original, but generally reproduce enough so that the image appears complete and
readable. In fact, the quality of a digitized image may sometimes exceed the quality of a microfilm
image or the original image.
Although the transformation of information from the original document to an image on to optical
media may suffice for legal acceptance, most systems do not store the image in teens of a series of
"electronic dots". Instead. after scanning, the image is compressed by any number of techniques used
to pack more data into the saute number of data blocks. Besides reducing storage requirements.
compression also enables the image to be transmitted to terminals or remote locations much faster.
The compressed version of the image can then be reconverted back into the dot version by applying
the appropriate decompression algorithm.
Although the stored version of the image will have been electronically compressed and cease to have
the same attributes as the original image. the information and visual qualities of the displayed image
are not altered. Because the law looks to the visual image, rather than the stored image. this concern
may not be relevant.
Once the image is stored in computer memory (either after scanning or retrieval from the optical
media), sections of the image may be electronically modified by deleting information. inserting new
information or transferring information from other documents. The resulting final image can then be
stored and the index pointers directed to the new image. While the original image might still exist on
the optical media. the index may reference only the revised image. With erasable or non -erasable
optical media. the image can be removed or altered without a trace.
While it may be perceived that the ability to alter the image may be detrimental to this technology. the
analogy with computer records should be considered. Computer information can be added to. deleted.
or modified on magnetic media and the new version stored without any trace that changes have taken
place. Yet, the legislature and courts have previously established the legal acceptance of computer
records in judicial or administrative proceedings.
The issue is not the erasability of the media or the potential for modification of the image. but the
trustworthiness of the procedures which created the records. Authentication will require written
procedures, training and audits confirming what has occurred to the information in the electronic
recordkeeping system.
Electronic images cannot be certified in terms of authenticity like microfilm records. The certificate
of authenticity is not generally a requirement of the law. Computer records cannot readily be
certified, yet they are admissible in court if properly identified and authenticated. Records produced
using electronic imaging systems can be introduced to the courts by showing that the process or
system produces an accurate result.
Image enhancement creates the biggest concern in terms of the legal acceptance of imaging
y technology. This process enables the system to actually improve the image by sharpening line edges,
✓t removing stains or colored background. removing specks from the background and filling in broken
letters. The purpose of image enhancement is to make the electronic image more readable. even if the
original record was difficult to read.
okThe concerns related to image enhancement have prompted some systems designers to recommend
that the original images be microfilmed or an unaltered version of the original be scanned and stored
on optical media prior to image enhancement. While both procedures may facilitate the acceptance of
electronic images. additional time and expense on the part of the user to create duplicates for legal
purposes will be required. The image enhancement algorithms simply improve the image rather than
change the information. An audit trail must be maintained indicating the types of image
enhancement algorithms used and the percentage of change that resulted when the algorithm was
applied.
Of great concern to the records manager and custodian is the longevity of the information in relation
to the stability/longevity of the media. Almost universally, the duration of electronic recordkeeping
media is between 10 and 20 years. This requires that long-term or permanent information recorded
on this media be systematically re -copied on a pre -determined basis or upon discovery of a specific
error read rate which results in data loss. See Appendix "C" for additional requirements for the
storage of long-term and permanent records on electronic recordkeeping systems.
6
II. MANAGEMENT ROLES AND RESPONSIBILITIES
The individual most qualified to answer many recordkeeping questions is the agency's records custodian.
This factor, and the imperatives of effective records and information management, necessitate the
participation of records management officials in the design of information systems, and in major
modifications of existing systems.
This involvement means anal} -zing information needs, information flow, and information controls, and
resolving a variety of management issues. Potential benefits range from reducing the amount of paper
records stored in offices and improving management of on-line disk space in the central computer facility
to developing an automated system for controlling the life cycle of information within an agency.
Automating information systems often increases the amount of information to be managed and often
results in storing the same information on multiple media. To avoid unnecessan- duplication. it is
important that records management officers help program officials and EDP officials to agree on, and
establish appropriate recordkeeping requirements as the information system is designed.
Effective management of electronic records demands coordination among three different groups within
each agency: (A) those program officials who oversee the creation and use of electronic records as an
information resource (records custodians). (B) those responsible for the acquisition and technical
operation of computer, specialized electronic recordkeeping systems and communications systems
(information technology specialists), and (0, those responsible for ensuring the proper creation.
maintenance and disposition of the records (records managers). This coordination can be achieved by
ensuring that these officials collaborate in performing the responsibilities listed below:
The records custodian is responsible for the following actions:
• Determines what information is needed to support the program or administrative function:
• Identifies the applications supported by automated systems by describing their purposes. their
information content, and the main stages through which the data flows:
• Develops and implements information system plans to meet agency needs:
• Works with the records manager to propose an adequate retention period for the information:
• Determines when information in the system affects legal rights and interests of the agency and of
persons affected by agency decisions and actions:
• Notifies the records and information technology specialists when planning new systems, new
applications, or substantial modifications:
• Implements authorized disposition instructions for records in the system.: and
• Performs regular reviews of the system's performance and compliance with legal and regulatory
requirements.
Information technology specialists are responsible for:
• Managing agency computer and teleconununication resources:
Identifying all program and administrative activities that use or need computer and
telecommunications resources:
Notifying the records custodian and the records manager of technology changes that affect record
access methods or the retention of data and records. and
Advising and assisting in implementing authorized disposition instructions.
------------
I�ecorzis hrtaag�r
The records manager:
• Participates in planning for information systems and in reviewing their implementation to ensure that
all records are scheduled for appropriate disposition.
• Coordinates development of records schedules to ensure that all needed concurrences are obtained
and to resolve conflicting requirements.
• Serves as the primary liaison to obtain approval of proposed disposition instructions from higher
echelons within the agency, if necessary , and to obtain authorization from the Division of Libras
and Information Services (%N-hen required).
• Advises agency officials and employees on the development and implementation of records
disposition instructions:
• Reviews existing information systems to ensure that disposition of records in the systems has been
authorized, to evaluate implementation of the schedule's instructions, and to identih, any needed
revision of those instructions. and
• Oversees implementation of disposition instructions. including the timely transfer of all permanent
records to the Florida State Archives.
Directories and sub -directories should be used to organize and control information maintained on
computers. The analogy that an electronic directory acts like a folder or like a drawer in a filing
cabinet is commonly used. However, even when the computer should take the paper systems place,
this occurrence rarely happens. Directories should be controlled by creating them, naming them and
determining what is to be placed into them. Directories are used to group electronic applications,
documents, files, and sub -directories into a logical association, just as would normally occur in paper
file folders in ordinary file cabinets.
A directory structure which matches program functions and existing retention schedules for paper
records is highly recommended. The program or work unit supervisors with the records custodian
and information technology specialist should design the directory structure for the agency's program
functions which matches the work unit's record retention schedules. This group of individuals should
determine common information needs within the agency and require specific directories for
maintaining this information. The logistics of sharing common information is different in the
situation where you have stand alone personal computers as opposed to when you have a local area
network (LAN). A LAN provides for practical access to information throughout an agency, while a
stand alone PC can share only with those who use a specific machine.
The following are some suggested common information directories, some possible directon- names (in
parenthesis based on eight character abbreviations), and the content assigned. Most are based on
General Records Schedules established by the Bureau of Archives and Records Management. Use of
these general records schedules takes advantage of a predefined content and retention requirements.
The determination of common directories should be an early concern of records officials and should
be required for use by all users. The directories listed below are suggestions only. Your agency must
develop directory structures and content requirements that meet your agency's. its subdivisions'. its
employees', and its mission's needs and responsibilities.
• ADMINISTRATIVE REGULATIONS directory (PROCEDUR). This directory is for posting and
maintaining policies, procedural directives and manuals developed by a unit or the agency to govern
its internal management,
• ANNOUNCEMENT directory (ANNOUN). This is a common directory used for making general
agency announcements. changes in policy, position openings, meeting announcements, etc. A central
announcement directory can also reduce the clutter on E-mail since announcements of postings are
sent rather than the complete document to all concerned parties.
• ADMINISTRATIVE CORRESPONDENCE - Executive Level directory (CORK-E). Correspondence
related to the administration of an agency or division concerning the coordination of programs.
agency policy, and non -routine actions and responsibilities. The letters are usually found at the
agency director, deputy director and division director level.
• ADMINISTRATIVE SUPPORT - Executive Level directory (ADMIN-E). Consists of office files
documenting the substantive actions of agency directors, commissioners, and deputy and assistant
directors. These records constitute the official record of an agency's performance of its function and
formulation of policy and program initiatives. These records may include various types of records
such as correspondence, memoranda. and reports concerning agency program development and
implementation.
• ADMINISTRATIVE PROGRAM FILES directory (ADMINPRO). These records contain the official
files relative to the specific functions or specific programs for which the office exists. This series may
include various types of records such as correspondence, memoranda. and reports concerning agency
program development and implementation.
• GENERAL CORRESPONDENCE FILES - Non -executive Level directory (CORR-G). This file
consists of general, day-to-day operating information with private sector individuals and other
governmental agency personnel which relates to non -policy development matters.
• INDEX directory (INDEX). This is a required record series which must be maintained for all
application programs. The index should state the directory name, briefly describe what it contains,
state the naming conventions used, and do the same for any sub -directory.
• RECORDS MANAGEMENT directory (REC-MGT). This directory contains documents related to
an agency's records management program. Included are record retention schedules. guidelines.
instructions on how to inventory or schedule records, instructions for transferring records,
microfilming applications and disposition procedures.
8. Defir fng tifaster dopy, duplicates and Intermediate* Reconrls
Time and effort can be conserved by defining the distinction between a "master copy ", "duplicate -
and "intermediate" records. These definitions (master and duplicate) are contained in Chapter
113-24. Florida Administrative Code, and (intermediate) Attorney General Opinion 85-87 which, in
summan•. states "...that machine-readable intermediate files which are mere precursors of
governmental records and are not. in themselves, intended as final evidence of the knowledge to be
recorded but rather are utilized by data processing computer equipment to prepare further records
which are intended to perpetuate, communicate. or formalize knowledge of some type are not 'public
records' within the meaning of Chapters 119 and 257 (formerly 267). F.S." Most agencies have
countless copies of its various paper records filed or moved within the agency's subdivisions and to its
clients. Tile reduction or elimination of copies is a vital goal in all automation planning. The
convenience of photocopiers and computers have made the determination of what and when a
document is a "duplicate" or "intermediate" record difficult. However, as a general rule most copies
can be destroved whenever it is convenient. provided a "record (master) copy" is maintained. The
master copy is the legal document, the document that is the proof that your agency performed a
specific function in the proper manner.
The original of a record is for the client, or the document forwarded up the chain of command, or
used to initiate some type of action. If you send a letter, the original goes to the recipient: if you write
a memo, repot. proposal, or complete a form, the original is forwarded, and a copy is filed. At other
times. the reverse is true. It is your agency which receives the letter, the memo. the report. and then
you file the original. This is a simple situation in which there is one copy of an original. Usually. in
this situation the master is the copy filed with the initiator and not the original.
However, a report or memo forwarded up a chain of command is copied at each level and filed.
Forms used to initiate actions are copied and filed each time an approval is given or some action is
completed. Soon numerous copies of the original paper are filed within and without the agency.
Generally, the unit which initiates a letter mails the original and files a paper copy. This copy is
considered the master. This is the copy which validates the content of your correspondence.
The master needs to be defined in the agency's procedures. The procedures need to specifv its
location and content. and control access. The master should be covered b%, a records retention
schedule and its integrity and accuracy guaranteed. The records custodian determines the masters
location. This is especially important when this copy is maintained on a magnetic medium or
generated from a database. particularly if no paper master is created.
Maintaining a reference coPy or the master on a LAN should eliminate the need for man of the
paper copies now produced and moved about the agency. This can only work if access to the needed
document is provided.
IV. E-MAIL AS A PUBLIC RECORD
Computer -based electronic mail (e-mail) is one tool that is playing a vital role in the way agencies change
the way they conduct business. E-mail provides a means to create, transmit. and respond to messages
electronically. An increasing number of government agencies use e-mail systems to distribute memos,
circulate drafts, send external correspondence, and support various aspects of their operations. Well
designed and properly managed e-mail systems expedite business communications, eliminate paperwork.
and automate routine office tasks. The opportunities for cost savings and increased efficiency are lost if e-
mail systems and the electronic documents they handle are not managed effectively. Personal use of e-
mail, loss of control over official records and important documents, increases in trivial and duplicate
messages, and concerns about privacy, security, and public assess may offset the benefits of e-mail.
Records in e-mail systems can be managed successfully through a combination of policies, system design,
managementprocedures, and end user training. The following guidelines provide practical management
techniques for the support of government business and to satisfactory recordkeeping requirements.
These guidelines provide standard principles for the basic requirements related to the creation,
maintenance. use and disposition of public records contained in an electronic mail system. Electronic
mail includes numeric, graphic. and text information which is maintained as a computer application
used to create, receive, and transmit messages and other documents and which satisfy the definition of
public records as defined by Chapter 119. Florida Statutes.
8 ;:Ct7eaforr �rtd Ctse�#'Ci~ranrck1�11 �y5fem� ..... ..
Electronic mail is the electronic transfer of information typically in the form of electronic messages.
memoranda. and attached documents from a sending party to one or more receiving parties by means
of an intermediate telecommunications system. Electronic mail which is created or received by anv
agency in connection with official business is a record that is subject to access and records
management laws and regulations.
In order to properly manage e-mail systems and their contents, it is necessary to acknowledge and
understand the following principles and requirements:
(1) Electronic mail messages are public records when they are created or received in the transaction
of official business and retained as evidence of official policies. actions, decisions, or transaction.
Electronic mail messages that are kept because they contain valuable information content are also
records. Electronic trail messages which constitute public records must be identified. accessible, and
retained just like records in other formats.
(2) Electronic mail messages are not subject to the provisions of the Public Records Act. Chapter
119, Florida Statutes when they consist of uncirculated materials and are merely preliminary or
precursors to future documents, and which are not in and of themselves intended to serve as final
evidence of the knowledge to be recorded. This includes internal and external personal
communications or announcements of a non -business nature and personal notes intended for ones
personal use.
(3) Electronic mail records are to be readily available and accessible to all authorized users when
they are needed and in a useable format. The identity. purpose, and location of records should be
12
predictable, consistent, and reliable; methods for access and retrieval should be simple and well
defined; and records management practices should be incorporated into daily business activities.
(4) Each agency should define proper use of electronic mail systems and set limits on personal use.
Agencies may set the same limitations on personal use of e-mail that exist for telephone, fax, and
postal mail; or, recognizing that some personal communications are likely, internal personal use
should be permitted within specific limits, such as to announce work -related social events.
(5) Public records that are transmitted and received through electronic mail systems must be
organized and stored in a filing system or repository. Effective systems and organizational controls
for organizing, filing, and storing records ensure that all authorized users can find records when they
need them for ongoing work and that records will be protected against alteration. corruption, loss, or
unauthorized destruction. Decisions about where and how to organize and file records should be
guided by existing agency and program policies and by the technical capabilities of the e-mail system
and network used to support document management, authentication, and security.
(6) Each agency should ensure that adequate training is provided for users of electronic mail systems
on recordkeeping requirements, the distinction between public records and non -record materials.
procedures for designating public records. and moving or copying records for inclusion in an agency
recordkeeping system.
