HomeMy WebLinkAbout2004 08 23 Regular 501
COMMISSION AGENDA
ITEM 501
Consent
Informational
Public Hearing
Regular X
August 23. 2004
Regular Meeting
/~
C(jJ
Dept.
Mgr. 1
Authorization
REQUEST:
Information Services wishes to present to the Commission
the Records Management Plan and requests that the
Commission approve the plan document; authorize year 1
expenditures ($86,094) to begin implementation of the plan
as stipulated in the plan document; authorize final payment
to FLC for Records Management Plan Document
consulting fees ($28,015). Both items already budgeted.
PURPOSE:
To obtain Commission approval of the Records Management Plan
document, authorize year I expenditures ($86,094) to begin plan
implementation and authorize final payment to FLC for consulting fees for
the Records Management Plan document in the amount of $28,015
($33,015 less $5,000 already paid). Both items already budgeted.
CONSIDERATIONS:
What are the issues?
The Information Services Department was tasked with the responsibility of
working with the City Clerk's Office and Florida League of Cities in the
creation of a comprehensive Records Management Plan that would enable
the City to:
S:\Information _ Services\Admin _ Docs\Agenda Items\FY 2004\2004 August\August 23,
2004\082304_ COMM _Regular_50 1_ Records _ Management_Plan.doc
CITY OF WINTER SPRINGS
CITY COMMISSION
August 23, 2004
REGULAR 501
PAGE 2 OF 6
. SAVE SPACE! Minimize paper storage and save valuable space that
would normally be used for filing cabinets.
. PROVIDE EASIER ACCESS TO DOCUMENTS! Allow easier
access to documents for employees internally as well as the public via
the web or a kiosk. Rapid retrieval and concurrent access.
. REDUCE COSTS! Reduce time and costs associated with paper
documents such as duplicate filing, refiling, misrouting, misplacing,
losing, locating, and retrieving files as well as the cost for file cabinets.
. PROVIDE EASIER DOCUMENT MANAGEMENT! Provide
easier management of City documents.
. KEEP RECORDS SAFE! Keep the City's documents safe from loss
in case of a fire, flood, tornado, etc.
. STAY LEGAL! Comply with legal, administrative, fiscal and
historical retention requirements.
. DEFINES ROLES AND RESPONSIBILITIES of employees
. EASE OF PLANNING for disaster recovery and reduced recovery
cost.
. Serves as a DEFENSIVE TOOL.
. Helps MINIMIZE LITIGATION RISK
. INCREASES EASE OF DOING BUSINESS
Why is a Records Management Plan so important?
Public officials are responsible, by law, for ensuring that their records are
protected and accessible. Each local government is responsible for
properly managing the life cycle of its public records and ensuring that
those records are protected as well as accessible.
What is a Public Record?
The definition of a public record as defined by Florida State Statute (FSS)
Chapter 199.011(1) - 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 official business by an agency.
What is a Records Management System?
A records management system is a combination of hardware and software
technologies designed to control and manage public records through the
entirety of a records' life cycle. It must be efficient, effective, and
economical. The guiding principle of records management is to ensure
that information is available when and where it is needed, in an organized
and efficient manner, and in a well-maintained environment.
CITY OF WINTER SPRINGS
CITY COMMISSION
August 23. 2004
REGULAR 501
PAGE30F6
Why do we need a system to manage our records?
. Chapter 119.10 - Violation of Chapter; litigation, fine and up to one
year imprisonment for not properly managing records.
. Legal actions and court decisions highlight the need for a
comprehensive records and records management system.
. Protection of employee health information (workers compensations
records) HlP AA Regulations.
. A documented retention schedule provides a defense in the question of
records ayailability.
What are we proposing?
We are proposing a plan that would enable distributed scanning instead of
centralized scanning with a few high-end centralized scanners for multi-
department use which would be located in common areas such as copy
rooms. We are furnishing a 3 year (included in the plan document) as well
as a 5 year plan (included as an attachment to this agenda item). However,
we are recommending the 3 year plan. Weare also recommending that the
City:
. Move forward with the purchase of a LaserFische Records
Management System which can be purchased from the State of
Florida Purchasing Contract.
. Assign management roles and responsibilities to ensure that all
electronic records are properly created and maintained in
accordance with the State's record keeping requirements and
destroyed in accordance with Florida Administrative Code (FAC).
. Empower the Records Management Liaison Officer to manage the
Records Management System Plan in conjunction with the
Information Services Department according to the requirements
mandated by the State of Florida and policies set forth by the City,
and to create and publish "Records Management Operating
Guidelines", which should be reviewed annually.
. Conduct a self-assessment of its records management program,
using the Florida Bureau of Archives and Records Management
published self-evaluation guide, which should be reviewed and
updated each year.
. Establish a program to ensure that adequate training is provided for
users of electronic mail systems on recordkeeping requirements,
the distinction between public records and non-record documents,
procedures for designating public records, and moving or copying
records for inclusion in the City's "Records Management System".
. Ensure that electronic mail is deleted/destroyed in accordance with
the provisions of Chapter 1B -24, FAC.
CITY OF WINTER SPRINGS
CITY COMMISSION
August 23, 2004
REGULAR 501
PAGE 4 OF 6
. Review its process of converting paper maps to digital images to
ensure that the City meets State requirements for storing maps as
digital master copies/images.
. Provide an appropriate level of security to ensure the integrity of
the records, in accordance with the requirements of Chapter 282,
FSS.
. Purchase only one server to install the Records Management
System on with multiple databases for segregation and security of
Fire and Police Department records.
. Integrate its four strategic management applications (Munis, Kiva,
GIS-ESRI, and Police CAFE) with the Document
Management/Imaging Systems software.
. Begin the historical, back-scanning process with the permanent
retention documents and then move to documents with a three-year
or greater retention period.
. Begin scanning all new documents for FY 2004-2005.
What do we need to effectively develop and implement a Records
Management Technology Plan?
. A suitable technolol!V infrastructure - network communications,
servers, storage devices, and workstations which are adequate to
support the new software and its associated workload.
. Adequate fundin2: - must be realistically provided for upgrade of
infrastructure as well as for human resources which may include a
project manager, technical personnel, outside contractors, and possibly
temporary end-user personnel to assist during the training and
transition periods.
. Obtainin2: the ri2:ht technical skills - Project managers, technical
personnel and trainers all must be knowledgeable of a variety of
departments and subject areas and how business is conducted in a
municipal environment.
. End-User Commitment - end-user's commitment to integrate the
technology into their business processes. Adequate time is needed for
training and integration of the technology into the functional
environment.
Why are we recommending the 3 year plan vs. the 5 year plan?
. Technology changes during a 5 year period are immense.
. Department motivation is high among employees to get this project off
the ground and to rid the City of space-hogging paper and file cabinets.
Longer projects ofthis size tend to fall behind and eventually become
a lower priority and then a burden to have to deal with; thus never
getting finished.
CITY OF WINTER SPRINGS
CITY COMMISSION
August 23, 2004
REGULAR 501
PAGE50F6
. The City is currently facing space issues and the sooner this plan is
implemented and finished, the sooner space is freed up for other uses.
. Reduces vulnerabilities by moving more quickly
. Provides intent to more promptly comply with the State regulations
and laws.
. Delivers streamline benefits more quickly.
. Provides capabilities to quickly allow for more technology benefits.
. The 3 year plan pushes the use of technology exploiting the use of
technology to its greatest benefit.
. Enhances the City's electronic offering of government to citizens who
use the City's Website; thus improving service delivery and reducing
walk-in requests.
. All records need to be correctly managed regardless of media. The 3
Yr plan brings all City Departments under the Records Management
Plan, properly applies comprehensive rules & regulations to all City
records.
. Provides for a seamless access to all City records.
. Provides for unified controls and proper disposition of City Record.
. Elimates redundancies and the generation of duplicate documents, the
City has one source document.
. Provides for a controlled life cycle of information (creation, active,
inactive and disposition) from a central system.
What are the benefits of this plan?
. Top of the line equipment and software.
. An aggressive, solid records management plan.
. Free up precious floor space by eliminating file cabinets and their
contents.
. Easier access and retrieval of documents.
. No more lost, misplaced, or misfiled documents.
. Easier and more accurate disposal of records when retention has been
met.
at are t e optIOns.
Year 1 FY Year 2 FY Year 3 FY Year 4 FY Year 5 FY Totals
2004 2005 2006 2007 2008
Option 1 $86,094 $268,821 $249,300 $0 $0 $604,215
Option 2 $86,094 $204,714 $206,248 $132,644 $56,341 $686,041
Wh
h
?
As you can see, by stretching the plan out to 5 years, it saves $81,826.
However, our recommendation is the 3 Year Plan vs. the 5 Year Plan for
reasons listed above in the section, "Why are we recommending the 3
year plan vs. the 5 year plan?"
CITY OF WINTER SPRINGS
CITY COMMISSION
August 23. 2004
REGULAR 501
PAGE60F6
FUNDING: None. Year 1 (FY 2004) in the amount of $86,094 is already budgeted in the
Information Services Budget (General Fund) and the Development Services
Budget (Enterprise Fund) as well as the consulting fee of $33,015 of which
$5,000 has already been paid. Years 2 and 3 will be funded during normal budget
cycle processes as well as years 4 and 5 if applicable.
1. Document Management Server ($13,200) will be purchased from Dell off of
State Contract 250-000-03-1.
2. SQL Server License ($7,000) will be purchased from Microsoft State Contract
#255-001-01-01
3. All LaserFische software ($43,215) will be purchased from FL Snaps
agreement #9912174-4. Software maintenance ($8,460). Professional
Servjces and Training ($4,400).
4. All Fujitsu scanners and maintenance can be purchased at government
discounted prices through various vendors. 4 scanners ($8,352); maintenance
agreements ($1,467.)
RECOMMENDATIONS:
That the Commission:
. Approve the Records Management Technology Plan
. Authorize Year 1 purchases for services, maintenance agreements, software
and equipment as outlined in the plan document in the amount of $86,094.
. Authorize final payment to FLC for Records Management Plan document
consulting fees in the amount of$28,015 ($33,015 - $5,000 already paid).
These fees were previously approved November 10,2003, Consent Agenda
Item 203
ATTACHMENTS:
. ATTACHMENT 1: Records Management Technology Plan document (398 pages)
. ATTACHMENT 2: Excel Spreadsheet: 5 Year Plan (3 Year included in Records
Management Plan Document) (3 pages)
. ATTACHMENT 3: Excel Spreadsheet: 3 & 5 Year Comparison (1 page)
COMMISSION ACTION:
ATTACHMENT
"A"
Andrea Lorenzo-Luaces, City Clerk
City of Winter Springs, Florida
Records Management
Technology Plan
August 23, 2004
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FLORIDA LEAGUE OF CITIES
TECHNOLOGY SERVICES
125 E. Colonial Drive · P.O. Box 530065 to Orlando, Florida 32853-0065
.
.
City of Winter Springs, Florida
Records Management
Technology Plan
August 23, 2004
FLORIDA LEAGUE OF CITIES
Technology Services
125 E. Colonial Drive - P.O. Box 530065 - Orlando, Florida 32853-0065
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Winter Springs, Florida
Records Management Plan
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Table of Contents
.
Acknowledgments ... ...... ................. .................. .... .......... ............ ................ ................. .........6
Executive Summary........ .......................... ........................... ............................. ....................7
Specific Recommendations: ................................................................................................9
The Timetable and Implementation Cost: ...........................................................................12
Implementation Timetable and Cost Information................................................................. 13
Records Management Departmental Implementation Plan - Timetable ................................14
Records Management Plan Cost Estimates........................................................................15
Records Management Plan Cost Estimates..... ..................... ............ .................... ..............16
Records Management and Imaging Introduction ................................................................19
Records Management Mission Statement............. .................. ........................... ................. 19
Recognizing Records as a Strategic Resource ................................................................... 20
Governance and Accountability......... .............. ...... .............. ..................................... ..........22
Electronic Governance and Electronic Records..... ..................... ...................... ....... .......... 22
FLC White Paper on Public Records Retention ..................................................................24
Records Management Technology Overview............................................................ ..........27
What are Electronic Records? ........................................................................................... 28
Records Management Definition........................ .................................. ......................... ..... 31
Document I maging Definition............................................................................................. 31
Benefits of a Records Management I Imaging System.........................................................32
Plan Implementation Team................................................................................................ 33
Scope......................................................................................................................... .....33
Authority...................................................................................................................... ....33
Plan Objectives ................................................................................................................ 34
Defining Master Copy, Duplicates and Intermediate Records............................................... 34
Electronic E-mail as a Public Record................ ......... ............. .............. ............ .............. .... 36
Digital Signatures. ......................... .................................. ........................... ........ .......... .... 38
State Requirements and Guidelines....... ........................ ................. ........... .............. ..........41
Chapter 119, F.S. Requirements......... ................. .......... ........ ...... ................... ................ ...41
Chapter 257. F.S. Requirements......... ................. ................... ............................ ...............42
Chapter 92, F.S. Requirements ........................... ......................... ................................. ....42
Rule 1 B-24, FAC Requirements.......... ..................... .............. ...... ........................ ..............42
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Records Management Plan
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Rule 1 B-26.003, Florida Administrative Code Requirements .......................... ............... ....... 43
SelJ.Evaluation Guidelines................................................................................................. 44
Management Roles and Responsibilities.......................... .................................... .............. 45
Records Management Liaison Officer (RMLO) .................................................................... 45
Information Services Coordinator....................................................................................... 45
System Administration and Network Responsibilities........................................................... 46
Document Preparation Function and Procedures................................................................ 46
Quality Control Function and Procedures ........................................................................... 47
Indexing Electronic Records ................ .......... ........................ ........ ................................... .47
Records Retention............................................................................................................ 47
Electronic Mail Retention and Disposition........................................................................... 48
Office of Record Designation.......................... ................................ ....................... ............50
Records Disposal ............................................................................................................. 50
Public Records Law Compliance........................................................................................ 50
System Security, Backups and Access ..............................................................................51
System Security................................................................................................................ 51
System Backups............................................................................................................... 51
User Access Request........................................................................................................ 51
Records Management I Imaging Funding Plan ................................................................... 52
Capital Improvements and Operating Budgets.................................................................... 52
Highlights of the FY 03-04 ................................................................................................. 52
Funding Goals.................................................................................................................. 52
Hardware Recommendations ............................................................................................ 53
Records Management Detailed Plan Cost ..........................................................................59
MUNIS & KIVA Integration Estimated Cost......................................................................... 62
Historical File Records Identified for Scanning.................................................................... 63
Records Management Plan Oversight Administration.......................................................... 64
Records Management Professional Development Plan...................................................... 65
Records Management Technology Plan Project Evaluation ...............................................66
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Records Management Plan
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Appendix A - State of Florida Records Management Documents ......................................67
The Basics of Records Management.................................................................................. 68
State of Florida - General Records Schedule GS1-L For Local Governments ..................... 101
GS1-L Cross Reference Excel Schedule .......................................................................... 146
State of Florida - Records Management Self-Evaluation Guide ......................................... 161
Appendix B - Imaging Software Survey............................................................................ 172
Appendix C - Winter Springs Public Records Policy Resolution No. 2000-1....................175
Appendix D - Florida Statutes and Department of State Policies .....................................184
Florida Statutes - Chapter 92 - Photographic or Electronic Copies .................................... 185
Department Of State - Electronic Mail Opinion..................................................................186
Florida Attorney General Opinion 8~7 Machine Readable Files as Public Records ........... 195
Department of State - Internet and E-Mail Usage.......................... ...................... .............200
Chapter 119 - Public Records......................................................................................... 203
Chapter 1 B-24.01 0 Records Disposition ............ .............. ....... ........ .................. ................269
Chapter 1B-26 Florida Administrative Code - Electronic Record Keeping ........................... 270
Florida Statutes 257.36 Records and Information Management .........................................280
Florida Statutes Chapter 282.318 Security of Data & Information Technology Resources ....283
Bureau of Archives and Records Management F AQs ........................................................ 285
Appendix E - Florida Supreme Court ............................................................................... 289
Supreme Court of Florida - e-Mail Ruling ......................................................................... 290
Appendix F - Federal Rules of Evidence ..........................................................................302
Federal Rules of Evidence (2004).................................................................................... 303
Notes Associated with Rules 1001 - 1008......................................................................... 307
Appendix G - Winter Springs Identified Documents Listing ............................................. 315
Winter Springs Departmental Documents Identified........................................................... 316
Police Department Documents Identified........... ................. ................ .............. ......... .......318
Police Department Documents Identified.......................................................................... 319
Storage Documents Identified for Scanning...................................................................... 325
Appendix H - Legal Documents............ ............. ..... ....................... ........... ............. ........... 338
Municipal Code Corporation - Records Retention Memo................................................... 339
Municipal Code Corporation - FLORIDA RETENTION BOOKLET DRAFT......................... 342
Article - Legitimate Exclusion of E-mail & Phone Records................................................. 372
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Appendix I - Hardware and Software Specifications ........................................................ 379
Dell Server Specifications................................................................................................ 380
Fujitsu 4120C & 4220C Color Duplex Workgroup Scanners............................................... 382
Fujitsu - 4340C Color Duplex Document Scanner.......................... ...... ........... ..................384
Fujitsu - 5750C Color Duplex Document Scanner............................................................. 386
Fujitsu - M4097D - Low-Volume Production Duplex Document Scanner............................ 388
HP Plotter Cost for Printing Maps.. .................. ...... .......................... .......... ....................... 392
Contex - E-Size Drawing Scanning Technology ............................................................... 398
Digital Image Sizes for Storage Requirements.................................................................. 402
Appendix J - Glossary of Terms....................................................................................... 403
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Winter Springs, Florida
Records Management Plan
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Acknowledgments
The Florida League of Cities would like to take this opportunity to thank the City of Winter Springs
and the City Commission for engaging us to develop this critical document.