C. RETENTION AND DISPOSITION OF.ELECTRONIC MAIL,
The retention and disposition of records in an electronic mail system should be part of the planning
and design for the system or application. The following considerations should be used in managing
the orderly disposal of obsolete records:
(1) Transitory and personal messages that do not support business purposes should be deleted in a
timely manner. Transitory messages consist of those records that are created primarily for the
informal communication of information. as opposed to communications designed for the perpetuation
or formalization of knowledge. Transitory messages do not set policy, establish guidelines or
procedures, certify a transaction, or become a receipt. The informal nature of transitory messages
might be compared to a communication taking place during a telephone conversation. or verbal
communications in an office hallway. Transitory messages are messages with short-lived
administrative value and may include, but would not be limited to, many e-mail messages, telephone
voice mail, many messages on "post it" notes. and most written telephone messages. These records
have been scheduled under General Records Schedule GS 1 and may be disposed of without further
notification of the Division. Any messages kept in the e-mail system are subject to public inspection.
Transitory and personal messages that accumulate in e-mail systems also consume disk space and
erode the efficiency of the system.
(2) Convenience or reference copies should be deleted from the e-mail system after the record
(master) cop}, has been filed appropriately. The deletion of duplicate records, or convenience copies.
can be accomplished without notification of the Division if the records have been scheduled in a
General Records Schedule or an individual agency retention schedule and have an authorized
retention of "retain until obsolete. superseded or administrative value is lost". This function should
be used in conjunction with approved records retention and disposition schedules, user training, and
policies and procedures to ensure that agency records are retained as long as needed to meet all
relevant legal, fiscal, and administrative values. Systems administrators should coordinate records
disposition with related electronic mail systems or network backup cycles and assure that the record
copy is maintained appropriately and in accordance with established retention guidelines.
(3) Record (master) copies of public records communicated through e-mail systems, like other
records, have retention values established in accordance with the operational needs of the prognun
function to which they relate and any additional legal, fiscal, or historical value. Generally, records
transmitted through e-mail systems will have the same retention periods as records in other formats
that are related to the same program function or activity. Where retention schedules already exist,
agencies should regulate the retention of e-mail records into those filing and recordkeeping systems.
If there are no retention schedules established for the records of the program function or area, e-mail
records should be scheduled for disposition in conjunction with any other records related to the
program function in accordance with procedures established by Chapter IB-24, Florida
Administrative Code and instructions included in the publication Basics of Records Management,
issued by the Division of Library and Information Services.
(4) Electronic mail may be deleted/destroyed only in accordance with the provisions of Chapter
IB-24, Florida Administrative Code. At a minimum each agency should ensure that:
A. Electronic mail scheduled for destruction must be disposed of in a manner that ensures protection
of any sensitive, proprietary. or security information. and
B. Magnetic recording media previously used for electronic records containing a sensitive
proprietary, or security information are not reused if the previously recorded information can be
compromised any way by reuse.
14
IV. MAINTENANCE AND USE OF ELECTRONIC RECORDS
Basic records management principles apply to any record. whether in a file cabinet. a computer disk or
optical recording media. Records are valuable only if they can be found when needed for action or
reference. Proper labeling. indexing, and preservation actions are necessary to ensure that electronic
records are available and accessible throughout their useful life.
fec#rarnc >Recotris; ::
Labels are essential for people who use electronic media. Labels on floppy disk's paper jacket
(external labels) should include the originating office designation. records series title. begin and end
dates. what software was used to create the records and on what equipment it was produced. Labels
on a computer magnetic tape or cassette should include the volume/serial number. the name of the
custodial program office of the data. and the data set name(s). Identification of any access restriction
should be included on any external label.
Document. file. and directory naming procedures (internal labels) should be easily understandable
and standardized in order to facilitate finding and using information stored on disks or tapes.
Creating internal labels is particularly useful when several individuals share a computer with a hard
disk if the disk has not been partitioned into individual work directories.
Labeling. naming and filing procedures should be simple. One effective system is to file like
documents, or record series. in the same place (on the same labeled floppy or in the same director on
a hard disk). This avoids the necessity of searching for a single floppy disk which may be stored in
multiple storage areas or searching through multiple directories on a hard disk to find needed
documentation.
Indexing is a more complicated, though still relatively simple way to find electronic documents if a
filing system is not used. An indexing system should require the document creator to indicate the
name of the'document. the addressee. the date, and the identifier of the disk on which it is stored. An
abstract of the document may also be useful. The index can be printed out, stored on index cards or
in a data base management system on a labeled floppy disk.
The need to establish a formal, office -wide system for filing. labeling, and naming electronic records
depends on how the information is used. Such a system is essential if the office plans to maintain
records solely in electronic form. without converting the information to paper or microforms. If there
is a high turnover of personnel, or if information is shared or routed electronically. a formal system
may be particularly advantageous.
8...ackupad Crtfhne 5tor�e,racc3utes
Making regular backup copies of your PC's hard drive is good preventative maintenance. Backups
will not just concern the activities of records management applications, but should be part of the
agency's disaster preparedness plan.
Each agency should adopt a policy requiring backups of all agency hard drives. The requirement and
specific procedures for doing so need to be included in the agency's information management plan.
The backup process can be easily centralized if your agency operates a LAN. The Clicnt/Sen•er is
li
usually the LAN administrators responsibility and tine administrator makes backups. Backup sohware
and hardware should be reviewed and approved periodically and deterntinations regarding the
particulars about how and when backups are made should be established. The backup process itself
can take a considerable amount of time and is usually done at night so as not to interfere with regular
work.
If the agency does not operate a LAN, then each PC must be individually backed up. Again the
selection of the type of backup software and hardware should be reviewed along with the program
unit's backup procedures. Backups on stand alone PC's are usually considered a nuisance by users.
There is justification for this charge, since you cannot use the PC during the backup process. Work
schedules and work expectations must be adjusted accordingly and making the backup should be
inculcated as part of the workday, not something done in addition to the regular work.
Backups can be made to floppy disks. This is not normally recommended unless you have no
alternative. If you make disk backups, a user must stay at the PC to change disks. The number of
disks required can be considerable, which increases the chance for getting disks mixed up. Tape
systems, in general, do not have these problems. One tape will usually hold the complete hard drive.
no user is needed, and the backup can be made at night automatically.
Another important consideration is where you store the backup tapes or disks. Under no
circumstances should the backup be stored in the same room as the PC. If it is, then the same
accident or disaster that harms the PC will probably get the backup. The best place. but not always all
available place, is to store your backup materials off -site. The alternative available should be
determined and careful consideration should be exercised to determine what is best for your agency.
The Bureau of Archives and Records Management recommends that the following backups be made:
• make daily backups of PC (lard drives and/or servers holding vital information.
• use a tape backup system
• use software which will make automatic backups at night or when the PC is not in regular use.
• store the backup tapes or disks off -site.
Do not confuse backups with saving information off-line. These two concepts are not the same nor do
they share the same purpose. Backups are exclusively concerned with the current documents and
applications on your PC or LAN. Backups allow you to recover information accidentally deleted or lost
because of a computer virus, accident, or disaster like a fire or flood.
Saving information off -litre is to deliberately remove documents from tine PC to an alternate storage
medium. This action is taken to save disk space or to remove clutter. After the information is removed
from the PC's hard drive, it will no longer be copied by your backup process. The off-line document may
be the only copy available.
Off-line storage can be made to floppy disks, magnetic tapes, compact disks. and optical disks. The
volume of information you need to store off-line will probably dictate the storage medium.
All program off-line storage plans should be reviewed periodically and specific procedures issued
governing what electronic documents are removed from the hard drive, the number of copies to make and
where they should be stored, and what kind of index or finding aid, if any, is required. It should also be
determined the amount of time documents remain on-line for any common directories established.
When planning off-line storage remember to specify how documents are to be saved on-line. Again.
information saved off-line should be saved in the same directory structure using the same naming
conventions established for the documents when on-line. Plan for saving all documents off -fire based on
the control of the information in individual directories and by fixed time intervals. Do not try to be
selective but systematic.
16
Another factor to consider is the retention period. Retention periods should be fixed by the records
retention schedule. These schedules establish the total time your agency must retain specific types of
information. You can. however, now move the documents off-line. as soon as they lose their
administrative or reference value.
Proper techniques must be observed when handling and caring for electronic files and magnetic
media. Additionally. special handling is needed to ensure the long-term preservation of electronic
records. The first requirement is that the record custodian know specifically how long to retain the
record, what is to be done with it and when. The following maintenance requirements are based on
the Divisions Records Management Standards and Requirements for Electronic Recordkeeping. Rule
IB-26.003, Florida Administrative Code (see appendix "C"):
• Back up the files and documents onto disks often. This is the single most important action users can
take to ensure that the information they need will be available.
• The use of floppy disks for the exclusive storage of long -terns or permanent records should be
prohibited. Temporary storage of permanent or long -tern records on floppy disks is acceptable, as is
the use of them for reference purposes. Careless handling is much more likely with this medium than
with magnetic tape, which is the most common storage medium for these types of records.
• Keep disks and tape drives clean and give them periodic preventative maintenance.
• Keep disks and tapes away from strong electrical or magnetic fields.
• Do not touch the recording surfaces of floppy disks, do not fold or bend them, and do not write on the
paperjacket.
• Do not allow unauthorized persons to have access to the computer or disk or tape files and
documents.
• Keep food and drink away from storage media as well as equipment. Smoking should be prohibited
in electronic media storage libraries and test or evaluation areas which contain long-tenn or
permanent records
• Store disks and tapes in a vertical position in a storage container.
• Store floppy disks under normal office conditions, taking care to avoid extreme fluctuations of
temperature or humidity.
• Store long-term and permanent backup/security electronic recording media in a storage facility, either
on -site or off -site. in a dust free environment with a constant temperature (below 68 degrees
Fahrenheit) and relative humidity (30 to 40 percent) controls.
• Annually read a statistical sample of all electronic media containing long-term or permanent records
to identiA, any loss of information and to discover and correct the cause of data loss.
• Copy all long-term or permanent electronic records before the medium is 10 years old onto a tested
and verified new medium. The test will verify that the medium is free of permanent errors.
• Rewind tapes only when necessary. Stored tapes are to be re -wound only immediately before use to
restore proper tension to the tape. Only tapes with extreme cases of degradation should be re -wound
when the degradation is discovered to avoid more permanent damage.
17
One of the most effective techniques for managing all records, including electronic records. is scheduling
them for disposition. The term "disposition' refers to what happens to records when they are no longer
needed for immediate government business, and includes the disposal of records, temporary transfer of
eligible records to an off -site storage facility, such as the Florida Records Storage Center prior to disposal.
and transfer of permanent records to the Florida State Archives.
Final disposition actions require the prior authorization of the Division of Library and Information
Services in accordance with the procedures established by Chapter IB-24, Florida Administrative Code.
The document which officially determines the disposition of records is known as a Records Retention
Schedule. The records retention schedule identifies records in adequate detail to identify the records
content and purpose, and establishes the ultimate and final disposition of the records.
The Division of Library and Information Services also develops General Records Schedules which list
records which are common to several or all agencies of government. For those records covered by a
General Records Schedule, there is no requirement for the establishment of a Records Retention Schedule.
All requirements for the use of either application are covered by the above referenced Rule. These
documents and directions on their establishment and proper use will be covered in greater detail later in
this chapter.
Unfortunately, life cycle planning for information systems often stops after the implementation process.
In other cases. the life cycle is wrongly equated with the expected obsolescence of the computer system.
Both of these approaches fall short of dealing with the real life cycle of the information in the system,
which includes creation, maintenance, utilization, and disposition.
Failure to address information needs comprehensively can result in serious problems. Such problems
include poor system performance because of accumulation of unneeded data: use of outdated information
in decision making: compromised systems security and data integrity because of uncontrolled or improper
deletion of records or data: and inability to perform necessary audits or management reviews.
The process of scheduling records can serve as a test of how well other management objectives. such as
sound planning and effective controls, are met. The process of developing records retention schedules
serves to verify how comprehensively and comprehensibly the agency has answered and documented basic
questions about the purpose, functions, scope, and organization of the system. Determination by the
Florida State Archives that data in an information system has enduring value and must not be destroyed
provides an objective evaluation of the importance of the system. This assessment call supplement the
agency's evaluation of its system on issues such as the appropriate levels and extent of controls over the
system, resource allocation and management oversight.
Inventorying and scheduling the information within a system is the most effective way to ensure that an
agency saves important data and deletes disposable data when no longer needed. Normally the first step
in the disposition process for electronic records (or any other recorded information) is to prepare an
inventory of what information systems exist. what they do and what information they contain.
In order to manage government assets and resources to their fullest, it is necessary to have an accurate
and comprehensive knowledge of its size, scope, purposes and functions, uses, and legal or regulatory
controls. Collecting. arranging, and maintaining this information about the information systems in
an agency constitutes an information systems inventory. Such an inventory is the first step in the
disposition process.
18
If the agency already maintains a comprehensive inventory of its automated information systems, it
can use the inventory to develop a records schedule for the information in automated systems.
Otherwise, sources previously mentioned (records custodians, information technology specialists, and
records managers) may be used to compile an inventory for scheduling purposes. Inventorying is the
best way for agency managers to begin controlling electronic records.
A complete and accurate inventory of all agency electronic recordkeeping systems should include the
elements indicated below.
• Name of the System: Indicate the commonly used name and acronym of the system. For example,
the Archives and Records Management Integrated Information System (ARMIIS).
• Agency program supported by the system: Indicate the agency program(s) or missions(s) to which the
system relates, and cite any laws or directives authorizing such programs or missions. Also list the
names, office addresses, and telephone numbers and location of the program personnel who can
provide additional information about the program and the system supporting it.
• Purpose of the system: Indicate the reasons for the system and the requirements met by it.
• Data input and sources: Describe the primary data input sources and the providers of the data to the
system. For example, domestic and foreign corporations doing business in the State of Florida. Also
give the names of any other systems, either inside or outside the agency, from which the information
system receives data.
• Major output: Indicate the system's main products and the frequency of their preparation. For
example, reports, tables, charts, graphic displays, catalogs, or correspondence which may be prepared
weekly, monthly or yearly. Also indicate whether the information is transferred to other systems.
• Information content: Indicate the main subject matter, date of coverage. time span. geographic
coverage, update cycle. and other major characteristics of the system. Also list whether it contains
microdata or summary data.
• Hardware/sof fare environment: Indicate the computer system manipulating this information and
the software used.
• System managers: List the name, office, telephone number and location of (lie system manager or
other system personnel who can provide more information about the system and the program it
supports.
• Location of documentation needed to read and understand the files: Show where the code books and
file lavouts are maintained. Indicate the office. room number, and name of the person haying custody
of this information.
• Restrictions on access and use: Indicate the statutory citations imposing restrictions on access.
• Disposition authority (if previously established): List the established retention requirements and
provide the schedule and item numbers authorizing disposition of system components, such as input
forms and outputs.
• Date of preparation: List the name and telephone number of the individual completing the inventory
and the date the inventory was prepared.