This plan would not have been possible without the excellent support of Joanne Dalka, the
Information Services staff, Andrea Lorenzo-Luaces, and the City Clerk's staff. Their
responsiveness to any of our requests and willingness to be open with their thoughts, concerns
and desires was invaluable in completing this report. It is obvious that they are committed to
providing the best possible technology services in support of City operations and ultimately to the
citizens and businesses of Winter Springs.
In addition, we appreciate the cooperation, openness, candor and responsiveness of all those
City employees we interviewed and talked with. Their concern for improving efficiency and
providing excellence in customer service was evident throughout our engagement.
The City can be proud of its employees and the job they do.
.
Report Prepared By:
The Florida League of Cities
Frank Hagy, CPM, Chief Information Officer
Sherry Hilley, CISA, Senior Consultant
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Winter Springs, Florida
Records Management Plan
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Executive Summary
"Knowledge is Power", a notion commonly held long before the dawning of the "information age",
manifests itself each time a City of Winter Springs employee executes a task in the service of a
resident or business. "Knowledge" takes a wide variety of forms; an accumulation of documented
and undocumented, historical and current, information, understandings, experiences,
agreements, and events. "Power" is simply the product of how well the Knowledge is managed.
The degree of Power available to any local government correlates to the degree to which its
Knowledge has been captured, confirmed, and cataloged such that it is accurate, accessible, and
archived.
.
From the Information Systems perspective, the City's knowledge management efforts (Le. power
generation) consist of on-line enterprise business applications, departmental or line-of-business
applications, messaging and communication tools, and the respective databases. The City of
Winter Springs does an excellent job managing its databases and its enterprise business
applications (MUNIS and KIVA). But this is just a small percentage of the City's available records.
Most of the City's information, knowledge and records, falls outside of these traditional, citywide
databases and applications that we consider "well managed." What about the printed manuals,
correspondence folders, project reports, legal documents, electronic mail, files on the top of
desks, or in hard drives on desktop machines or laptop computers? This information may be
managed by indilr1duals, but is it accessible to everyone, citizens or businesses, which might
need it?
This document provides an Implementation Plan for the City's Records Management System,
which identifies specific action items, timeframes, responsibilities and deadlines. Also, the plan
specifically identifies an estimated cost associated with the implementation process. The League
through review of State statutes and analysis of the technology has included within this document
a white paper to specifically address the issues of document retention. However, this plan does
not claim to offer legal interpretation of the Florida Statutes (FS) or the Florida Administrative
Code (FAC). The City needs to consult their legal counsel and/or the Florida Attorney General's
Office for legal opinions.
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Records Management Plan
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The League has provided a "Records Management Mission Statement" for the City to review and
adjust to meet the City's requirements.
"The City of Winter Springs is dedicated to providing excellence in managing records.
The primary goal is that all records, in all formats and media types, shall be efficiently
created, managed, and retained to meet all legal, financial, auditing, administrative and
historical needs of the City of Winter Springs. "
Public officials are responsible, by law, for ensuring that their records are protected and
accessible. This responsibility applies regardless of each record's format or storage media. Each
local government is responsible for managing the life cycle of all public records in its care. The
State provides direction, information, and education relative to all aspects of the public records
life cycle, but ultimately each local government is responsible for its decisions and actions based
on the following:
.
1. Know what a public record is, and is not.
2. Apply the specified periods of retention to each record type.
3. Dispose of records as appropriate and file all reports as required.
4. Abide by the current microfilm conversion and storage specifications.
5. Demonstrate that the conversion to a medium other than microfilm:
· Meets the standards applied to the pre-converted medium
· Continues to be convertible to microfilm after conversion
The "Public Record" statutory definition has been interpreted by the Florida Supreme Court to
mean, '~ny 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 computet'.
A "Records Management System" offer's many advantages including, but not limited to:
· Make information easily accessible to simultaneous users as well as users in remote
locations.
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Records Management Plan
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· Reduce time and costs associated with duplicate filing and re-filing, misrouting
misplacing, losing, locating and retrieving files and expenditures for additional filing
cabinets.
· Manage the storage and fast and efficient retrieval of massive volumes of documents.
· Minimize paperwork storage requirements and provide space savings.
· Allows multiple-user access (more than one person and access the same file at the same
time for reference purposes) and increased efficiency in retrieval of information.
· Increased document security and improved backup for paper documents. Imaged files
are relatively easy to back-up and require substantially less space than paper documents
to store.
· Compliance with legal, administrative, fiscal and historical retention requirements.
· Control over the creation of new records.
· Identification and protection of vital and historical records.
.
A Records Management Systems is a combination of hardware and software technologies, that
are designed to control and manage public records through the entirety of a records' life cycle:
from the time they are created to their eventual disposition or preservation. The system must be
efficient, effective and provide for the economical management of public records, as defined by
the Florida Statutes. The guiding principle of records management is to ensure that information is
available when and where it is needed, in an organized and efficient manner, and in a well-
maintained environment. With this in mind the League is making the following recommendations.
Specific Recommendations:
1. The City of Winter Springs should move forward with the purchase of a "Records
Management System" (RMS), which is compliant with the Department of Defense (000)
Records Management Standards (000 5015.2) for securing department records, such as
records maintained by the Police Department. Also, the RMS System needs to have the
capabilities of email integration and whenever possible integration with current City
applications to streamline the process of documenting official City records and achieving
these documents.
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2. The City requested that the League specifically evaluate, whether the LaserFiche
products provided and supported by MCCi would meet the City's needs for a "Records
Management System". After a careful evaluation, the League believes that the
LaserFiche products will meet the needs of the City. The product has been tested for
compliance with the Department of Defense Records Management Standards and can be
procured through the State of Florida Purchasing Contract. This recommendation is
based on
a. The ease of implementation and integration with MUNIS.
b. The findings of a survey of sixty-four (64) Florida cities, in which 44% indicated
that they are using the LaserFiche product and are experiencing favorable results
C. Our comfort level that local governments have significantly adopted the
LaserFiche product as a "mainstream" solution
d. MCCi's familiarity with local government processes.
.
3. City Management needs to assign roles and responsibilities to a key RMS
Implementation Team to ensure that all electronic records are properly created and
maintained in accordance with the State's record keeping requirements and destroyed in
accordance with Florida Administrative Code.
4. The Records Management Liaison Officer should be empowered to manage the Records
Management System Plan in conjunction with the Information Services Department
according to requirements mandated by the State of Florida and policies set forth by the
City, and should create and publish a "Records Management Operating Guidelines" for
the City, which should be reviewed and updated annually.
5. The City should conduct a self-assessment of its records management program, using
the Florida Bureau of Archives and Records Management published sel~evaluation guide
(Appendix A). This will identify problem areas, and set priorities for plan improvements.
This sel~evaluation guide should be reviewed and updated each year.
6. The City should establish a program to ensure that adequate training is provided for
users of electronic mail systems on recordkeeping requirements, the distinction between
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Records Management Plan
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public records and non-record documents, procedures for designating public records, and
moving or copying records for inclusion in the City's "Records Management System".
7. The City should integrate its Microsoft Outlook System (electronic mail system) with the
Records Management Systems software.
8. The City should ensure that electronic mail that does not support business purposes be
deleted/destroyed in a timely manner and in accordance with the provisions of Chapter
18-24, FAC. These records have been scheduled under General Records Schedule GS
I and may be disposed of without further notification. Transitory and personal messages
that accumulate in e-mail systems also consume disk space and erode the efficiency of
the system.
9. The City should review its process of converting paper maps to digital images to ensure
that that the City meets State requirements for storing maps as digital master copies /
images.
.
10. The City should provide an appropriate level of security to ensure the integrity of the
records, in accordance with the requirements of Chapter 282, Florida Statutes. Security
controls should include, at a minimum, physical and logical access controls, backup and
recovery procedures, and training for custodians and users.
11. The City should purchase only one server to install the Records Management System on
with multiple databases for segregation and security of Fire and Police Department
records.
12. The City should integrate its four strategic management applications (MUNIS, KIVA, GIS-
ESRI, and Police Cafe) with the Document Management /Imaging Systems software.
13. The City should begin the historical, back-scanning process with the permanent retention
documents and then move to documents with a three-year or greater retention period.
14. The City should begin scanning all new documents for FY 2004/2005.
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The Timetable and Implementation Cost:
As part of this executive summary, a timetable has been provided that outlines the proposed
schedule, estimated capital cost, and estimated operating cost, along with any comments that
might be appropriate. As requested, it is important to understand that this is an aaaressive
schedule.
In order to effectively develop and implement a Records Management Technology Plan there are
four key elements to success:
. A Suitable Technoloav Infrastructure: The technology infrastructure, which includes
network communications, servers, storage devices, and workstations, must be adequate
to support the new software and its associated workload.
.
. Adeauate Funding: Funding must be realistically provided, not only to upgrade the
infrastructure, if necessary, but must include funding for human resources. These
resources may include a project manager, technical personnel, outside contractors, and
possibly temporary end-user personnel to assist during the training and transition
periods.
. Obtainina the Riaht Technical Skills: Project managers, technical personnel and trainers
all must be knowledgeable of a variety of departments and subject areas and how
business is conducted in a municipal environment.
· End-User Commitment: Perhaps most critical to a Records Management System
success is the end-user's commitment to integrate the technology into their business
processes. Adequate time is needed for training and integration of the technology into
the functional environment.
Most City technology needs can be satisfied through off.the-shelf packaged hardware and
software products that are readily available. Technology projects that fail are most otten due to
poor project management and/or the lack of commitment on the part of end-users to training and
integration. If the City provides the capital and operating dollars needed to support this Records
Management Technology Plan, the infrastructure can be developed and there is little doubt that
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Winter Springs, Florida
Records Management Plan
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the right technical skills can be obtained. The key to meeting the timetable as presented below
will be the ability of the end-user to commit the time needed for training and integration of the
system into their work environment.
Implementation Timetable and Cost Information
The implementation schedule has the following purchases identified and departments scheduled
by fiscal year for starting the implementation phases of the Records Management / Imaging
Process.
.
Fiscal Year 2003 - 04
· Purchase Records Management Server & Software
· Purchase Departmental Scanners
· City Clerk
· Community Development
Fiscal Year 2004 - 05
· Purchase Departmental Scanners
· City Manager
· Finance
· Fire Department
· Human Resources
· Information Services
· Police Department
· Public Works
· Start Scanning of Historical Documents
Fiscal Year 2005 - 06
· Purchase Departmental Scanner
· Complete Scanning of Historical Documents
· Parks and Recreation
· Continue Scanning of Historical Documents
The following five pages describe the detailed Implementation Timetable and Cost
Information.
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Records Management Plan
Records Management Departmental Implementation Plan - Timetable
FY 2003.2004 FY 2004-2005 FY 2005-2006
Department & Tasks Detailed Tasks
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q
Document Management Strategic ~ Adopt and approve strategic plan.
Plan
Document Management Committee '... Individual from each department, identify document
(DMC) '.... types, train the trainer, & key reviews of strategic plan.
- Purchase & Install - Imaging Server & Basic Software.
Imaging Server & Software ... Install Web Link and additional licenses.
-
... Install GIS Integration.
Establish User Ids & Security ..... --... Information Systems, City Clerk & DMC Review.
Scanners . ... Purchase & Install common area scanners.
Purchase & Install City Clerk Scanner.
City Clerk I Set up template I index fields and train.
Start scanning current documents.
I -... (Includes City Clerk, City Manager & Finance
documents)
Archived Document Scanning ... Police archived Documents.
I ....
~ Community Development achieved documents.
.....
~ ... Human Resources achieved documents.
; Purchase & Install scanner.
City Manager's Office ... Set up template I index fields and train.
""'" .... Start scanning current documents.
"! I .... Continue to scan maps in TIFF format.
.: Purchase & Install scanners.
Community Development .... Set up template I index fields and train.
""'" ...
... Start scanning current documents.
~ ..... Interface with KIVA & GIS Layers.
..... ....
......+t+ Set up template lindex fields and train (archived docs).
Finance Department Purchase & Install scanners.
... Start scanning new documents.
....
- Interface with Financial Software (MUNIS).
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Records Management Plan
Page 2 of Implementation Plan
FY 2003-2004 FY 2004-2005 FY 2005-2006
Department & Tasks Detailed Tasks
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q
.... Purchase & Install scanners.
Fire Department +-t Set up template' index fields and train.
... Scan old documents.
.... .. .... Start scanning current documents.
T ....
. General Services Department - !- ~ Purchase & Install scanner.
Human Resource (HR) T ... ... Set up template' index fields and train.
... Start scanning current documents.
+:-i ~ Purchase & Install scanner.
Information Services Department ~ ... Set up template' index fields and train.
.......1 ... Scan old documents.
.... Start scanning current documents.
T ..
+-+r- Review need if required then,
~ Purchase & Install scanner.
Parks & Recreation Department Set up template' index fields and train.
~I ~ Start scanning current documents.
:=n TI ... Purchase & Install scanners and train staff.
Police Department +t+ Set up template 'index fields.
Scanning of archived documents in file cabinets.
.... ... Scan current documents & Snapshot PDF Report.
....
..... I Purchase & Install scanner.
Public Works Department .....1 ~ Set up template' index fields and train.
... Start scanning current documents.
T ...
.... ... Interface GIS Layers.