B. °,Applying General Records Schedules'
Most agencies meet their recordkeeping requirements for documents that are created using word
processing or electronic mail or messaging by printing those documents in hard copy. The success of
this approach depends upon a clear understanding by all employees of the obligation to print and file
all record material. In these cases, employees should be encouraged to dispose of the electronic
versions of documents by office automation applications as soon as hard copy documents are filed.
unless they are needed for updating and reissuing (see definition of "intermediate files" in appendix
"A"). For restricted documents. especially those that are security classified, erasing the entire disk or
• . 19
tape is required to destroy the records. The agency's information security officer can explain
additional requirements for destroying security classified electronic information.
Records retention schedules describe the records and establish retention requirements for each record
series or type of record. This determines officially the length of time that the record series must be
retained to meet administrative, legal, fiscal, and historical needs.
General Records Schedules are issued by the Bureau of Archives and Records Management. Division
of Library and Information Services, Department of State to establish disposition standards for
records common to several or all agencies of the State of Florida. The records covered by these
schedules pertain to both administrative and program functions of the agencies. The authorizations
and recommendations contained in a General Records Schedule may be used by any agency having
the listed records in its custody. The retention period stated in the schedule is the MINIMUM time a
record series is to be kept. If two or more record series are filed together, the combined file must be
kept through the longest retention period of those records. A General Records Schedule eliminates
the need for the submission of an individual Records Retention Schedule, Form LSSE 105. However,
an agency desiring a lesser retention period than that stated in a General Records Schedule must
apply for the establishment of an individual agency retention schedule o» Form LSSE 105, with proper
justification.
Ir; lxid�vidrt F?scads,.ScheduIes
Most agencies create large quantities of electronic records which are not covered by a General
Records Schedule. To obtain authorization for the disposition of such electronic records, an agency
must submit a Records Retention Schedule (form LSSE 105) to the Division of Library and
Information Services. Complete instructions for the preparation of the Records Retention Schedule
are contained in the "Basics of Records Management Handbook", available from tite Bureau of
Archives and Records Management. Once an official retention value has been established for a
record series. records in the series are eligible for disposal action when the%, have met the retention
requirements. The schedule remains effective until there is a change in series content or other factors
are introduced which would affect the initial approved retention period, at which time a new
individual records schedule should be submitted for approval.
The information in each automated system should be scheduled in a comprehensive manner. The
schedule should take into account the data sets and files included in the system; hard copy inputs and
outputs; the processing, subset, and special format files created and used in tite system; and the
documentation that describes and defines the system and the data in it. Disposition instructions
should be established for each of these components as viewed in the context of the overall system.
Once the agency determines how long it needs to retain data in an automated information system, and
identifies any additional legal requirements affecting disposition, the records manager is in a position
to prepare Form LS5E105. This form should provide specific retention times for each system
component, including inputs, on-line and off line files, and all outputs. regardless of medium.
The disposition instructions should be specific enough to provide for different information needs
within the agency. As indicated earlier, the proposed disposition must be coordinated with the
program offices supported by the information service units to ensure that all involved parties know
when the information is no longer needed for agency purposes and what will happen to it.
In order to authorize disposition of electronic data, it is necessary to know what agency programs the
information supports, the authorizing law or directive for the programs, what functions the
information system performs. the sources of the data in the system, a brief description of the
information in the system (the primary subject matter, time span, geographic coverage, update cycle,
a
whether the system saves superseded information, and whether the system contains microdata or
summary data), and what reports or other outputs the system produces.
In collecting information for scheduling electronic records, technical documentation should be
identified and reviewed to determine if it is sufficiently comprehensive and accurate to permit use of
the data without relying on individuals who have specialized and extensive knowledge of the system.
The documentation itself is a valuable record which should be retained for the life of the system.
. #btaFnrng.?s asgl A4utttorrzati . .
When records have met retention requirements established by a General Records Schedule or an
individual agency retention schedule, an agency may initiate disposal action by submitting a Records
Disposition Request, Form LS5E107, to the Division. Complete instructions for the preparation and
submission of this forms are contained in the "Basics of Records Management Handbook". Rule 1B-
24.010(3), Florida Administrative Code, however, states that "records with an established retention of
'retain until obsolete, superseded or administrative value is lost' are not required to be submitted on a
Records Disposition Request prior to disposal". The request. when approved by the Division.
authorizes the disposition of the listed records. It also serves as a certificate of records destroved
when signed by an agency official. The request must be submitted to and approved by the Division
before actual disposition is carried out. The request assures that there is no premature destruction of
records. or that records to be destroyed do not have an immediate or urgent value beyond the original
retention period as established.
21
If you have questions about any of the information in this handbook, or if you have additional questions
related to records management applications. contact your agency Records Management Liaison Officer or
call the Bureau of Archives and Records Management, Records Analysis Section at (904) 487-21280 or
SUNCOM 277-21280.
22
APPENDIX "A"
sY Q*
DEPARTMENT OF LEGAL AFFAIRS
L OFFICE OF THE ATTORNEY GENERAL
THE CAPITOL
TALLAHASSEE. FLORIDA 32304
Jolt SMITH
AttorneyCcncnd October 25, 1985
State of Florida
The Honorable George Firestone 85-87
Secretary of State
The Capitol
Tallahassee, Florida 32301
Re: RECORDS --DATA PROCESSING--COMPUTERS--
applicability of Public Records Law to
machine-readable intermediate files
generated during computer data processing.
ss. 119.011(1) and 267.021(2), F.S.
Dear Secretary Firestone:
This is in response to your request for an opinion on the
following questions:
1. ARE MACHINE-READABLE INTERMEDIATE FILES
"PUBLIC RECORDS" WITHIN THE MEANING OF CHS.
119 AND 267, FLORIDA STATUTES?
2. IF MACHINE-READABLE INTERMEDIATE FILES
ARE INDEED "PUBLIC RECORDS," WHO IS THE LEGAL
CUSTODIAN AS DEFINED BY s. 119.021, FLORIDA
STATUTES --THE OWNER AGENCY OF THE RAW DATA,
OR THE DATA CENTER WHICH CREATED THE INTER-
MEDIATE DOCUMENTS?
As qualified herein, your first question is answered in the
negative, such that no response is required to your second
question.
With respect to the nature of "intermediate files" in the
computer data processing content, your inquiry informs me as
follows:
As part of the task of manipulating data from
input file to output file, any number of
"intermediate" files may be generated.
These intermediate files have been described
to division staff by personnel from AMIC
(Administrative Management Information Center)
23
85-87
The Honorable George Firestone
Page Two
as "tools' used to create the final intended
product that represents final evidence of the
knowledge to be recorded. Often, the owner
agency (the custodian) of the raw data and the
final product is unaware of the existence of
these intermediate documents and is only
concerned with the final output file(s).
Intermediate files may occasionally exist
for only a few seconds as magnetic code on
the hard disk of a largecomputer
a uer installa-
tion or on the floppy disko
computer or word processor and theircontents
are rarely if ever reviewed by any person.
By their nature, intermediate files do not
lend themselves to the scheduling and disposi-
tioning process as outlined by Chapter 1A-24
Florida Administrative Code. Additionally,
custodianship and access problems exist due
to the transitory nature of intermediate
files and the lack of knowledge by the owner
agency of the very existence of these files.
Your staff has further advised this office that these
intermediate files are distinguishable from computer programs,
which are also 'tools" but which are used to retrieve information
stored in a computer in a specified format and at high speed. To
illustrate, the application of a program to the data supplied to
or stored in the computer results in the creation of machine-
readable intermediate files which enable the computer to assemble
the data in the requested manner in order to produce an output
document of some type (e.g., a printout or a disk or tape).
Additionally, your inquiry notes that it is your view that "input
documents [and output documents) are clearly public records .
and lend themselves to the scheduling and dispositioning process
as outlined in Chapter 1A-24 Florida Administrative Code.' See
also, s. 267.051(1), F.S., imposing certain records management
duties and responsibilities upon the Division of Archives,
History and Records Management of the Department of State.
Sections 119.011(1) and 267.021(2), F.S., provide substantially
identical definitions of the term "public records.'
ror follurposec
owing
of Ch. 119, F.S., s. 119.011(1), supplies
definition:
"Public records" means all documents, papers,
letters, maps, books, tapes, photographs;
films, sound recordings or other material,
regardless of physical form or characteristics,
made or received pursuant to law or ordinance
24
The Honorable George Firestone 85-87
Page Three
or in connection with the transaction of
official business by any agency.
There can be no doubt that information stored on a computer is as
much a public record as a written page in a book or a tabulation
in a file stored in a filing cabinet. Seigle v. Barry, 422 So.2d
63, 65 (4 D.C.A. Fla., 1982). See, AGO 85-3 (computer tapes are
public records). However, although the court in the Seigle case
also suggested that 'all of the information in the computer .
should be available for examination and copying in keeping with
the public policy underlying the [Public Records Act]," I am of
the view that your inquiry is controlled by the judicial
construction of s. 119.011(1) in Shevin V. Byron, Harless,
Schaffer, Reid and Associates, Inc., 379 So.2d 633 (Fla. 1980).
To give content to the public records law
which is consistent with the most common
understanding of the term 'record," we hold
that a public record, for purposes of section
119.011(1), is any material prepared in connec-
tion with official agency business which is
intended to perpetuate, communicate, or
formalize knowledge of some type. To be
contrasted with 'public records' are materials
prepared as drafts or notes, which consti-
tute mere precursors of governmental "records'
and are not, in themselves, intended as final
evidence of the knowledge to be recorded.
Matters which obviously would not be public
records are rough drafts, notes to be used
in preparing some other documentary material,
and tapes or notes taken by a secretary as
dictation. Inter -office memoranda and intra-
office memoranda communicating information
from one public employee to another or merely
prepared for filing, even though not a part of
an agency's later, formal public product, would
nonetheless constitute public records inasmuch
as they supply the final evidence of knowledge
obtained in connection with the transaction
of official business. (e.s.)
379 So.2d at 640.
From the description of 'machine-readable intermediate files"
furnished with your inquiry, it would seem that such files are
not intended to perpetuate or formalize knowledge of some type
but rather constitute mere precursors of governmental records and
are not, in themselves, intended as final evidence of the
knowledge to be recorded. Moreover, to the extent that such
25
The Honorable George Firestone 85-87
Page Four
machine- readable files may be intended to 'communicate'
knowledge, the facts as stated in your inquiry would indicate
that such communication takes place completely within the data
processing equipment and in such form as to render any
"inspection or examination' pursuant to Ch. 119, F.S.,
unintelligible and, except perhaps to the computer itself,
meaningless. Thus, such machine-readable intermediate files
would appear to be analogous to notes used to prepare some other
documentary material and, under the construction of s.
119.011(1), F.S., in Shevin v. Byron, Harless, supra, are not
"public records' for purposes of Chs. 119 and 267, F.S.
Therefore, unless and until legislatively or judicially
determined otherwise, it is my opinion that machine-readable
intermediate files which are mere precursors of governmental
records and are not, in themselves, intended as final evidence of
the knowledge to be recorded but rather are utilized by data
processing computer equipment to prepare further records which
are intended to perpetuate, communicate, or formalize knowledge
of some type are not 'public records' within the meaning of Chs.
119 and 267, F.S.
Sincerely,
J : SMITH
A TORNEY GENERAL
Prepared by:
Kent L. Weissinger
Assistant Attorney General
JS/KLW/nw
W
APPENDIX "B"
PUBLIC RECORDS SCHEDULING 6t DISPOSITIONING
CHAPTER 1 B-24
PUBLIC
RECORDS SCHEDULING AND
DISPOSMONING
1 B-24.001
General.
1 B-24.002
Definitions.
1 B-24.004
Developing Requests for Records
Retention Schedules.
I B-24.005
Submitting Proposed Records
Retention Schedules.
1 B-24.006
Division Criteria for Processing
Proposed Records Retention
Schedules.
1 B-24.007
Division Action.
I B-24.008
Revising Records Retention
Schedules.
1 B-24.009
General Records Schedules.
I B-24.010
Records Disposition.
IB-24.011
Division Criteria for Approval of
Records Disposition Requests.
1 B-24.012
Disposition Certificate.
IB-24.013
Penalty for Violation. (Repealed)
IB-24.001 General.
(1) This chapter establishes standards and
procedures for the scheduling and dispositioning of
public records to promote economical and efficient
management of records and to ensure that records
of archival value under an agency's control are so
designated and ultimately transferred to the
Florida State Archives.
(2) Each agency in the State of Florida is
responsible for complying with the provisions of
this chapter.
Specific Authority 237.14 FS. Low Implemented 257 36
FS. History —New 1-8-80. Formerly lA-24.01,
1A-24.001. Repromulgated 3-23-93.
1B-24.002 Definitions. For the purpose of this
chapter:
(1) "Agency" means any state, county, or
municipal officer, department, division, board,
bureau, commission or other separate unit of
government created or established by law.
(2) "Custodian" means the elected or appointed
state, county, or municipal officer or officers
charged by law with the responsibility of
maintaining the office having public records.
(3) "Database Management System" means a
set of software programs that controls the
organization, storage, and retrieval of data (fields,
records and files) in a database. The system also
controls the security and integrity of the database.
(4) "Division" means the Division of Library
and Information Services of the Department of
State.
(5) "Florida State Archives" means the
establishment maintained by the Division for the
preservation of those public records and other
papers that have been determined by the Division
to have sufficient historical or other value to
warrant their continued preservation by the State
and which have been accepted by the Division for
deposit in its custody.
(6) "General Records Schedules" means
retention requirements issued by the Division to
establish disposition standards for public records
common to specified agencies within the State of
Florida which state the minimum time such records
are to be kept.
(7) "Electronic Records" means any
information that is recorded in machine readable
form.
(8) "Public Records" are those as defined in
section 119.011, Florida Statutes.
(9) "Record (Master) Copy" means 'public
records specifically designated by the custodian as
the official record.
(10) "Duplicate (or Convenience) Records"
means reproductions of record (master) copies,
prepared simultaneously or separately, which are
designated as not being the official copy.
(11) "Record Series" means a group of related
documents arranged under a single filing
arrangement or kept together as a unit because
they consist of the same form, relate to the same
subject, result from the same activity, or have
certain common characteristics.
(12) "Records Retention Schedule" means a
standard approved by the division for the agency's
orderly retention, transfer, or disposition of public
records taking into consideration their legal, fiscal,
historical• and administrative values.
(13) "Records Disposition Request" means an
authorization approved by the division for the
orderly transfer or disposition of records once the
retention established has been satisfied.
(14) "Intermediate Records" (Processing Files)
are temporary records used to create, correct,
reorganize, update, or derive output from master
data files. Intermediate records are precursors of
public records and are not, in themse!ves, public
records which must be retained. Intermediate
records only exist provided a final product is
subsequently generated which perpetuates,
communicates. or formalizes knowledge of some
type. In the absence of such a final product,
processing files constitute final evidence of the
knowledge to be recorded and shall not be
construed as intermediate files for the purposes of
this chapter.
(15) "Supporting Documents" means public
records assembled or created to be used in the
preparation of other records which are needed to
trace actions, steps, and decisions covered in the
final or master record.
(16) "Drafts" arc materials which constitute
precursors of governmental "records" and are not,
in themselves, intended as final evidence of the
knowledge to be recorded. Information in a form
which is not intended to perpetuate, communicate,
or formalize knowledge of some type and which is
fully represented in the final product is a "draft"
and not a "public record."