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Winter Springs, Florida
Records Management Plan
Records Management Plan Cost Estimates
Department & Function Description FY 03-04 FY 04-05 FY 05-06 Comments
Cost Cost Cost
Server Hardware Cost
Document Manaaement Server Server $13 200
SQL Server License 2 Server Processors $7.000 $3.500 each
Subtotal -Server Hardware $20,200 $0 $0 $20,200
Software Cost
Records Manaaement Edition Enterorise 115 Database) $35 000 Includes LF United & Audit Trail
Records Manaaement Edition Annual Maintenance $7.000 $7.000 $7.000
LF Plus Plua-In CD File Creation $3.795 Exoort files to CD with LF Runtime Software
LF Plus Plua-In Annual Maintenance $1 590 $1 590
User License - Full -$550 each 40 Total $5,500 $8.250 $8,250 FY04 - 10, FY05 - 15, FY06 -15
User License - Full - $110 each Annual Maintenance $1 1 00 $2 750 $4 400
E-mail Plua-In - $80 40 Total $800 $1,200 $1,200 FY04 - 15. FY05 - 15, FY06 - 10
E-mail Plua-In - $16 Annual Maintenance $160 $400 $640
Snaoshot User License - $100 40 Total $1 000 $1 500 $1 500 FY04 - 15 FY05 - 15 FY06 - 10
Snapshot User License - $20 Annual Maintenance $200 $500 $800
User License - Retrieval - $220 30 Total $3 300 $3 300 FY05 - 15 FY06 - 15
User License - Retrieval - $44 Annual Maintenance $660 $1,320
Scan Connect 10 Pack - $915 $915 $1.830 30 Scanners
LaserFiche Quick Fields Per Scan Station (4) $1 980
LaserFiche Quick Fields Annual Maintenance $400 $400
Real Time Lookuo $495
Real Time Lookuo Annual Maintenance $100 $100
Zone OCR Standard Forms $2 495
Zone OCR Annual Maintenance $500 $500
Intearator's Toolkit $2.500 Intearation with other applications.
Intearator's Toolkit Annual Maintenance $750 $750
WebLink Enterorise $15,995 Provides access to documents via the web.
WebLink Enterorise Annual Maintenance $3 190 I $3 190
Installation & Trainina 40 Hours Annuallv $4 400 $4 400 $4 400
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Records Management Plan
Page 2 of 3 - Cost Estimates
Department & Function Description FY 03-04 FY 04-05 FY 05-06 Comments
Cn..<:t Cn!!:t Cn!!:t
Professional Services & SUDDort Annual Review (16 hrs' $1.760 $1.760 Review of indexing & volume structures for best practices.
r,1~ ' R I ::Iwm: 2500 1st Laver & S1 500 Each Additional Laver
GIS Intearation Annual Maintenance $3.000 $750 1 st Laver & $450 Each Additional Laver
Subtotal- LaserFiche Software ~ rt!R.'7 ':IAn .t!id 1 nn 1$177_515
I
Scanner & Printer - EauiDment bv Area
City Hall Common Area
Administrative - City Clerk Common Fuiitsu fi-4099D $19.365 $897 Flatbed HS Cost $18468 + $897 on-site maintenance
Anmin-Iltilitv - Front I=lIiit~11 fi_4??nr. ~1 7F.7 $89 "'nn .. r.n<:.t ~1FlFlR + ~RQ P""rtc:1I ::Ihnr
Community Dev & Public Works Fuiitsu fi-4097D $5 865 $807 Flatbed HS Cost $5058 + $807 on-site maintenance
. Dav & l""u(]Iic vvorKS I"nntov _ -. ~a 1nn ~1 ?nn E-size Scanner $7900 + $1200 Maintenance
Communitv Dev & Public Works HP Desion iet 1050C $8671 $1 200 E-size Printer $7471 + $1200 Maintenance
Citv Clerk
Citv Clerk Fuiitsu fi-4120C $1 290 $89 $89 Reaular Cost $1201 + $89 Partsllabor replacement
1- ... Fuiitsu fi-4340C ~F. n1 F. $1.200 $1 .. r.n<:.t ~~R 1 F. + ~ 1 ?nn on-site maintenance
;ITV LlerK
Citv Manaaer
Administrative Fuiitsu fi-4220C $1 757 $89 Flatbed Cost g; 1668 + $89 Parts/Labor
Communitv DeveloDment
Front Counter Fuiitsu fi-4220C $1 757 $89 $89 Flatbed Cost $1668 + $89 Parts/Labor
I. . . I=lIiit!':11 Il A ~ 'lnf" '1:1 ?an $89 Reaular Cost G;1201 + $89 Parts/labor reolacement
Finance Deoartment
_ Rllnn<>t 1= lIiit~11 "..11 ??nf" ~1 7F.7 $89 .. . r.n<:.t ~1FlFlR + ~Ra P""rtc:1I ::Ihnr
Finance Director Fuiitsu fi-4120C $1 290 $89 Reaular Cost $1201 + $89 Partsllabor replacement
_ A""nllntc! ~ Fuiit!':u" .II'1Anf" ~F. nHi $1 r.nc:t 'I:~~1F. + $1200 on-site maintenance
Fire DeDartment
I . . . Fuiitsu fi-4340C 'I:~ nil; G;1 I r.nst ~~R 1 F. + G; 1 ?nn on-site maintenance
EMS Fuiitsu fi-4120C $1 290 $89 Reaular Cost $1201 + $89 Parts/labor replacement
General Services
~ Fuiitsu .._.II'1Anf" ~F. nHi $1 r.nC!t $:lR 15 + $1200 on-site maintenance
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Records Management Plan
Page 3 of 3 - Cost Estimates
I
Department & Function Description FY 03-04 FY 04-05 FY 05-06 Comments
Co!:t Cll!:t Cll!:t
Information Services Department
IDirector Fuiitsu fi-4120C $1 290 !t89 Regular Cost $1201 + $89 Parts/labor replacement
Parks & Recreation Scanner
IAdministration Fuiitsu fi-4120C !t 1 290 Renular Cost $1201 + $89 Partsllabor replacement
Police Department
Administration Fuiitsu fi-4220C $1 757 !t89 Flatbed Cost !t1668 + $89 Parts/Labor
Armorv Fuiitsu fi-4120C !t 1 290 Reaular Cost $1201 + $89 Partsllabor replacement
Crime Analvsis Fuiitsu fi-4120C $1 290 Regular Cost $1201 + $89 Parts/labor replacement
Criminal Investioations Bureau Fuiitsu fi-4120C !t 1 290 Renular Cost S1201 + S89 Partsllabor replacement
Code Enforcement Bureau Fuiitsu fi-4220C $1 757 !t89 Flatbed (door hangers) Cost $1668 + $89 ParIs/Labor
Communications Fuiitsu fi-4340C $5.015 $1.200 Flatbed HS Cost $3815 + $1200 on.site maintenance
Community Relations Fuiitsu fi-4120C !t 1 290 Renular Cost S1201 + S89 Parts/labor replacement
I nternal Affairs Fuiitsu fi-4120C $1 290 !t89 Reaular Cost $1201 + $89 Partsllabor replacement
- .. fi-4~40r. $5.015 !l;1 ?OO Flatbed HS Cost S3815 + S1200 on.site maintenance
Records Fuiitsu fi-4097D $5 865 !t807 Flatbed HS Cost $5058 + $807 on.site meintenance
Trainina Fuiitsu fi-4120C !t 1 290 Regular Cost $1201 +$89 Partsllaborreplacement
I.... '" - .. fi-41 ?Or. !l; 1 ? AO Renular Cost S1201 + $89 Partsllabor reolacement
Public Works Department
Administration Fuiitsu fi-4120C $1 290 !t89 Regular Cost $1201 + $89 Partsllabor replacement
Scanner I Printer Hardware Cost $9 819 $90.176 $22 298 $122 293
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Software Intearatlon
MUNIS Intearation Module 9:15000 Vendor Intearation Cost to LaserFiche
KIVA Inteoration $25 000 Vendor Inteoration Cost to LaserFiche
Total Software Intearation $40.000
I
Back Scanning of Historical Documents $80,000 $106,597 $186,597
I
FLC Implementation Plan Support Support & Quarterly Reviews $31,305 $26,305 $57,610
Records Management Total Cost $86,094 $268.821 $249 300 $604 215
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Records Management and Imaging Introduction
This Records Management Strategic Plan will explain the importance of good record keeping
within the public sector and explore the need to manage information as a strategic resource. The
plan outlines the purpose of records management; define the key terminology, theories, and
principles behind records care. The Plan presents a rationale for developing an integrated
records management program and it identifies the legal and regulatory infrastructure for records;
concluding with an outline of the key records management activities to be undertaken by the City.
The City of Winter Springs, like most cities, is heavily involved in the business of creating records.
Cities have always been extremely paper-intensive; even the addition of computer technology
has done little to reduce the increasing volumes of "hard copy. records. In many cases computer
technology has added to the paper increase, due to the ease of compiling data and generating
reports.
.
The nature of the City's operations makes document-imaging technology an attractive approach
for records management issues. State and/or federal laws usually mandate the creation and
retention of specified City records. Records multiply and can be misplaced. Records proliferate
and need to be protected. Records are vital to the successful operation of the City.
This Records Management Technology Plan is designed to:
· Provide strategic direction for accomplishing document imaging goals and objectives.
· Provide evidence of compliance with electronic record keeping legal requirements.
· Provide a "blueprint" for document imaging technology planning, expansion, funding, and
implementation.
Records Management Mission Statement
We have provided a "Records Management Mission Statement" for the City to review and adjust
to meet the City's requi rements.
"The City of Winter Springs is dedicated to providing excellence in managing records.
The primary goal is that all records, in all formats and media types, shall be efficiently
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created, managed, and retained to meet all legal, financial, auditing, administrative and
historical needs of the City of Winter Springs.>>
Recognizing Records as a Strategic Resource
Recognizing records as a strategic resource examines the importance of good record keeping for
accountability. It also discusses the significance of records as evidence, particularly in relation to
computerization and the creation of electronic records.
Record keeping is a fundamental activity of public administration. Without records there can be
no rule of law and no accountability. The availability of tangible historical tracings of regulations,
contracts, and precedent rulings provide an underpinning for the effectiveness of present day
performance throughout government. Public servants must have information to carry out their
war!<, and records represent a particular and crucial source of information. Records provide a
reliable, legally verifiable source of evidence of decisions and actions. They document
compliance or non-compliance with laws, rules, and procedures.
.
Governments can no longer justify taking action with little or no reference to past performance or
future goals. Nor can they justify parallel or duplicate services when they can combine services
and reduce costs. Client service, quality performance of tasks, and measurable outcomes are
increasingly important responsibilities, and these objectives all depend on accessible and usable
records.
The loss of control of records has consequences for all citizens, especially for the poorest who
are least able to defend themselves. Relevant and accurate public records are essential to
preserving the rule of law and demonstrating fair, equal, and consistent treatment of citizens.
Without access to records, the public does not have the evidence needed to hold officials
accountable or to insist on the prosecution of corruption and fraud. Additionally, the public suffers
when inadequate information systems affect the delivery of programs. All aspects of public
service, including health, education, pensions, land and judicial rights, depend upon well-kept and
well-managed records. We have included frequently asked questions from the Bureau of
Archives and Records Management that will assist the understanding of Records Management
and the State of Florida Public Records Laws (Appendix D).
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Records are vital to virtually every aspect of the governance process. The effectiveness and
efficiency of the public service across the range of government functions depends upon the
availability of and access to information held in records. Badly managed records adversely affect
the broad scope of public service reforms, and development projects are often difficult to
implement and sustain effectively in the absence of well-managed records. The relationship
between key objectives and the records required to support them is illustrated below.
.
Governance Objective Required Records
Law Police Records
Fire Records
City Legal Documents
Accountability Accounting Records
Electoral Registers
Procurement Records
Policy & Procedure Records
Management Resources Budget Records
Human Resource Records
Payroll Records
Fixed Assets Records
Accounting Records
Procurement Records
Policy and Procedure Records
Protection of Entitlements Pension Records
Land Records
Services for Citizens Environmental Monitoring Records
Permitting & Land Map Records
Utility Records
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Governance and Accountability
Governments are being asked to be transparent, open, and engaged with their citizens. And
citizens are becoming more concerned about their roles in the governance of government.
Records, and the evidence they contain, are the instruments by which governments can promote
a climate of trust and demonstrate an overall commitment to good government.
Similarly, accountability is critical to a responsible government. The foundation for accountability
is well-managed records. When managed in a way that ensures integrity and authenticity through
time, records allow employees to account to their managers. They permit managers to account
to the heads of government institutions and elected officials who represent the interests of
society: the citizens, to whom all are accountable.
Electronic Governance and Electronic Records
.
Advances in information and communication technologies provide the opportunity for
governments throughout the world to improve the delivery of information and services to citizens
and businesses, to streamline public sector functions, and to increase participation in
government. In some instances this is just a matter of providing electronic access to existing
information. Electronic govemment has the potential to rise above constraints imposed by
distance and increase the speed of service delivery, but it also poses a number of challenges for
accountability, the rule of law and the maintenance of organizational memory.
There is a fundamental tension between information technology and the court's need for reliable
evidence. Information Technology makes it possible to process, manipulate, reformat, and
change information easily; court's need evidence that does not change. The League has
included the Federal Rules of Evidence and their associated notes for the City's review (Appendix
F). These rules govern introduction of evidence in civil and criminal proceedings in Federal
Courts. While these rules do not apply to state courts, many states have closely modeled their
rules on these provisions.
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Governments face increasing public pressure to demonstrate that they are accountable to the
courts and the legislature and to root out corruption. As more interactions occur in electronic form
between citizens, businesses and governments, it is vital to ensure that electronic systems
support evidentiary record keeping. Citizens will expect that their rights are as well protected and
documented in an electronic environment as in the traditional paper-based environment.
This can only be achieved if the records generated through electronic government are carefully
managed through systems that provide constant intellectual and physical control. The aim is to
preserve the combination of content, context, and structure, which give electronic records
meaning over time, to protect the fragile media from degradation, and to ensure efficient access.
Above all it is important to remember that while technology makes electronic government
possible, the focus should remain on the provision of service and protection of rights. Thus,
electronic government is not something that can be implemented and managed by a group of
information technology professionals alone. Records Managers have a key role to play alongside
the planners and developers of electronic government programs.
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Winter Springs, .Florida
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FLC White Paper on Public Records Retention
The City requested that the League prepare a white paper to discuss the implication of Public
Records Retention. Tom Babington, FLC Senior Consultant reviewed State Statutes and other
related documents found under Appendix D and provided the following information. The following
"White Paper" does not constitute a legal opinion; it is our understanding of the information
reviewed.
Abstract
.
This White Paper addresses the statutory and administrative obligations of local governments
applicable to the conversion and retention of words and images, including signatures and seals,
from paper to an alternate medium. Alternate media, at this time, include microfilm, photocopy,
photograph, and electronic or digital format. The intent of this white paper is to provide
clarification for local governments relative to their role in the conversion and retention of public
records. The Florida League of Cities (the League), through this document, does not purport to
offer legal interpretation or advice regarding the Florida Statutes or the Florida Administrative
Code. Local governments are advised to consult their legal counsel and/or the Florida Attorney
General's Office for legal opinions.
The Perfect Storm
The convergence of significant elements of nature arriving at a common point in time, place, and
force have produced the notion of "perfection", even "elegance", in describing the event and
consequences such a convergence can deliver. For the purposes of this discussion, we draw
upon four significant elements of public policy that have been visited upon every local
government in the state of Florida:
1. The most extensive and dynamic public records laws in the nation.
2. The rigorous organizational insight for managing records' liability.
3. The complexities of coexistent and rapidly evolving records technologies.
4. The increasing burdens of internal operational efforts and costs.
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Given these circumstances, all local govemments in Florida at one time or another, have braced
for recurring requests of public records followed closely by an uncertain environment of
consequential fallout. Over the past few years, the League has heard a variety of public records-
related strategies from its members. Oddly enough, most ascribe to the same metaphor: "seeking
shelter", "battening down the hatches", and "riding it out". The more proactive approach,
"weathering the storm", seems to be the strategy least often selected. We attribute that to the low
priority given records management whenever it competes for attention and resources with other
local issues brewing on the horizon, which in many cases, for Florida local governments, includes
real storms; regardless of their degree of perfection.