Specific Authority 257 14 FS. La% implemented 257 36
FS. History —New 1-8.80. Amended 1-4-34, Formerly
IA-24.02, IA-24.002. Amended 1-7-88. 3-23-93,
18-24.004 Developing Requests for Records
Retention Schedules.
(1) Each agency shall submit to the Division a
request for records retention on Department of
State Form LS5E 105. "Records Retcntion
27
DEPARTMENT OF STATE
Schedule" which is hereby incorporated by
reference and made a part of this rule, for all
records series. A copy of Form LSSE 105, effective
March 23. 1993, may be obtained from the Bureau
of Archives and Records Management,
Department of State, Mail Station 9A, The
Capitol, Tallahassee, Florida 32399.0250. This
schedule shall be developed to reflect the legal,
fiscal, historical and administrative requirements of
the agency for each record series. The schedule
shall designate whether. the series constitutes a
record (master) copy or duplicate.
(2) Retention and scheduling of intermediate
files are not feasible due to their transitory nature,
and do not require submission of Form LSSE 105,
"Records Retention Schedule" or Form LSSE 107,
"Records Disposition Request" which is hereby
incorporated by reference and made a part of this
rule. A copy of Form LSSE 107, effective March
23, 1993, may be obtained from the Bureau of
Archives and Records Management, Department
of State, Mail Station 9A, The Capitol,
Tallahassee, Florida 32399-0250.
Specific Authority 237.14 FS. Law Implemented 157.36
FS. History —;Yew 1.8-80. Amended 1-4-84. Formerly
1.4-24.04. 1 A-24.004. Amended 1-7-88, 3-23-93.
1B-24.005 Submitting Proposed Records
Retention Schedules.
(1) Form LSSE 105, "Records Retention
Schedule" and when needed, continuation sheet
Form LSSE 106, "Records Retention Schedule
(Continued)" which is hereby incorporated by
reference and made a part of this rule, shall be used
when submitting a proposed retention schedule to
the Division for records which are continuing to
accumulate and which should be disposed of
periodically. A copy of Form LSSE 106. effective
March 23, 1993, may be obtained from the Bureau
of Archives and Records Management,
Department of State, Mail Station 9A, The
Capitol, Tallahassee, Florida 32399-0250.
(2) Any number of record series may be
submitted in a single request. Form LSSE 105 is to
be signed by the custodian of the records or
designee, and submitted to the Division for review,
Specific Authority 237.14 FS. Law Implemented 237.36
FS. History —New 1-8-80. Formerly IA-24.05.
lA-14.003, Amended /-7-88. 3-23-93.
1B-24.006 Division Criteria for Processing
Proposed Records Retention Schedules,
(1) Each proposed Records Retention Schedule
is analyzed by the Division in the context of an
agency's statutory functions and authorities.
Florida Statutes, administrative rules, operating
procedures, applicable federal regulations and
other such sources shall be researched to assist in
the determination of a record's value.
(2) In addition, the proposed records retention
schedule is reviewed to determine whether the
records merit further retention by the state in the
Florida State Archives. This determination is based
upon whether the records have significant legal,
fiscal, administrative or historical information
value to merit such further retention. The main
objectives of this determination are to preserve
those records pertaining to the operation of
government and to protect the rights and interests
of the citizens of the state.
(3) In the event that records arc of archival
value, an indication is made on the schedule that
such historical records are to be transferred to the
Florida State Archives upon the satisfaction of the
disposition requirements of the schedule. r :
(4) Local government records having archival
value may be loaned to local historical records
repositories for preservation provided they are
maintained under the provisions of Chapter 119,
Florida Statutes.
Specific Authority 237.14 FS. Law Implemented 137.36
FS. History —,Yew 1-8-80. Formerly 1A-14.06,
lA-24.006, Amended 1-7-88, 3-23-93.
113-24.007 Division Action.
(1) The Division, upon applying its criteria,
returns the Records Retention Schedule to the
agency indicating one of the following actions:
approval, approval with amendments, or
disapproval with comments noted on the form.
(2) Once approved by the Division, the Records
Retention Schedule becomes the official retention
for the records series of the submitting agency.
Specific Authority 157.14 FS. Law Implemented 157.36
FS. History —New 1-8-80. Formerly IA- 407,
1.4-:4.007, .amended 1-7.88. 3-13-93.
1B-24.008 Reusing Records Retention
Schedules. After an agency has established
approved records retention schedules in accordance
with the foregoing procedures, it may became
apparent that the schedule needs to be revised.
When changes are necessary, the specific record
series of the approved schedule shall be resubmitted
by the agency, with an appropriate explanation for
the revision in block 713, and submitted to the
Division for evaluation and approval in accordance
with Rules I B-24.006 and 1 B-24.007. The schedule
shall receive the next consecutive number.
Specific Authority 237.14 FS. Law Implemented 237,36
FS. History —New 1-8-80, Amended 1-4-84, Formerly
I A-14.08. 1.4-24.008. Amended 1-7-88. 3-13-93,
1B-24.009 General Records Schedules.
General Records Schedules are originated by the
Division and are used by agencies designated by the
Division. Utilization of General Records Schedules
eliminates the need to comply with the provisions of
Rule I B-24.005 of this chapter, but does not
eliminate the requirement to submit a Records
Disposition Request for approval, as provided by
Rule I B-24.010 of this chapter.
Specific Authority 257.14 FS. Law Implemented 137.36
FS. History —New 1-8-80. Amended 1-4-84, Formerly
1A-24.09, 1A-24.009, Amended 1-7.88, 3-23-93.
I B-24.010 Records Disposition.
(1) Notwithstanding an approved Records
Retention Schedule or General Records Schedule,
prior to disposition of any public record, an agency
must submit a Records Disposition Request (Form
LSSE 107), except as specified in Rule
1 B-24.010(3).
28
PUBLIC RECORDS SCHEDULING & DISPOSiTiONING
(2) Form LS5E 107, and when needed,
continuation Form LS5E 108, "Records
Disposition Request (Continued)" which is hereby
incorporated by reference and made a part of this
rule. A copy of Form LSSE 108, effective March
23. 1993. may be obtained from the Bureau of
Archives and Records Management, Department
of State, Mail Station 9A, The Capitol,
Tallahassee. Florida 32399-0250, shall be
completed and signed by the custodian of the
records or designee, and submitted to the Division
for approval.
(3) Record (Master) Copy and duplicate
records with a retention of "obsolete, superseded or
administrative value is lost" are not required to be
submitted on a Records Disposition Request prior
to disposal. Knowledge of disposal eligibility of
these records is the responsibility of the Agency,
(4) After processing, the request will be
returned to the agency indicating approval,
approval with amendments, or disapproval with
comments noted on the form.
Specific Authority 237.14 FS. Low Implemented 237.36
FS. History —New 1-8-80, Amended 1-4-84, Formerly
1 A- 24.10. 1.4- 24.010..4mended 1-7-88, 3-23-93. 7 -1-95.
1 B-24.011 Division Criteria for Approval of
Records Disposition Requests. Each Form LS5E
107 "Records Disposition Request" submitted for
approval will be reviewed to ensure that:
(1) The request is properly signed by the
custodian:
(2) An approved Records Retention Schedule or
General Records Schedulc exists for the retard
series;
(3) The dates requested for disposition do not
conflict with the established schedule;
(4) The applicable schedule is not in conflict
with the requirements of any law or any other
relevant and appropriate information before the
Division; t '
(5) The Auditor General's Office has no
objection and;
(6) The records do not have archival value.
Specific .,qulhority 257.14 FS. Law Implemented 257.36
FS. History —New 1-8-80. Formrrly bl-24.11,
l A-24.011, .4mended 1-7-88. 3-23-93.
iB-24.012 Disposition Certificate.
(1) After a Records Disposition Request has
been approved by the Division and returned to the
agency, space provided on the form shall be used to
record the destruction or other disposition for the
listed record series.
(2) The form, when signed by the custodian or
designee of the records, becomes the disposition
certificate and shall be retained as a permanent
record by the agencv.
Specific .4whority 2S7 14 FS. Law implemented 257.36
FS. History —Yew 1-8-80. Formerly 1A-2412,
IA-24.012, Amended 1-7-48. 3-23.93.
1 B-24.013 Penalty for Violation.
Specific Authorin 2:7 14 FS Law Implemented 2S7 36
FS. History—Vew 1-8-80. Formerly 1.4-2413.
1.-1-:4.013. Amended 1-7-83. Repealed 3-23-93
29
APPENDIX "C"
RECORDS MANAGEMENT CHAPTER iB-26
RULES
OF THE
DEPARTMENT OF STATE
DMSION OF LIBRARY AND INFORMATION SERVICES
CHAPTER 1B-26
RECORDS MANAGEMENT — STANDARDS AND REQUIREMENT'S
1B-26.003 Electronic Recordkeeping
113-26.003 Electronic Recordkeeping.
(1) PURPOSE. These rules provide standards
for public records which have a retention value of more
than ten years which will be recorded and stored on
electronic media. Public records are those as defined
by Section 119.011(1), Florida Statutes.
(2) AUTHORITY. The authority for the
establishment of these rules is Section 257.36(1) and
(7Xc), Florida Statutes.
(3) SCOPE.
(a) 1. These rules are applicable to all agencies
as defined by Section 119.011(2), Florida Statutes.
2. These rules establish the minimum
requirements for the creation, utilization,
maintenance, retention, preservation, storage and
disposition of long-term and permanent electronic
records, regardless of the media utilized.
3. Electronic records include numeric, graphic,
and textual information which may be recorded in any
machine readable media form which includes, but is
not limited to, magnetic media, such as tapes and
disks (hard or floppy), and optical disks.
4. These rules apply to all electronic records
systems, including, but not limited to,
microcomputers, minicomputers, main-frame
computers, or optical image recording systems
(regardless of storage media) in network or stand-
alone configuration.
(b) Before records with a retention period of 10
years or less are committed to an electronic
recordkeeping system, with the intent of destroying
the original record, a cost benefit analysis shall be
prepared and reviewed by the agency to insure that
the project or system contemplated is cost effective.
Public records with a retention value of 10 years or
less, or which are kept voluntarily beyond the
established retention period, which are committed to
electronic recordkeeping systems, are not subject to
the provisions of rules 1B-26.003 (10W, (d), (e) and
(11) (a).
(c) Any electronic recordkeeping system not
meeting the provisions of these rules may be utilized
for long-term or permanent records provided the
original public record is maintained or microfilmed in
accordance with the provisions of Rule 1B-26.0021,
Florida Administrative Code prior to disposition.
(4) INTENT. In enacting these rules, the
3b
Department of State is cognizant of the fact that there
may be instances where an agency may be utilizing
electronic recordkeeping systems and destroying
public records. The Department is further aware that
it may not be possible to implement this rule in its
entirety immediately upon its enactment, and it is not
the intent by this rule to disrupt such recordkeeping
practices provided that such agencies make no further
disposition of public records without approval of the
Division of Library and Information Services of the
Department of State.
(5) DEFINITIONS. For the purpose of these
rules:
(a) 'Database" means an organized collection of
automated information.
(b) "Database management system" means a
set of software programs that controls the
organization, storage and retrieval of data (fields,
records and files) in a database. It also controls the
security and integrity of the database.
(c) 'Data file" means related numeric, textual,
or graphic information that is organized in a
prescribed form and format.
(d) "Electronic record" means any information
that is recorded in machine readable form.
(e) "Electronic records system" means an
automated information scheme.
(I) "System design" means the design of the
nature and content of input, files, procedures, and
output and their interrelationships.
(g) "Information system" means the organized
collection, processing, transmission, and
dissemination of information in accordance with
defined procedures, whether automated or manual.
(h) "Permanent or Long-term records" means
any public records which have an established
retention period of more than 10 years. See section
119.011(1), Florida Statutes for the definition of a
public record. Each record series shall be considered
on an individual basis by the Division of Library and
Information Services in establishing this retention
period. See Rule 1B-24.002(13), Florida
Administrative Code for the definition of a record
series.
(6) AGENCY DUTIES AND
RESPONSIBILITIES. The head of each agency shall:
(a) Develop and implement a program for the
management of records created, received, maintained,
used, or stored on electronic media.
CEWYrZR 1B-26 RECORDS MANAGEMIXNT
(b) Integrate the management of electronic
records with other records and information resources
management programs of the agency.
(c) Incorporate electronic records management
objectives, responsibilities, and authorities in
pertinent agency directives, or rules, as applicable.
(d) Establish procedures for addressing
records management requirements, including
recordkeeping requirements and disposition, before
approving new electronic records systems or
enhancements to existing systems.
(e) Provide training for users of electronic
records systems in the operation, care, and handling
of the equipment, software, and media used in the
system.
(f) Develop and maintain documentation about
electronic records systems used by the agency to
specify technical characteristics necessary for
reading or processing the records. Documentation for
electronic records systems shall meet the following
standards:
1. STANDARD. Each agency shall identify all
inputs and outputs of the system; define the contents
of the files and records; define policies on access and
use; define the purpose and function of the system;
define update cycles or conditions and rules for
adding information to the system, changing
information in it, or deleting information; and ensure
the timely, authorized disposition of the records in
accordance with Chapter 1B-24, Florida
Administrative Code.
2. STANDARD. Each agency shall specify the
location and media in which electronic records are
maintained to meet retention requirements, and
maintain inventories of electronic records systems to
facilitate disposition.
3. STANDARD. Each agency which maintains
public records in an electronic records system shall
provide, to any person making a request pursuant to
Chapter 119, Florida Statutes, a copy of any data in
such records which is not specifically exempt. Said
copy shall be on paper, disk, tape, optical disk, or any
other electronic storage device or media requested by
the person, if the agency currently maintains the
record in that form, or as otherwise required by
Chapter 119, Florida Statutes. Except as otherwise
provided by state statute, the cost for providing a
copy of such data shall be in accordance with the
provisions of section 119.07(lxa) & (b), Florida
Statutes. Agencies should not reproduce, or permit
reproduction of, or distribute copies of, copyrighted
work or material to the public but shall permit public
access to copyrighted work in their possession for
examination and inspection purposes only.
4. STANDARD. Except as otherwise provided
by law, no agency shall enter into a contract with, or
otherwise obligate itself to, any person or entity if
such contract or obligation impairs the right of the
public under state law to inspect or copy the agency's
nonexempt public records existing on-line in, or
31
stored on a device or media used in connection with,
a computer system or optical ima ing system owned,
leased or otherwise used by an agency in the course
of its governmental functions.
5. STANDARD. Before any agency acquires or
makes a major modification to any computer or
imaging system, equipment or software to store or
retrieve public records, it shall assure such proposed
system, equipment or software adequately provides
for the rights of the public to access public records
under Chapter 119, Florida Statutes.
6. STANDARD. Each agency shall develop
and obtain approval of records retention schedules,
and ensure the implementation of their provisions as
prescribed by Chapter 1B-24, Florida Administrative
Code.
(7) CREATION AND USE OF DATA
FILES. For electronic records systems that produce,
use, or store data files, disposition instructions for
the data shall be incorporated into a system's design.