Nonetheless, "weathering the storm" gets to the heart of the issue of conversion and retention. As
a proactive strategy it implies a level of confidence for the steps that can be taken or have been
taken. Such a strategy implies a first and best line of defense to contain and mitigate; what is the
risk and what is the solution. On the other hand, attempts to address all issues for all
stakeholders for all time by applying limited and unfocused resources to an issue that has few
internal proponents usually fails.
.
The watchword is "focus". By deliberately focusing on the public records events and
consequences that can produce the most disruption (i.e. the four elements identified above), local
governments should seek to craft a high-level, strategic framework that will drive the decisions
and behaviors of the organization in a more effective and productive direction. With our focus on
technological conversion and retention of public records, the League seeks to provide a proactive
context in which the questions "what is the risk and what is the solution?" can be effectively and
productively answered.
To that end, our research looked to the Florida Statutes, Administrative Codes, and Division of
Records Management documentation to gain a more comprehensive insight into the initial intent
of each section of the regulations and the range of latitude of decision-making solutions available
to local governments.
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Winter Springs, Florida
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Bottom Line
Each local government is totally responsible for managing the life cycle of all public records in its
care. The State provides direction, information, and education relative to all aspects of the public
records life cycle, but ultimately each local government is responsible for its decisions and actions
based on the following:
1. Know what a public record is, and is not.
2. Apply the specified periods of retention to each record type.
3. Dispose of records as appropriate and file all reports of destruction as required.
4. Abide by the current microfilm conversion and storage specifications.
5. Demonstrate that the conversion to a medium other than microfilm:
· Meets the standards applied to the pre-converted medium.
· Continues to be convertible to microfilm after conversion.
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Records Management Technology Overview
Chapter 119.011 (1), Florida Statutes (Appendix D), 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 defi nition has been interpreted by the Florida
Supreme Court to mean, '~ny 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 information applies to all electronic records systems, whether on micro-, mini-, or mainframe
computers, in networked or stand-alone configurations as well as electronic records that are parts
of an automated information system.
"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 to provide a final
product, such as a report, which is intended to perpetuate, communicate, or formalize knowledge.
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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. All documents are listed under "Appendix on,
This Records Management Plan emphasizes the crucial role of records maintenance and
disposition in managing electronic records. Special attention should be 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.
What are Electronic Records?
.
The primary consideration when establishing record keeping requirements for electronic records
is: What is an electronic record? Chapter 119, Florida Statutes provides a definition of "public
records" and the Florida Supreme Court has rendered further interpretation. Therefore, any
electronically recorded data that is: (I) 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 18-26.003, Florida Administrative Code (Appendix "0"). 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.
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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 how 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 is available to advise
about the record status of electronic information, but the final administrative decision rests with
the record custodian and the City's legal council.
The League asked the State Archives and Records Management office for clarification on two
items and received the following answers.
.
1. If a City has a financial management database that maintains financial data, generates
purchase orders and cash reports, etc., does the City need to keep printed reports
generated by the system, as long as they maintain the data in the system and can
regenerate any reports needed. For instance, if they generate a daily cash report, or a
weekly or monthly report of some kind, in order to review or wlidate information, once
they are done using that report they generated, do they need to keep it, or does the data
maintained in the system serve as the "record"? Conversely, is the report a different
record from what's in the system because of the way in which the data is compiled and
presented?
a. State Response: If the database, software, and data/records are all maintained
for the length of time required for the information and subsidiary reports per
established records retention schedules, and if the agency can generate that
same report from the system with identical data in response to a public records
request, then the printed reports could be considered convenience copies with
short term retention (OSA). We also suggest that having records retention
functionality built into a database is one way of ensuring that data/records are
retained for the required length of time and not purged prematurely.
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2. The second question related to the same data being generated on a different report and
would both reports need to be retained as a "Public Record".
Example: The City generates a daily cash report. Then on a weekly basis they generate
a weekly report that has all the data from the daily cash reports in one column AND has
several other columns with additional financial data. Could the weekly report, which
contains all the daily report data, serve as the record copy for the daily cash reports, or
would those daily cash reports also need to be retained?
a) State Response: As long as all the data is retained as required in the automated
system, that electronic data can be designated as the record (master) copy and
the printed reports, whether generated daily, weekly, etc. can be designated as
convenience copies with short term retention.
.
The responses provided by the Records Management office reflects the requirements that would
be expected of a governmental agency that has gone to an electronic recordkeepingldocument
management system (i.e. imaging or microfiche). Originals of the electronically stored documents
may be destroyed IF electronic storage becomes the means of maintaining the master copy.
Copies of the documents re-produced upon re-printing from stored data are sufficient to satisfy
the Public Records Law. Once stored electronically, originals effectively lose their
administrative value, and may be destroyed Support for such a recordkeepingldocument
management strategy is found in section 92.29, Florida Statutes (Appendix D).
Should the City choose to rely on raw data I electronic records and its software applications to
provide reports to support public records request, it will need to thoroughly test their software
applications ability to regenerate a report, as it appeared at any given point in time. This
approach places much stronger requirements and burdens on the City's technology group
which will need to make sure that the raw data I electronic records are retained in compliance
with the State's "Records Retention Schedule", are being properly backed-up for restoration, and
are purged in accordance with this schedule.
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Records Management Definition
A Records Management System seeks to control and manage records through the entirety of a
records life cycle from the time they are created, throughout their useful life and eventual
disposition or permanent preservation. The system must be efficient, effective and provide for the
economical management of public records, as defined by section 119.011, of the Florida
Statutes. The guiding principle of records management is to ensure that information is available
when and where it is needed, in an organized and efficient manner, and in a well-maintained
environment. It is important to remember that records management is not only retention
schedules and the disposition of records; records management also comprises all the record-
keeping requirements that allow for the city to establish and maintain control over information flow
and administrative operations.
Document Imaging Definition
.
Document imaging is the ability to electronically capture, store, retrieve, display, process,
distribute and manage documents and information in digital format. This process is accomplished
using an integrated system consisting of personal computers, scanners, monitors, printers,
storage devices and host computers on networks working together to perform document imaging
and data processing.
Paper documents are converted to electronic form by scanning them into a computer. Once a
document is in digital format, it is compressed and stored on magnetic disk or optical media.
These electronic documents are archived by detailed classifications or indexes. Once a
document is scanned and indexed, it is available for retrieval via any workstation with imaging
access and end-user authority.
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Benefits of a Records Management I Imaging System
Records management and imaging technology offers many advantages including, but not limited
to:
.
· Make information easily accessible to simultaneous users as well as users in remote
locations.
· Reduce time and costs associated with duplicate filing and re-filing, misrouting
misplacing, losing, locating and retrieving files and expenditures for additional filing
cabinets.
· Manage the storage and fast and efficient retrieval of massive volumes of documents.
· Minimize paperwork storage requirements and provide space savings.
· Allows multiple-user access (more than one person and access the same file at the same
time for reference purposes) and increased efficiency in retrieval of information.
· Increased document security and improved backup for paper documents. Imaged files
are relatively easy to back-up and require substantially less space than paper documents
to store.
· Compliance with legal, administrative, fiscal and historical retention requirements.
· Control over the creation of new records.
· Identification and protection of vital and historical records.
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Plan Implementation Team
We have identified three key staff that will be involved in the Plan Implementation and Monitoring
Process.
Records Management Liaison Officer
Andrea Lorenzo-Luaces,CMC
City Clerk
407.327.5955
al ua ces@wintersprinosf!.oro
Information Services Coordinator
Jacqui Greaves
Project & Application Support Specialist
407.327.8990
ioreaves@winterspringsf!.org
System Administrator
Bill Thompson
System Administrator
407.327.8989
bthom pson@wintersprinosf!.oro
.