(a) STANDARD. Agencies shall maintain
adequate and up-to-date technical documentation for
each electronic records system. The minimum
documentation required is:
1. a narrative description of the system;
2. the physical and technical characteristics of
the records, including a record layout that describes
each field including its name, size, starting or
relative position, and description of the form of the
data (such as alphabetic, decimal, or numeric), or a
data dictionary or the equivalent information
associated with a database management system
including a description of the relationship between
data elements in data bases;
3. for information coming from geographic
information systems, the physical and technical
characteristics of the records must be described
including a data dictionary, a quality and accuracy
report and a description of the graphic data
structure, such as recommended by the federal
Spatial Data Transfer Standards, and
4. any other technical information needed to
read or process the records.
(8) CREATION AND USE OF TEXT
DOCUMENTS. Electronic records systems that
maintain the official file copy of text documents on
electronic media shall meet the following minimum
requirements:
(a) 1. Provide a method for all authorized
users of the system to retrieve desired documents;
2. Provide an appropriate level of security to
ensure the integrity of the documents in accordance
with the provisions of Chapter 44-4, Florida
Administrative Code;
3. Identify the standard interchange format
when necessary to permit the exchange of documents
on electronic media between agency computers using
different software/operating systems and the
conversion or migration of documents on electronic
media from one system to another. In the absence of
I , )
RECORDS MANAGEMENT CHAPTER 1B-M
other conversion capabilities, the word processing or
text creation system should be able to import and
export files in the ASCII format as prescribed by
Federal Information Processing Standard
Publication (PIPS PUB) Number 1-2; Title: Code For
Information Interchange, Its Representation,
Subsets, and Extensions, which is hereby
incorporated by reference, and made a part of this
rule. This publication is available from the National
Technical Information Service (NTIS), 5285 Port
Royal Road, U.S. Department of Commerce,
Springfield, VA 22161; and
4. Provide for the disposition of the documents
including, when appropriate, transfer to the Florida
State Archives.
(b) STANDARD. Before an official file copy
document is created on electronic records systems,
the document shall be uniquely identified to enable
authorized personnel to retrieve, protect, and carry
out the disposition of documents in the system.
Agencies shall ensure that records maintained in
such systems can be correlated with related records
on paper, microfilm, or other media.
(9) LEGAL AUTHENTICATION. Agencies
will implement the following procedures to enhance
the legal admissibility of electronic records:
(a) Document that similar kinds of records
generated and stored electronically are created by
the same processes each time and have a
standardized retrieval approach.
(b) Substantiate that security procedures
prevent unauthorized addition, modification, or
deletion of a record and ensure systems protection
against such problems as power interruptions.
(c) Identify the electronic media on which
records are stored throughout their life cycle, the
maximum time span that records remain on each
storage media, and the official retention
requirements as approved by the Department of
State.
(10) SELECTION OF ELECTRONIC
RECORDS STORAGE MEDIA. For storing public
records throughout their life cycle, agencies shall
select appropriate media and systems which meet
the following requirements:
(a) Permit easy and accurate retrieval in a
timely fashion, and;
(b) Retain the records in a usable format until
their authorized disposition and, when appropriate,
meet the requirements necessary for transfer to the
Florida State Archives.
(c) Optical disks will be obtained only from
vendors whose guarantee of 10 years or more of
readability is based upon accelerated aging tests
which are linked to specific locations of the disk
surface.
(d) STANDARD. A scanning density with a
minimum of 200 dots per inch will be required for
recording normal office documents on optical disk.
(e) STANDARD. A scanning density with a
32
minimum of 300 dots per inch will be required for
engineering drawings, maps, and other documents
with background detail.
(f) STANDARD. Any optical media
application system will support either Group 3 or
Group 4 compression techniques as specified in the
Consultative Committee on International
Telegraphy and Telephones 'Blue Book, Volume 7.3",
which is hereby incorporated by reference and made
a part of this rule. This volume is available from the
International Telecommunications Union,
Consultative Committee, Place des Nations, CH-
1211, Geneva 20, Switzerland. If use of a proprietary
compression technique is unavoidable, the vendor
should be required to provide a gateway to either
Group 3 or Group 4 compression techniques.
(g) The following factors are to be considered
before selecting a storage media or converting from
one media to another:
1. The authorized retention of the records as
determined during the scheduling process;
2. The maintenance necessary to retain the
records;
3. The cost of storing and retrieving the
records;
4. The access time to retrieve stored records;
and
5. The portability of the medium (that is,
selecting a medium that will run on equipment
oflfered by multiple manufacturers), and the ability
to transfer the information from one medium to
another such as, from optical disk to magnetic tape.
(h) Agencies will not use floppy disks for the
exclusive storage of long-term or permanent records.
(i) Agencies will ensure that all authorized
users can identify and retrieve information stored on
diskettes, removable disks, tapes, or optical disks by
establishing and adopting procedures for external
labeling of the contents of such diskettes, disks tapes,
or optical disks.
0) Agencies will ensure that information is not
lost due to changing technology or deterioration of
storage media by converting storage media to provide
compatibility with the agency's current hardware
and software. Before conversion of information to a
different media, agencies must determine that
authorized disposition of the electronic records can be
implemented after conversion.
(k) Agencies, will back up electronic records on
a regular basis to safeguard against the loss of
information due to equipment malfunctions or
human error. Duplicate copies of long-term or
permanent records will be maintained in storage
areas located in buildings separate from the location
of the records that have been copied.
(11) MAINTENANCE OF ELECTRONIC
RECORDS.
(a) STANDARD. Agencies shall maintain all
long-term and permanent backup/securi ty electronic
recording media in a storage facility, either on -site or
CHAPTER IB-26 RECORDS MANAGEMENT
onf--site, with constant temperature (below 68
degrees Fahrenheit) and relative humidity (30 to 40
percent) controls.
(b) STANDARD. Agencies shall annually read
a statistical sample of all electronic media containing
long-term or permanent records to identify any loss
of information and to discover and correct the cause
of data loss.
(c) STANDARD. Agencies shall copy all long-
term or permanent electronic records before the
media are 10 years old onto tested and verified new
media. The test will verify that the media is free of
permanent errors.
(d) STANDARD. Agencies shall rewind tapes
only when necessary. Stored tapes are to be rewound
only immediately before use to restore proper tension
to the tape. Only tapes with extreme cases of
degradation should be rewound when they are
discovered to avoid more permanent damaze.
(e) STANDARD. Agencies shall prohibit
smoking and eating in electronic media storage
libraries and test or evaluation areas which contain
long-term or permanent records.
(f) STANDARD. External labels (or the
equivalent automated management system) for
electronic recording media used to store long-term or
permanent records shall provide unique
identification for each storage media, including:
1. the name of the organizational unit
responsible for the data;
2. system title, including the version number
of the application;
3. special security requirements or restrictions
on access, if any; and,
4. software in use at the time of creation.
(g) STANDARD. Additionally, the following
information shall be maintained for each media used
to store long-term or permanent electronic records:
1. file title;
2. dates of creation;
3. dates of coverage;
4. the recording density;
5. type of internal labels;
33
6. volume serial number, if applicable;
7. the number of tracks;
8. character code/software dependency;
9. information about block size, and;
10. sequence number, if the file is part of a
multi -media set.
(12) RETENTION OF ELECTRONIC
RECORDS. Agencics shall establish policies and
procedures to ensure that electronic records and their
documentation are retained as long as needed. These
retention procedures will include provisions for:
(a) STANDARD. Scheduling the retention
and disposition of all electronic records, as well as
related access documentation and indexes, in
accordance with the provisions of Chapter 113-24,
Florida Administrative Code.
(b) STANDARD. Transferring a copy of the
electronic records and any related documentation
and indexes to the Florida State Archives at the time
specified in the records retention schedule, if
applicable. Transfer may take place at an earlier date
if convenient for both the agency and the Archives .
(c) STANDARD. Establishing procedures for
regular recopying, reformatting, and other necessary
maintenance to ensure the retention and usability of
the electronic records throughout their authorized
life cycle.
(13) DESTRUCTION OF ELECTRONIC
RECORDS. Electronic records may be destroyed
only in accordance with the provision of Chapter 113-
24, Florida Administrative Code. At a minimum each
agency should ensure that:
(a) Electronic records scheduled for
destruction must be disposed of in a manner that
ensures protection of any sensitive, proprietary, or
security information, and;
(b) Magnetic recording media previously used
for electronic records containing sensitive
proprietary, or security information are not reused if
the previously recorded information can be
compromised in any way by reuse.
Sprolfte Au tAonty 257.14 iS. Lao implemented ZS 7 36(V (o) F'S. 1l utnry- New
8• /6.92
A 0
r + } 1 1
APPENDIX "D"
Ch. 92 WITNESSES, RECORDS, AND DOCUMENTS F.S. 1995
92.29 Photographic or electronic copies. - Photographic reproductions or reproductions through
electronic recordkeeping systems made by any federal. state. county, or municipal governmental board.
department or agency, in the regular course of business. of any original record. document, paper or
instrument in writing or in an electronic recordkeeping system. which is. or may be. required or
authorized to be made, filed, or recorded with that board. department or agency 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.
Histon•. - s. 1, ch. 20866. 1941: s. 7, ch 94-348.
34
j
u
State of Florida
THE BASICS
- OF
RECORDS MANAGEMENT
Department of State
Division of Library and Information Services
Bureau of Archives and Records Management
The Capitol
Tallahassee, Florida 32399-0250
(850)487-2180 Suncom 277-2180
http://dI is.dos.state. fl. us/barm
State of Florida
THE BASICS
OF
RECORDS MANAGEMENT
Revised Issue Date
February 2001
Division of Library and Information Services
Bureau of Archives and Records Management
The Capitol
Tallahassee, Florida 32399-0250
(850)487-2180 Suncom 277-2180
http://dIis.dos.state.fl.us/barm
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
TABLE OF CONTENTS
PREFACE
I. AN INTRODUCTION TO RECORDS MANAGEMENT
Page 1
A. THE OBJECTIVES OF RECORDS AND INFORMATION MANAGEMENT
Page 1
II. RECORDS MANAGEMENT IN FLORIDA
Page 3
A. THE BUREAU OF ARCHIVES AND RECORDS MANAGEMENT
Page 3
B. REGULATORY MANDATE FOR RECORDS MANAGEMENT
Page 4
(1) Chapter 257, Florida Statutes
Page 4
(2) Chapter 119, Florida Statutes
Page 5
(a) What is a Public Record?
Page 5
(b) Inspection and Examination of Public Records
Page 6
(c) Exemptions from Florida's Public Records Law
Page 6
(3) Records Management in the Administrative Code
Page 7
(a) Rule 1B-24, F.A.C.
Page 7
(b) Rule IB-26.0021, F.A.C.
Page 7
(c) Rule 1 B-26.003, F.A.C.
Page 7
III. STARTING YOUR RECORDS MANAGEMENT PROGRAM Page 8
A. INVENTORY PROCEDURES: IDENTIFYING RECORDS Page 8
B. RETENTION OF PUBLIC RECORDS: ESTABLISHING A SCHEDULE Page 10
(1) General Records Schedules Page 10
(2) Individual Records Schedules Page 11
C. FINAL DISPOSITION OF PUBLIC RECORDS Page 14
(1) Records Disposition Report Documentation Page 15
(a) Distinguishing Between the Different Types of Retention Period Page 15
Requirements
(b) Records Volume Conversion to Cubic Foot Measurements Page 16
(2) Factors Which may Influence the Disposition of Records Page 17
(a) Litigation Page 17
(b) Public Records Requests Page 17
(c) Accreditation Standards Page 17
(3) Records Disposition Compliance Authorization/ Agency Update Page 17
IV. RECORDS MANAGEMENT APPLICATIONS Page 18
V. ARCHIVAL INFORMATION Page 19
VI. GLOSSARY Page 22
ATTACHMENTS Page 25
A. ORDER FORM FOR SCHEDULES, HANDBOOKS, AND OTHER PUBLICATIONS Page 25
B. PUBLIC RECORDS AND FREEDOM OF INFORMATION POLICY SOURCES Page 26
C. LISTING OF PROFESSIONAL RESOURCES Page 27
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
The goal of the Bureau of Archives and Records Management is to provide professional
assistance to state and local government agencies in managing the records and information
required to take care of the business of government. This is a particularly challenging goal
as we enter into the 21s` century. We live in a time when most employees are classified as
"knowledge" workers. Our society, as a whole, generates and processes information on an
unprecedented scale. Trying to manage this information in an effective and cost-efficient
manner can be an overwhelming task.
Besides the sheer volume of information that faces us, another problem that makes our
goal difficult to achieve is the rapid advance of technology that makes the generation and
processing of vast quantities of information possible and the equally rapid evolution of the
principles of law that govern the legality and admissibility of this technology. As records
and information managers, we must make every effort to keep ourselves educated and
informed so that the decisions we make are intelligent and relevant.
Here in Florida, those of us in the business of managing information are faced with yet
another challenge. Not only must we try to control costs through the application of sound
records and information management principles, but we must also try to apply these
principles in light of the public's right to know. Florida's Public Records Law is a model
for other states. Indeed, we are recognized nationally for the leadership role we take with
regard to public records and accessibility to public information. Florida has had some
form of a public records law since 1909. As we go about our business, we must never
forget the dual responsibility we have as public records and information managers: to
reduce the cost of doing business to the government agencies we serve and to guarantee the
public's right to know what its government is doing.
The benefits to be obtained from an effective records and information management
program are many. Compliance with legal retention requirements, faster retrieval of
information, space savings, fewer lost or misfiled records, reduction of expenditures for
records filing equipment --these are just a few of the things that records management can
help you achieve. It is our hope that the Basics of Records Management handbook will
serve as an introduction to records management and a guide to the ways in which the
Bureau of Archives and Records Management can help you in achieving your goals.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Records management's primary concern is the efficient and effective management of
information. The guiding principle of records management is to insure that information is
available when and where it is needed, in an organized and efficient manner, and in a well -
maintained environment. While the importance of records management is often
underestimated by people who do not directly work in the discipline, its impact on the
administrative ability of an organization to operate is indisputable. It is only through the
operation of a well -run records management program that an organization retains control
of its corporate memory, and it is this corporate memory that allows an organization, either
public or private, to conduct business. It is important to remember that records
management is not only retention schedules and the disposition of records that have met a
specific retention requirement; records management also comprises all the record -keeping
requirements that allow an organization to establish and maintain control over information
flow and administrative operations.
Where are the organization's records? How long are they kept? When are they eligible for
destruction? On what media are they recorded? Is the recording medium of sufficient
stability to maintain the viability of the records for the duration of its retention period?
What records are vital to the continued operation of the organization? If so, are these vital
records sufficiently protected? What recovery procedures are in place to help the
organization assemble its records and resume administrative operations in case of a
disaster? How do you manage electronic records? Is E-mail a record? Are any of the
records in an organization historically significant? These are some of the questions with
which records management is concerned. In this day of rapidly advancing technology and
the abundance of information that has resulted from the electronic revolution, records
management has emerged as one of the key tools that can assist government agencies in
both answering these questions and in dealing with the consequences of living in the
information age.
Records management seeks to manage and control records through the entirety of their life
cycle, from their creation and distribution, through their filing and use, and ultimately to
their final disposition or permanent retention. The benefits of well -run records
management operation are manifold.
?? Space savings. Space savings is the most immediately recognizable
benefit of a records management program. By implementing
retention schedules and systematically destroying those records that
are either duplicates or have already met their retention
requirements, an organization can reduce the space occupied by
records up to 40%.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
?? Reduction of expenditures for filing equipment. Disposing of
obsolete or duplicate records can have a great impact in reducing the
need for filing cabinets, files, etc.
?? Increased efficiency in retrieval of information. Retrieval of
information is made more efficient through improved management
of paper records systems and through cost-effective and efficient
implementation of nonpaper systems, such as electronic document
imaging and micrographics. An added benefit in improving filing
systems is the reduction of misfiles and lost records. A misfiled
record can cost an organization as much as $120 in clerical time
spent looking for the record.
?? Compliance with legal retention requirements and the
establishment of administrative, fiscal, historical retention
requirements. The hallmark of a good records management
program is the establishment of retention requirements based upon
an analysis of legal, fiscal, operational, administrative, and historical
requirements. In the absence of such requirements, many
organizations either destroy records that ought to be retained or they
retain everything. In either case, the organization is taking a legal
risk and assuming unnecessary operating costs.
?? Protection of vital records. Records management's involvement in
identifying vital records and in preparing a carefully designed
disaster recovery plan can help an organization reduce its
vulnerability. The destruction of important records can cost an
organization millions of dollars. In fact, such a catastrophe could
possibly threaten the organization's ability to function, thus placing
the organization's future existence in jeopardy.
?? Control over creation of new records. Seventy per cent of the cost
of information is in records creation. Records management, forms
management, and reports management can help reduce the
proliferation of unnecessary reports, documents, and copies, and at
the same time improve the effectiveness of those reports and
documents that do need to be created.
?? Identification of historical records. Records managers play a vital
role in the identification and protection of historical records. Often
they are responsible for preserving and making available these
records having long-term or archival value. Records management
programs should include procedures for the care of Florida's
documentary heritage.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
The Bureau of Archives & Records Management is part of the Division of Library and
Information Services. The Division is part of the Department of State. The Secretary of
State is the official holder of the Seal of the State of Florida and official record -keeper of
the State. The Bureau's role in this organizational hierarchy is to establish guidelines and
provide assistance in managing official government records.
One of the primary purposes of the Bureau of Archives and Records Management is to
provide local and state government agencies the guidance and assistance necessary to help
establish records and information management programs, manage the public records and
information that they create and use everyday, to help gain the greatest advantage in
applying the principles of records management to the problems of public records
management that they face everyday. To that end, the Bureau performs several functions
and offers a variety of services related to records and information management.
1. The Bureau establishes standards for controlling, retaining, destroying
and/or preserving public records. It provides state and local agencies with
consulting services, training, and guidance to assure their compliance with
state and federal laws, regulations, and policies.
2. The Bureau provides services and training in the following areas:
a. Records inventory and appraisal, including archival appraisal
b. Records retention and disposition
c. Records storage
d. Records preservation and conservation
e. Records system design, including creation and maintenance
f. Records filing, indexing, and retrieval equipment
g. Micrographic cameras, storage, indexing, and retrieval
equipment
h. Electronic recordkeeping requirements and guidelines
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Vital records protection planning and disaster planning and
recovery
3. The Bureau provides source document microfilming and computer
output microfilm (COM) production, and bit -map conversion services to
local and state government records management programs. State and local
government agencies can control paper, printing, storage, and distribution
costs by using high -volume, low-cost media alternatives like microfilm and
microfiche.
4. The Bureau provides off -site records storage at the Florida Records
Storage Facility. State and local government agencies may store non-
current or inactive records at the Florida Records Storage Facility. This
state-of-the-art facility is equipped to store paper records, microfilm, and
electronic records. Microfilm and electronic media are stored in
temperature- and humidity -controlled vaults.
These services are directed toward the ultimate goal of achieving effective and
efficient handling of government records and information. The purpose of this
handbook is to inform public agency employees about how to use these services, to explain
the Bureau's institutional objective and the regulatory authority under which it operates.
In addition, the handbook provides assistance and guidelines to state and local government
agencies in the administration of their own internal records management programs.
Working on their own and in conjunction with the Bureau, state and local government
records managers can apply the principles of records management to make all of the above
benefits realizable throughout Florida government.
(1) Chapter 257, Florida Statutes
The State of Florida's Records Management Program is a cooperative effort between the
Bureau of Archives and Records Management and the state and local government agencies
throughout the state. A part of the Division of Library and Information Services within the
Florida Department of State, the Bureau of Archives and Records Management provides
consulting and support services to these state and local government agencies in promoting
the efficient management of public records.
Chapter 257 of the Florida Statutes vests the Division of Library and Information Services
with the authority to oversee the records management functions of state and local
government agencies. Specifically, Chapter 257.36(1)(a) mandates that the Division of
Library and Information Services will:
establish and administer a records management program directed to the application of
efficient and economical management methods relating to the creation, utilization,
maintenance, retention, preservation, and disposal of records
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
This same section of Chapter 257 goes on to specify the responsibility of state and local
government agencies.
It is the duty of each agency to:
(a) cooperate with the Division in complying with the provisions of this Chapter and
designate a Records Management Liaison Officer, and
(b) establish and maintain an active and continuingprogram for the
economical and efficient management of records.
The designation of a Records Management Liaison Officer (RMLO) is established by a
letter from the agency to the Bureau of Archives and Records Management. Please refer to
STARTING YOUR RECORDS MANAGEMENT PROGRAM, for a discussion
regarding the appointment of the RMLO and the duties required of that position.
These are the primary statutory sources authorizing the Division of Library and
Information Services, acting through the Bureau of Archives and Records Management, to
administer a records management program. But this is only a small part of the whole
picture. One cannot understand the vital role of records management in the state of Florida
without a basic understanding of Florida's Public Records Law.
(2) Chapter 119, Florida Statutes
Florida has had a long tradition of open government and access to public records. The
state has had a public records law in some form in effect since 1909, and Florida is
recognized nationally as a leader in the area of public records policy. Chapter 119, Florida
Statutes, is the current version of the Public Records Law. This Chapter has specific
provisions that cover important issues such as defining a public record, access, and
exemptions. We will take a brief look at these provisions.
(a) What is a Public Record?
The definition of a public record in Chapter 119.011(1) F.S. is broad and all-inclusive.
The statute reads as follows:
"Public records" include 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.
It is important to note how broad and all -encompassing this definition of a public record is.
Another benchmark in defining the concept of a public record is an important legal case
that came before the Florida Supreme Court in 1980. In Shevin v. Byron, Harless,
Schaffer, Reid, and Associates, the Court issued the following opinion.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
If the purpose of a document prepared in connection with the official business of a
public agency is to perpetuate, communicate, or formalize knowledge, then it is a public
record regardless of whether it is in final form or the ultimate product of an authority.
(b) Inspection and Examination of Public Records
Florida's Public Records Law provides for citizens to have an unparalleled access to the
records of government. Chapter 119.07(1)(a) states that
Every person who has custody of a public record shall permit the record to be inspected
and examined by any person desiring to do so, at any reasonable time, under reasonable
conditions, and under supervision by the custodian of the public record or his designee.
What constitutes reasonable times and conditions with proper supervision are issues that
should be addressed in every agency's records management policies and procedures.
Obviously, the term "reasonable" will mean different things to different agencies. Many
factors will determine the "reasonable" period of time in which the information can be
provided: the nature of the request, the time involved in collecting and generating the
information requested, the scope and volume of material involved, the general accessibility
of the records, the personnel that will be required, and finally the information resources
necessary to gather or generate the information. All these issues must be taken into
consideration when the agency develops its public records accessibility policies and
procedures.
When an individual asks that they be allowed to copy a public record, agencies have the
right to charge for those copies under a fee provision in Chapter 119. These charges
should apply unless otherwise specified by statute. In addition, the Public Records Law
also allows for an agency to charge a requester if the request for information will result in
the extensive use of information technology resources or extensive clerical or supervisory
assistance by personnel. Here, again, what constitutes extensive use of either clerical staff
or information technology resources should be issues that are addressed in each agency's
recordkeeping strategy and information policy.
(c) Exemptions from Florida's Public Records Law
Not every record generated by local and state government is open for inspection. Chapter
119.07(3)(a) states:
All public records which are presently provided by law to be confidential or which are
prohibited from being inspected by the public whether by general or special law are
exempt from the provisions of subsection (1) and s. 24(a), Art I of the State Constitution.
For the purpose of this handbook, it is not possible to cover all the various exemptions to
the Public Records Law that occur throughout the statutes. Certain exemptions are spelled
out in Chapter I I9.07(3)(b)-(z). It is important, however, to remember a couple of things.
First, because of the scope and breadth of Florida's Public Records Law, there is a general
presumption of openness with regard to government records. In other words, government
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
records are open to public inspection unless otherwise exempted. Only the Legislature can
grant such an exemption. Second, the term "exempt" does not mean outside the
requirements of retention and disposition. Records that are exempt from inspection must
still be scheduled by the Bureau of Archives and Records Management.
See APPENDIX B for a list of further sources of information on public records, access,
and exemption issues.
(3) Records Management in the Administrative Code
In addition to Chapters 257 and 119, Florida Statutes, Florida's Administrative Code
includes the following rules which have been promulgated to aid agencies in establishing a
records management program. They are summarized below:
(a) Rule I B-24, Public Records Scheduling and Dispositioning: This rule
establishes standards and procedures for the scheduling and dispositioning
of public records to promote economical and efficient management of
records and to ensure that records of archival value under an agency's
control are so designated and ultimately transferred to the Florida State
Archives.
(b) Rule IB-26.0021, Records Management- Standards and
Requirements - Microfilm Standards: The purpose of this rule is to
provide standards for microfilming of public records to ensure that the film,
photographing methods, processing, handling, and storage is in accordance
with methods, procedures, and specifications designed to protect and
preserve such records on microfilm.
(c) Rule IB-26.003, Records Management- Standards and Requirements
- Electronic Recordkeeping: The purpose of this rule is to provide
standards for public records which have a retention value of more than ten
(10) years; that will be recorded and stored on electronic media.
Copies of any of the statutes or rules governing the operation of the Department of State's
Records Management Program can be obtained by calling the Bureau of Archives and
Records Management at (850) 487-2180, accessed on the Bureau's web site
(http://dlis.dos.state.fl.us/bami) or by making a copy of the order form for schedules,
handbooks, and other publications, which is located in the back of the handbook; and
mailing or faxing it to the Bureau at (850) 488-1388.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Setting up the administrative procedures required to start a records management program
in an agency may at first appear to be an almost impossible task. If you are just getting
started, the start-up will indeed require a concerted effort, patience, cooperation from
fellow employees in the agency, and time. All of this presupposes support from
management. Without initial support from management to allocate resources to the
project, implementation of an effective records management program will be extremely
difficult.
It is important to remember in getting underway, however, that the Bureau of Archives and
Records Management is charged with the responsibility of providing guidance and
assistance in helping agencies initiate and sustain records management programs
throughout Florida government. We will be available to assist you upon request in
whatever way we can.
One of the first responsibilities that must be fulfilled is the appointment of a Records
Management Liaison Officer (RMLO). The RMLO functions as the primary point of
contact between an agency and the Bureau of Archives and Records Management. To
appoint an RMLO, an agency needs to submit a letter to the Bureau under signature by
management indicating who the RMLO for the agency will be. Because the RMLO is in
close contact with the Bureau of Archives and Records Management, he or she will be an
important source of information about Bureau policies and procedures within his or her
agency.
The establishment of new retention schedules or the identification of existing retention
schedules that can be applied to an agency's records is the starting point for developing an
effective records management program. The first step in this process is the records
inventory. In order to accurately schedule records, an agency must know what records it
has. At first, this may seem like a ridiculous oversimplification of a procedure. In the
Bureau of Archives and Records Management, the approach to helping an agency with an
inventory of records is one based upon common sense. The Bureau will not tell an agency
how to file documents; rather, the Bureau will stress that an agency operate within the
system it has been using. An inventory can be as detailed as the agency requires. At the
very least, however, an agency should establish some basic recordkeeping procedures
about the records that it is responsible for creating and maintaining. Without these basic
procedures in place, it will be impossible to implement even the most rudimentary records
and information management controls.
The essential components that these recordkeeping requirements should address are
identified and discussed below.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Record Series Title. An agency's files are organized into record series. A record series is
defined as a group of records filed together because they have similar characteristics or
because they perform functions. These records are usually arranged under a single filing
system or kept together as a unit because they relate to a particular subject, result from the
same activity, or have a particular form. For example, equipment maintenance/repair
records perform a single function: they are operational records that reflect the allocation of
resources to the routine upkeep of various equipment. These records may include various
types of information relating to repairs and maintenance, including work orders, dates, cost
of parts, cost of labor, etc.
Description. The description of the record series identifies the record's purpose and
function with regard to the agency's operation. The description indicates exactly how the
record is used and why it was created. Additional information in the description might
include the medium on which the record is recorded, routing path of duplicate copies (if
any), statutory requirements for creating the record in the first place, etc. Essentially, the
description should contain any piece of information that would enable someone not
familiar with the record series or someone in future not present at the time the record was
first created to identify the record series and the contents of the files.
Inclusive Dates. When first identifying the records retained in an office, it is important to
determine the relevant date ranges to which those records pertain. This is necessary in
order to ascertain if records are being kept longer than required.
Volume. The volume required for records storage space can be considerable. When the
inclusive dates of a record series retained in an office far exceed the requirements specified
by a retention schedule, an agency can realize significant savings when this volume of
records is destroyed. Space -savings often is the first benefit realized through the operation
of an effective records management program.
Retention. If a retention period is already approved, this retention requirement should be
noted on the inventory form. If no retention period exists for the record series, note the
time period that the record series is administratively active.
At this point, the basic information of the inventory has been completed. The next two
sections of the handbook will illustrate how this data can be used.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Establishing a Records Retention Schedule - A schedule describing the records and
setting the retention period is required for each record series, or type, of record. This
determines officially the MINIMUM length of time that the record series must be
retained to meet retention requirements.
There are two types of retention schedules: General Schedules and Individual Records
Retention Schedules.
(1) General Records Schedules establish disposition standards for records common to
several or all government agencies. This pertains to approximately 75-80% of an agency's
records. The records covered by these schedules pertain to both the administrative and
program functions of an agency. The General Records Schedule for Local Government
Agencies (GS1-L) is applicable to administrative and financial records and may be used by
any local public agency in Florida. Except for the General Schedule for State Agencies
(GSl-S), all other general records schedules are applicable to program records of specific
functional organizations, such as tax collector's offices, hospitals, and educational
institutions, each of which have unique retention requirements. These general records
schedules have been designed to complement each other to cover as many administrative
and program records as possible. For example: General Records Schedule GS7 will
contain program records for Public Schools and General Records Schedule GS1 I will
contain records directly related to the Clerk of Court. The administrative and financial
records for these two agencies will be contained in General Records Schedule GS1-L. If a
similar record series is listed in two general record schedules, the retention requirements
contained in the program schedule shall take precedence. In other words, if a record series
is contained in both the GSI-L and the GS2, law enforcement agencies should abide by the
retention requirements cited in the GS2. The retention period stated in the applicable
schedule is the MINIMUM time a record is to be maintained. If two or more record series
are fled together, the combined file must be retained through the longest retention period
of those records. A general records schedule reduces the need for the creation and
submission of an individual Records Retention Schedule, Form LS5E10511effl-01.
However, an agency desiring a lesser retention period than that stated in a general records
schedule must apply for the establishment of an individual agency retention schedule with
proper justification.
GS1-L Records Retention Schedule for Local Government Agencies
(Administrative)
GSI-S Records Retention Schedule for State Agencies
(Administrative)
GS2 Law Enforcement, Correctional Facilities & District Medical
Examiners
GS3 Supervisors of Elections
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
GS4 Public Hospitals, Health Care Facilities & Medical Providers
GS5 Universities and Community Colleges
GS6 Building Departments (Please see GS1-L)
GS7 Public Schools, Pre-K 12, Adult & Vocational/Technical
GS8 Fire Departments
GS9 State Attorneys
GS10 Public Defenders
GS11 Clerks of Court
GS12 Property Appraisers
GS13 Tax Collectors
(2) Individual Records Schedules are established when the agency submits a Records
Retention Schedule, Form LS5E105REff1-01, to the Bureau of Archives and Records
Management and receives approval authorization. These schedules are used for the
remaining 20-25% of an agency's records that are not in a general schedule and are unique
to that agency. A copy of the Form LS5E105 may be obtained from the Bureau. It will
also be available on the Bureau's web site. (See Resource Order form.)
Once an official retention value has been established for a record series, the records are
eligible for disposal action when they have met the retention requirements. The schedule
remains effective until there is a change in series content or other factors are introduced
which would affect the initial approved retention period, at which time a new individual
records schedule should be submitted for approval.
While the initial appraisal/analysis/evaluation of the record focuses on the functional value
that the records serves in the office, the entire process involving both agency personnel and
the analysts at the Bureau of Archives and Records Management serves the following
objectives:
To describe the use and function of the records series;
To summarize important characteristics of the records series;
To identify records of permanent/archival value;
To identify vital records;
To identify preservation problems;
To identify regulatory or statutory retention requirements;
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
To establish reformatting requirements; and
To establish reasonable and appropriate retention periods.
A sample Records Retention Schedule (Form LS5E 105REffl -01) is located on the
Bureau's website. Detailed instructions are listed below.
Completing the Records Retention Schedule (Form LS5E105REff1-01)
**It is important to note that the Records Retention Schedule (Form LS5E105REff7-01) has been revised,
effective February 20, 2001. Please make sure that the instructions below are read carefully to insure the
form is filled out and submitted correctly. The form can be accessed on the Bureau's website.
Each proposed Records Retention Schedule (Form LS5E105REffl -01)is analyzed by the
Bureau's Records Analysis Section and the State Archives. The Florida Statutes,
administrative rules, operating procedures, applicable federal regulations and other such
sources shall be researched to assist in the determination of a record's value.
The accurate completion of the Records Retention Schedule (Form LS5E105REffl-01)
requires that the agency personnel responsible for creating and maintaining the records
perform an appraisal of the record, involving the careful analysis and evaluation of the
records according to their use and function. Based upon this analysis, the records
management personnel in the agency develop a records description and develop an initial
recommendation about how long the records must be kept. The retention requirement is the
MINIMUM time period that a record must be kept before disposition can be authorized.
This time period is based on information supplied by the agency and the specialized
knowledge of the staff of the Bureau of Archives and Records Management.
STEP L NUMERIC SEQUENCE OF THE RECORDS RETENTION SCHED ULE
The block for schedule number in the upper right corner of the page is intended for use by the originating
agency. This number is your tracking and audit trail number. If you assign this number before it leaves your
office on its way to the Bureau of Archives and Records Management, the number becomes your control
identification number. You can call the Bureau at any time to determine the status of your document, and
there will be a minimum of delay in tracing your form through our processing system. Since the approved
records retention schedule documents should be maintained by the RMLO, that person should always have a
latest number available for use on the next form to be submitted. There is also a place to note if this is a new
schedule or a revision to an existing one.
STEP 2. GENERAL INFORMATION
In the numbered spaces 1-5, the person completing the form should identify the originating agency and the
custodian of the record (name/telephone number) as well as the contact/RMLO. This will be the individual
most familiar with the record that is listed. The contact person identified in space 5 is usually the person
completing the form.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
STEP 3. RECORD SERIES INFORMATION
One of the changes to the Records Retention Schedule is that only one record series will be allowed per form.
The exact title of the record series should be listed in space 6. Space 7 is where the record is described. It
should include the purpose and use of the record, including the inclusive dates, any audit requirements and
other related documentation. Please state if the specified record is the record (master) copy or a duplicate. If
it is a duplicate, please indicate the location of the record (master) copy.
Your agency will also need to determine if the record is considered vital. This is covered in Space 8.
Identifying the vital records that your agency creates or uses is crucial to the security of your operations. In
the event of a disaster, will this record series be one which is necessary for your agency to continue
operations as quickly as possible? (Please see Vital Records Protection Handbook for detailed information
on what is considered vital to public agencies)
Indicate the primary purpose or value of the record. Legal value means that the records may be used in or
are often subject to litigation; or a specific state or federal law (such as statute of limitations) regulates the
length of retention. Fiscal value indicates that the records are needed for audit purposes. Also, certain
records will document financial transactions of the agency. These records might include, but are not limited
to budgets, payrolls, procurements, or payments. An agency will also need to be aware of any audit
requirements. Audits are the means by which independent parties examine and render opinions on financial
reporting, control adequacy, or compliance with imposed requirements. Administrative value reflects
general office use.
Record series may contain many different types of media formats. List all that exist in this record series,
including the format of duplicate copies.
Those record series that have the clause "provided applicable audits have been released" are required to
follow s. 11.45, F.S. There are various types of audits. Financial audits are examinations of the financial
statements, including footnotes and supplemental information. Audits may be conducted by the Florida
Auditor General, independent public accountants, state or federal auditors as well as grant funding agencies
and national or statewide professional accreditation or certification groups. The State of Florida requirement
for all local agencies with revenues or expenditures of $50,000 or greater is for an audit by an independent,
Florida -licensed CPA. By statute, (s. 11.45(3)(a)4., F.S.), the Board of County Commissioners is charged
with selecting and contracting for this annual audit of the County and all County Officers. This audit is
required to be a financial, internal control, and compliance audit, all in one. Performance audits examine
the economy and efficiency and/or effectiveness of applicable programs, activities, or functions.
STEP 4. RECOMMENDED RETENTIONAND DISPOSITION
Space 9 is where your agency will make their recommended retention for the record (master) copy
and for duplicates. This means that a MINIMUM time frame that the record has to be retained
before it is eligible for disposition, should be stated. The three values mentioned above will help the
agency in determining how long that a record is kept before it is disposed of. A fourth value,
historical/archival, is reviewed and evaluated by the State Archives staff.
Also state if the record is to be microfilmed or scanned into an optical imaging system. The record copy may
be reduced to microfilm, optical disk, or other media as long as the requirements of the rules of the Florida
Administrative Code, Rule 113.26.003 and 113.26.0021 are met. This recommended retention should be
based on your familiarity with the record and its function in your office. A retention schedule should be
established for both the record (master) copy of the record series and for duplicates.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
STEP 5. AUTHORIZATION
The agency authorization in space 10 is usually the custodian of the record or their designee. This person
may be the Records Management Liaison Officer (RMLO). The agency authorization must be signed and
dated for the form to processed by the Bureau.
STEP 6. OFFICIAL RECORD SERIES (Department of State Use Only)
When a Records Retention Schedule (Form LS5E105REffl-01) is received by the Bureau of
Archives and Records Management, an analyst will review the submitted information and the
recommended retention schedule to be sure it is in compliance with legal requirements and analyze
any administrative, fiscal, or historical value that the record might have. The analyst also reviews
the Bureau's precedent file of similar established retention schedules. In many cases, the analyst
will call the form's originator or the agency RMLO to obtain additional information or clarification
on some point. An archivist from the State Archives will review for any historical/archival
requirements. The main objectives of this determination are to preserve those records pertaining to
the operation of government and to protect the rights and interests of the citizens of the State. In the
event that records are of archival value, an indication is made on the retention schedule worksheet
that such historical records are to be transferred to the Florida State Archives as part of the retention
requirement. Local government records having archival value may be loaned to local historical
records repositories for preservation provided they are maintained under the provisions of Chapter
119, F.S. Some records are important not only for today's researcher, but for researchers hundreds
of years from now. These records should document the scope, nature, and extent of major state and
local programs, as well as the condition of the government and its people. Because these records
have sustained long-term value, they should ideally be retained permanently in an archives
repository designed to retain and preserve such records indefinitely. For state agencies, these
records are retained permanently and are targeted for transfer to the state archives for preservation
and reference. (Only 3-5% of an agency's records are generally targeted for transfer to an archives.)
The analyst will then write the official schedule, which will include the title, description and
retention. The original is retained in the Bureau of Archives and Records Management, and a copy
is returned to the originating agency.
Any questions regarding the completion of the Records Retention Schedule (Form
LS5EI05REffl-01) should be addressed to the Bureau. The staff of Records Analysis Section
can be reached at (850) 487 2180 (SUNCOM277 2180).
Florida Statutes Chapter 257.36(6) states that "A public record may be destroyed or
otherwise disposed of only in accordance with retention schedules established by the
division." This means that all records, regardless of access provisions, must be scheduled
before disposition can occur (See Florida Statutes Chapter 119.07). The first step in
obtaining this approval is the process of finding a valid records retention schedule in either
a general or an individual records retention schedule or creating a new records retention
schedule for an agency's record series.
NOTE: The submission of the Records Disposition Request (Form LSSE107R4-93) by
agencies to the Bureau of Archives and Records Management has been discontinued as of
February 20, 2001. (Please check with the Bureau of Archives and Records Management if
you have any questions concerning the new procedures.)
14
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
(1) Records Disposition Report Documentation
The Bureau has a recommended disposition documentation form on its website. It is titled
Records Disposition Report. It replaces the Records Disposition Request (Form
LS5E107R4-93), which is similar looking. Documentation such as this form will need to
be maintained by your office to list what records have been disposed of since February 20,
2001. The Records Disposition Request (Form LS5E107R4-93), will no longer be
required as of that date. An agency is not required to use this form. NOTE: Whatever
documentation is used will have to contain the following standards: schedule number, item
number, records series title, inclusive dates and volume in cubic feet. Internal
documentation of records disposal is required.
(a) Distinguishing between the different types of retention period
requirements.
When trying to determine if a record is eligible for destruction, you need to be aware of the different
types of retention requirements. A record with a retention of "3 years" will have a different eligibility
date than those records with "3 fiscal years" or "3 calendar years" retention requirements.
There are three types of retention requirements that apply to "Years":
,Ke Anniversary (years) —from a specific date Example: 3 years
If a record has a "3 year" retention, the eligibility date would be 3 years after the ending
date of the record.
.esescalendar — January 1st thru December 31st Example: 3 calendar years
If a record has a "3 calendar year" retention, the eligibility date would be 3 years after the
end of the calendar year that the last record applies.
.yes fiscal
Example: 3 fiscal years
school districts — July 1st thru June 30th
local — October 1st thru September 30th
If a record has a "3 fiscal year" retention, the eligibility date would be 3 years after the end
of the fiscal year that the last record applies.
Other types of retentions
Months or days
Examples: 3 months; 90 days
OSA — Retain until obsolete, superseded or administrative value is lost.
With this retention, a record is eligible for destruction whenever it is no longer of any use or
value.
It could vary from 5 years after creation of the record to the day that it was created.
Specific — life of structure, etc.
15
0
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Calculating Eligibility Dates
Let's say that the ending date for a specific record series is 7/31/1997. When can these records be
destroyed?
Retention Period
Date to start
Add # of year
Date eligible for
counting
destruction
3 years
7/31/1997
+3
= 7/31/2000
3 fiscal years
10/1/1997
+3
= 10/1/2000
3 fiscal years (school district)
7/1/1998
+3
= 7/1/2001
3 calendar years
1/1/1998
+3
= 1/1/2001
(b) Records Volume Conversion to Cubic Foot Measurements
Cassette Tapes (200)
1.0 cu.
ft.
Letter -size, drawer or box
1.5 cu.
ft.
Legal -size, drawer or box
2.0 cu.
ft.
Letter -size, 36@ shelf
2.0 cu.
ft.
Legal -size, 36@ shelf
2.5 cu.
ft.
Magnetic Tapes (12)
1.0 cu.
ft.
3 x 5 card, ten 12@ rows
1.0 cu.
ft.
3 x 5 card, five 25@ rows
1.0 cu.
ft.
4 x 6 card, six 12@ rows
1.0 cu.
ft.
5 x 8 card, four 12@ rows
1.0 cu.
ft.
Tab card, five 14@ boxes
1.0 cu.
ft.
Tab card, three 24@ boxes
1.0 cu.
ft
While the most common method of disposing of records is actual destruction, disposition
may also mean the transfer of records to another agency. For example, if a public agency
wishes to transfer records to another public agency, then the custody of those records
becomes the responsibility of the public agency to which the records are being transferred.
If a public agency has a request from a private historical society for a loan of certain
records, then the loan of those records may be made but the agency is still responsible for
the record.
16
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
(2) Factors Which may Influence the Disposition of Records
(a) Litigation - When a public agency has been given notice that a potential cause
of action is pending or underway, records related to that cause should NOT be
disposed of in any manner regardless of prior approval by the Division of
Library and Information Services, Florida Department of State. Your agency's
legal counsel should inform the RMLO when the records become eligible for
disposition.
(b) Public Records Requests - According to Section 119.07(2)(c), F.S., the
custodian of a public record may not dispose of a record for a period of 30 days
after the date on which a written request to inspect, examine, or copy the record
was served on or otherwise made to the custodian. If a civil action is instituted
within the 30-day period to enforce the provisions of this section, with respect
to the requested record, the custodian shall not dispose of the record except by
order of a court of competent jurisdiction after notice to all affected parties.
(c) Accreditation Standards- Some public agencies receive national or statewide
accreditation or certification by professional societies, organizations, and
associations. Examples may include the Joint Commission on the Accreditation
of Health Care Facilities, the American Hospital Association, and the
Commission on Office Laboratory Accreditation. In an effort to enhance the
professionalism of their members, these groups may place heavier burdens on
public agencies than those which are mandated under state or federal law. The
Bureau of Archives and Records Management issues MINIMUM legal
retention periods in its General Records Schedules. Agencies may choose to
maintain their records for a longer period of time in order to meet accreditation
standards. If, however, a professional society requires a shorter retention
period than the Bureau, the General Records Schedule would prevail.
Notwithstanding an approved official Records Retention Schedule (Form LS5E105REffl-
01) or General Records Schedule, prior to disposition of any public record, an agency must
ensure that the retention requirements for the record have been satisfied. Knowledge of
disposal eligibility is the responsibility of the agency.
(3) Records Disposition Compliance Authorization/ Agency Update
Each agency will receive from the Bureau, once a year, a Records Disposition Compliance
Authorization, documenting whether the agency's records management program is in
compliance with applicable laws and rules. It is requested that your agency complete the
form and mail it back to the Bureau promptly. The information will be submitted annually
in a report to the Governor and Legislature. Accompanying the authorization will be an
"Agency Update Sheet." This form will be used by the Bureau to maintain up-to-date
RMLO information.
17
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
As an agency's knowledge and awareness of records management grows, it becomes
obvious that records management is composed of other disciplines that can support,
enhance, create, or integrate records management within an agency. These other records
and information management disciplines can have a significant impact on the operations of
an agency.
The Bureau of Archives and Records Management publishes handbooks that contain
detailed information on these topics. A Resource Order Form listing the handbooks is
included in Appendix "". The handbooks include the following:
The Basics of Records Management
Records Management SelfEvaluation Guide
Electronic Records and Records Management Practices
Files Management Handbook
Micrographics Handbook
Public Records Storage Guidelines for Records Centers and Archives
Vital Records Protection Handbook
18
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
An archival repository is an organization or facility that is dedicated to the preservation of
documents deemed to have historical significance. Records transferred to an archives have
a permanent retention. Archival records are defined as those records which are determined
to have long-term continuing value. Archival records are often also referred to as
historical records, but their value can be historical, administrative, legal, or financial. The
term has traditionally been referred to describe records no longer required for current use
which have been selected for permanent preservation. An archives is defined as the
agency responsible for collecting, preserving and making available records determined to
have permanent or continuing value. Archives also refers to the building in which an
archival institution is housed.
Archival records provide the best source of information on the development of the state
and the lives of its citizens. They document our personal lives, our business and
professions, and our culture. Historical records need to be preserved because our
government is obliged to maintain them and because they tell us where we have been, offer
insights into where we are now, and provide vision for our future. Historical records are
used to provide information on the program and functions of government, to prove
ownership of property, and document family history. Archival records document the rights
and privileges we have as citizens.
Archivists and records managers work together to identify, select, and preserve historical
records. Records managers, through the application of standard records management
practices, insure that records and information are properly managed in the office, that they
are identified, and that through the scheduling and disposition process archival records are
preserved.
Archivists appraise records to determine archival value. The values that justify the
continuing retention of records as archives include the value for providing evidence of the
origins, structure, functions and operations of the agency that created them; the financial,
legal and administrative value for the conduct of current and future administrative
business; the information value for reference or research deriving from the information the
records contain; and the intrinsic value deriving from an association with an historical
event or person. Age and format alone do not determine archival value. Records and
information being created today can have the same archival value as records created over
one hundred years ago. Information maintained electronically can have archival value just
as information written on paper or bound in a volume.
Record series listed on retention schedules and disposition notices submitted to the Bureau
of Archives and Records Management are reviewed for archival value. If a determination
is made that the records have archival value, the agency is notified. The Florida State
Archives, a program of the Bureau of Archives and Records Management, serves as the
archives for state government agencies. Some local government agencies have formal
archival programs.
19
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
The Florida State Archives is the central repository for the archives of state government.
In the broadest sense, the purpose of the Florida State Archives is to preserve and make
available to the public and the agency that created the records the permanent public records
in its custody. The Archives' specific mandate in Section 257.35, Florida Statutes,
authorizes the Florida State Archives, Division of Library and Information Services, to
accept, arrange and preserve records transferred to its custody. The Division is also
empowered to direct and effect the transfer to the archives any records that are determined
by the Division to have such historical value to warrant their continued preservation or
protection, unless the head of the agency which has custody of the records certifies that the
records shall be retained in the agency's custody for use in the conduct of the regular
current business of the agency. Title to any records transferred to the Florida State
Archives is vested in the Division. State government public records the Archives'
preserves are available to the public and the creating agency.
All public records transferred to the Florida State Archives must be properly scheduled
through the Bureau's Records Analysis Section. Contact the Archives' staff for
instructions and assistance in completing a transfer. Information provided includes the
types of storage boxes to use, instructions on packing the boxes, labeling the cartons, and
documenting the records transfer.
Local government archival records reflect and touch the lives of citizens more that many
other types of records. The records document property ownership, birth, deaths and
marriages, school attendance, and many other aspects of our lives. The valuable
information they contain must be not only preserved but made available to people to use
them. There are many options a local government can take to preserve and make available
its archival records. Not all local governments need to establish a formal archival program
as found at the state and national level.
The first step local governments should take to formally begin the process is to pass an
ordinance or resolution officially providing the basis of operation of a records management
and archives program. A resolution demonstrates the local government's commitment to
preserve its historical records and emphasizes the importance of this activity to managers,
employees and the public. There are several options a local government can consider
when planning to care for its archival records. Governments can:
Include the identification, preservation and availability of archival
records as a part of the governments overall records -keeping process.
This option requires the records custodian to care for the records from
creation to disposal or permanent retention. Office records are
identified, scheduled, and maintained in the creating office and
inventories are created to assist researchers in using the records. Office
staff assist researchers using the records. This option is useful for
governments with few archival records, such as school boards, and is
economical in that office staff and facilities are used to maintain the
records.
20
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
2. Incorporate an archives program into a comprehensive records
management program. Records centers can be adapted to store archival
records and staff can receive basic archival and preservation training to
handle the archival records. The Records Management Liaison Officer,
or another individual, can be given the archives responsibility and can
serve as the contact point for researchers using the records. This option
should include provisions for a proper storage environment for the
archival records in the records center.
3. Establish an independent archives program, including an archives
building and a staff of professional archivists, with a dedicated source of
funding. This option requires the largest amount of resources and
commitment.
4. Create a multi -government archival program where several local
agencies pool their resources to preserve and make available local
historical records. An example would be where the county Clerk of
Court, Board of County Commissioners, and School Board work
together to form one archival program documenting the county's
history.
All local governments interested in establishing an archives program are encouraged to
contact the Bureau of Archives and Records Management for assistance. The Bureau can
provide technical assistance and training in all areas of archives management including
program establishment, records identification and selection, access and public programs,
preservation, and program assessment.
21
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Active Records: Those records which still have sufficient administrative, fiscal, legal, or
historical value to warrant their continued storage in an easily accessible area (i.e. the
office place).
Agency (as defined in Rule 1B-24, FAQ: "Any state, county, or municipal officer,
department, district, division, board, bureau, commission, or other separate unit of
government created or established by law."
Appraisal: The process of determining the value and thus the disposition of records based
upon the current administrative, legal, and fiscal use, their evidential and informational or
research value; their arrangement; and their relationship to other records.
Archives: An organization dedicated to the preservation of documents deemed to have
historical significance. Usually an archives will also accept, arrange, and preserve such
records according to approved archival practices.
Custodian (as defined in Rule 1B-24, FAQ: "The elected or appointed state, county,
district, or municipal officer charged with the responsibility of maintaining the office
having public records, or his or her designee."
Disaster Preparedness: The systematic identification of those records which are
absolutely vital to an agency's purpose and the subsequent development of a plan to protect
such records.
Disposition: The process of disposing of public records. Disposition usually refers to
several methods including actual destruction, off -site storage, or archival storage.
Duplicate (or Convenience) Records (as defined in Rule 1B-24, FAQ: "Reproductions
of record (master) copies, prepared simultaneously or separately, which are designated as
not being the official copy."
Electronic Records (as defined in Rule 1B-24, FAQ: "Any information that is recorded
in machine-readable form."
Files Management: Applying records management principles and techniques to filing
practices in order to organize and maintain records properly, retrieve them rapidly, ensure
their completeness, and make their disposition easier.
General Records Schedule (as defined in Rule 1B-24): "Retention requirements issued
by the Division (of Library and Information Services) to establish disposition standards for
public records common to specified agencies within the State of Florida which state the
minimum time such records are to be kept." For a complete listing of all general records
schedules, please see the Index or the Resource Order Form.
22
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Inactive Records: Those records which have lost some of their value or have been
superseded by new records, but which have not reached their specified retention. These
records can be stored off -site until final disposition is warranted.
Intermediate Records/Processing Files (as defined in Rule 111-24, FAQ: "Temporary
records used to create, correct, reorganize, update, or derive output from master data files.
Intermediate records are precursors of public records, and are not, in themselves, public
records which must be retained. Intermediate records only exist provided a final product is
subsequently generated which perpetuates, communicates, or formalizes knowledge of
some type. In the absence of such a final product, processing files constitute final evidence
of the knowledge to be recorded and shall not be construed as intermediate files."
Public Records (as defined in Chapter 119, FS): "`Public records' include 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."
Record (Master) Copy (as defined in Rule 113-24, FAQ: "Public records designated by
the custodian as the official record.
Record Series (as defined in Rule 113-24, FAQ: "A group of related documents arranged
under a single filing arrangement or kept together as a unit because they consist of the
same form, relate to the same subject, result from the same activity, or have certain
common characteristics."
Records Center: A facility especially designed and constructed for the low-cost and
efficient storage and furnishing of reference service on semi -active records pending their
ultimate disposition.
Records Inventory: The systematic categorization of records inside an agency; this is an
inventory performed towards the development of retention periods for record series, or
identification of record series described in the various general record schedules published
by the Bureau of Archives and Records Management.
Records Management: The application of systematic and scientific controls applied to
recorded information required in the operation of an agency's business. It is a program
instituted to achieve control over records from the time of their creation or receipt, through
their organization and maintenance, and finally to their ultimate disposition.
Records Management Liaison Officer (as defined in Rule 111-24, FAQ: An individual
designated by the agency that serves as a contact person to the Division and is assigned
responsibilities by the Custodian.."
Records Retention Schedule (Form LS5E105REff1-01 as defined in Rule 113-24,
FAQ: "A standard approved by the Division (of Library and Information Services) for
23
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
the agency's orderly retention, transfer, or disposition of public records taking into
consideration their legal, fiscal, historical, and administrative values."
Retention: The minimum time period necessary to retain records before they have met
their administrative, legal, fiscal, or historical values, and are eligible for disposition.
Semi -Active Records: Records referenced so infrequently in the conduct of current
business that they should be stored in off -site storage, such as a records center; also called
inactive records.
Supporting Documents (as defined in Rule 1B-24, FAQ: "Public records assembled or
created to be used in the preparation of other records which are needed to trace actions,
steps, and decisions covered in the final or master record."
Vital Records: Those records which are essential to the operations of an agency and
which protect the rights of individuals; often, vital records are identified as part of a
disaster preparedness program, and they constitute those records that are needed in order to
reestablish the business of the agency after the disaster.
24
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
A. Order Form for Schedules, Handbooks, and Other Publications
Complete and Mail or Fax To:
The Bureau of Archives and Records Management
Records Analysis Section, Mail Station 9A, The Capitol
Tallahassee, FL 32399-0250
FAX: (850) 488-1388
NOTE: PLEASE BE SURE TO SPECIFY THE QUANTITY DESIRED!
GS1-L Local Government Agencies (Administrative Records)
GS1-S State Government Agencies (Administrative Records)
GS2 Law Enforcement, Correctional facilities & District Medical Examiners
GS3 Supervisor of Elections
GS4 Public Hospitals, Health Care Facilities & Medical Providers
GS5 Universities and Community Colleges
GS7 Public Schools, Pre-K-12, Adult & Vocational/ Technical
GS8 Fire Departments
GS9 State Attorneys
GS10 Public Defenders
GS11 Clerk of Court
GS12 Property Appraisers
GS13 Tax Collectiors
Records Retention Schedule (Form LS5E105R-2001)
The Basics of Records Management
Records Management Self -Evaluation Guide
Electronic Records and Records Management Practices
Files Management Handbook
Micrographics Handbook
Public Records Storage Guidelines for Records Centers and Archives
Vital Records Protection Handbook
Chapter 119, F.S.- Public Records
Chapter 257, F.S.- Public Libraries and State Archives
Rule 1B-24, F.A.C.- Public Records Scheduling and Dispositioning
Rule 113-26.0021, F.A.C.- Records Management Standards and Requirements- Microfilm Standards
Rule 1 B-26.003, F.A.C.- Records Management Standards and Requirements- Electronic
Recordkeeping
PLEASE NOTE: The Bureau's publications are available on the Department of State's website at
http://diis.dos.state.fl.us/barm. Simply navigate to the home page of the Division of Library and Information Services
and then proceed to the home page of the Bureau of Archives and Records Management.
Your Name:
Agency:
Address:
W
( / k
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
B. Public Records and Freedom of Information Policy Sources
For a comprehensive reference tool regarding exemptions, this handbook recommends that
agencies purchase "The Government -in -the -Sunshine Manual," which is compiled by the
Office of the Attorney General. The publisher's address is:
First Amendment Foundation
336 East College Avenue
Tallahassee, FL 32301
Phone: (850) 337-3518
Fax: (850) 222-3518
http://www.floridafaforg/
Published by the College of Journalism and Communications at the University of Florida,
the "Brechner Report" is a monthly newsletter dealing with public records, access, and
freedom of information issues. The publisher's address is:
Brechner Center for Freedom of Information
3208 Weimer Hall
College of Journalism and Communications
University of Florida
Gainesville, FL 32611-8400
Phone: (352) 392-2273
Fax: (352) 392-3919
http://www.iou.ufl.eduibrechner/
26
4 1 •
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
C. LISTING OF PROFESSIONAL RESOURCES
Association of Records Managers and Administrators, Inc. (ARMA)
4200 Somerset Drive, Suite 215
Prairie Village, KS 66208
Telephone: (913) 341-3808
Fax: (913) 341-3742
http://wNvw. arma.ora/
National Association of Government Archives and Records Administrators
(NAGARA)
48 Howard Street
Albany, NY 12207
Telephone: (518) 463-8664
Fax: (518) 427-6603
http://www.nagara.org/
Association for Information and Image Management (AIIM)
1100 Wayne Avenue, Suite 1100
Silver Spring, MD 20910
Telephone: (301) 587-8202
Fax: (301) 587-2711
http://www.aiim.org/
Society of American Archivists (SAA)
527 South Wells Street, 51h Floor
Chicago, IL 60607-3922
Telephone: (312) 922-0140
Fax: (312) 347-1452
http://www.archivists.orcV
Society of Florida Archivists (SFA)
The Bureau of Archives and Records Management
Mail Station 9A, The Capitol
Tallahassee, FL 32399-0250
Telephone: (850) 487-2073
Fax: (850) 488-4894
Florida Records Management Association (FRMA)
The Bureau of Archives and Records Management
Mail Station 9A, The Capitol
Tallahassee, FL 32399-0250
Telephone: (850) 488-1486
Fax: (850) 413-7224
http//www.frma.ora/
27
NO.
RECORDS DISPOSITION DOCUMENT
PAGE OF PAGES
1. AGENCY NAME and ADDRESS 2. AGENCY CONTACT (Name and Telephone Number)
( ) — Ext.
3. NOTICE OF INTENTION: The scheduled records listed in Item 5 are to be disposed of in the manner checked below (specify only
one).
❑ a. Destruction ❑ b. Microfilming and Destruction ❑ c. Other
4. SUBMITTED BY: I hereby certify that the records to be disposed of are correctly represented below, that any audit requirements for
the records have been fully justified, and that further retention is not required for any litigation pending or imminent.
Signature Name and Title Date
f. g.
a. b. C. d. e. Volume Disposition
Schedule Item Title Retention Inclusive In Action and Date
No. No. Dates Cubic Completed After
Feet Authorization
S. DISPOSAL AUTHORIZATION: Disposal for the above listed records 7. DISPOSAL CERTIFICATE: The above listed records have been
is authorized. Any deletions or modifications are indicated. disposed of in the manner and on the date shown in column g.
Custodian/Records Management Liaison Officer Date
Signature Date
Name and Title
Witness
Cohtinuatibn Paee