Scope
The Records Management Technology Plan document shall provide strategic direction for
accomplishing document imaging and record management goals and objectives. The information
provided in this document shall apply to all departments and users that utilize the City's Record
Management System in the normal course of business to perform daily records processing
duties.
Authority
The City of Winter Springs, Florida Statutes 119, 257, 92.29 and Administrative Rules 1 B24 and
1B-26.003 (Appendix D), constitute the sources of enabling legislation that support the Records
Management/Imaging System. The records management liaison officer shall manage the plan in
conjunction with the Information Services Department according to requirements mandated by
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the State of Florida and policies set forth by the City. We have included the State of Florida's
document, "The Basics of Records Management" under Appendix A.
Plan Objectives
· To coordinate between City departments and the State of Florida on all phases of the
Records Management I Imaging Systems Project in compliance with applicable State
Statues and Administrative Rules.
· To facilitate the efficient use of personnel, equipment, and space allocated to records
production, control, and preservation.
· To effectively maintain decentralized document-scanning operations for the scanning,
storage and retrieval of current records and long-term retention records.
· To maintain a safe and sound depository for the storage and retrieval of permanent and
long-term records.
· To improve employee productivity by streamlining current processes and reducing
manual paper filing tasks.
· To improve the services that departments provide to their customers.
.
Defining Master Copy, Duplicates and Intermediate Records
Defining the distinction between "master copy", "duplicate" and "intermediate" records can
conserve time and effort. These definitions (master and duplicate) are contained in Chapter IB-
24. Florida Administrative Code, and (intermediate) Attorney General Opinion 85-87 (Appendix
D), which in summary 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" (Appendix D). Most Cities have countless copies of its various paper records filed or moved
within the agency's subdivisions and to its citizens and businesses. The 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, copies can be destroyed whenever it is convenient,
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provided a "record (master) copy" is maintained. The master copy is the legal document, the
document that is the proof that the City performed a specific function in the proper manner.
The record (master) copy of a record is not necessarily the "original" form of the record, as
exemplified in the following scenarios in which (1) an external paper document is sent or
received, (2) an internal paper or electronic document is transmitted to one or more internal
recipients, and (3) an internal form is generated within the organization.
In sending a letter, the original goes to the recipient and a copy is retained on file as the record
(master) copy. This is the copy that validates the content of the correspondence. In receiving a
letter, the original is retained on file as the record (master) copy.
In sending internal documents such as a memo, report, or proposal, the original is forwarded to a
specific person and a copy is filed by the sender.. In receiving internal documents, the original is
received and filed as the record (master) copy) by the addressee. Additional copies of the internal
document may be sent to and received by many others, who may retain copies as well.
.
With regard to internal organizational forms, the intent for which is to initiate action the transmitted
document that includes the final signature or final disposition of the intent for the form, which may
have required multiple reviews or approvals, is considered the record (master) copy, and is
typically retained on file by the person who is organizationally accountable for the service
requested through the use of the form.
In each of these scenarios there is one record (master) copy and some number of additional
copies, some of which may be "originals".
The master needs to be defined in the City's procedures. The procedures need to specify its
location and content, and control access. The master should be governed by the State's records
retention schedule and its integrity and accuracy guaranteed. The records custodian determines
the record (master) copy's location of paper and electronic documents. 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.
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Electronic E-mail as a Public Record
Computer-based electronic mail (e-mail) is one tool that is playing a vital role in the way
governments 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 and the loss of control over official records and important documents
increases in trivial and duplicate messages, all of which give rise to concerns about privacy,
security, and public access may offset the benefits of e-mail. Records in e-mail systems can be
managed successfully through a combination of policies, system design, management
procedures, and end user training. The following guidelines provide practical management
techniques for the support of government business and to satisfactory recordkeeping
requirements.
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 any city in connection with official business, is a record that is subject to
public access and records management laws and regulations.
In order to properly manage an e-mail system and its 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 transactions. Electronic mail messages that are kept because they contain
valuable information content are also records. Electronic mail messages, which constitute
public records, must be identified, accessible, and retained much like records in other
formats.
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2. Electronic mail messages are not subject to the provisions of the Public Records Act
Chapter 119, Florida Statutes, when they consist of un-circulated 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 usable format. The identity, purpose, and location of
records should be 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. The City should define proper use of its electronic mail system and set limits on personal
use. The City 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. If internal personal use is permitted, then policies should address that personal
emails sent or received maybe captured under the city process to provide public access
of electronic email.This would protect the City should any personal emails be released
under a public request for information. Appendix D has the Department of States,
"Electronic Mail Opinion and General Records" information and Appendix E contains the
Florida Supreme Court e-Mail ruling.
5. Public records that are transmitted and received through electronic mail systems should
be organized and stored in a filing system or repository, such as a Records Management
System. 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 set by the City and policies should be established in relationship to the
technical capabilities of the e-mail system and network used to support document
management, authentication, and security.
6. The City should ensure that adequate training is provided for users of electronic mail
systems on recordkeeping requirements, the distinction between public records and non-
record documents, procedures for designating public records, and moving or copying
records for inclusion in the City's "Records Management System".
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See the Department of State's (DOS), Electronic E-Mail Opinion and Item 146 Transitory
Messages, and DOS Polices on Internet and E-Mail usage in Appendix 0 in relationship to
electronic e-mail. Also see, Appendix E for the Florida Supreme Court ruling on the City of
Clearwater (respondent) and the Times Publishing Company (P etitioner), on whether ALL e-mails
transmitted or received by public employees of a government agency are public records pursuant
to Section 119.01 (1), even if they are personal.
Digital Signatures
Florida has adopted laws that allows for the use of digital or electronic signatures on "all
communications." The most common standard seems to be that an electronic or digital signature
must be executed or adopted by the person, with the intent to be bound by the execution or to
authenticate a record, unique to the person using it, capable of verification, under the sole control
of the person using it, and linked to the data in a manner that, if the data are changed, the
signature is invalidated. The statutes in Florida specifically require the use of "public key-private
key pairs" or asymmetric cryptosystems, for digital signatures to be generally acceptable.
.
In general, these laws presume that any problems with the technological capability of signature
software to recognize whether a document has been altered with be handled by the marketplace
software, or by the adherence to published standards. Most of the debate and variation in the
laws concern protection against forgeries. Anyone who has obtained a 'digital 1.0." for use in
Web-based transactions knows, that there are various levels of identity security available for
obtaining a private key. Some states have adopted a licensing approach, with strict regulations
over who can "certify" a person's key, and over what care the "certifying authority" must take in
verifying a person's identity. Florida has taken a "wait and see" approach as to whether certifying
authorities should be licensed.
Florida is one of the few states that have directly addressed the use of digitally signed electronic
documents by surveyors or engineers. In Florida, the law governing licensing of engineers and
surveyors states that "Drawings, specifications, plans, reports or documents prepared for or
issued by a registrant may be transmitted electronically and may be signed by the registrant,
dated and stamped electronically with said seal in accordance with ss.272.70-282.75 (a reference
to the Florida Electronic Signature Act of 1996)." F.S.471.025(1).
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The Florida Board of Professional Engineers Administrative Code 61G15-23.003 states the
procedures for signing and sealing electronically transmitted plans specifications, reports or other
documents:
.
Electronic files may be signed and sealed by creating a "signature" file that contains the
engineer's name and PE number, a brief overall description of the engineering
documents and a list of electronic files to be sealed. Each file in the list shall be identified
by its file name and utilizing relative Uniform Resource Locators (URL) syntax description
in the Internet Architecture Board's Request for Comments (RFC) 1738, December 1994,
which is hereby adopted and incorporated by reference by the Board and can be
obtained from the Internet website. Each file shall have an authentication code defined
as an SHA-1 message digest described in Federal Information Processing Standard
Publication 180-1 "Secure Hash Standard," 1995 April 17, which is herby adopted and
incorporated by reference by the Board and can be obtained from the Internet website. A
report shall be created that contains the engineer's name and PE number, a brief overall
description of the engineering documents in question and the authentication code of the
signature file. This report shall be printed and manually signed, dated and sealed by the
professional engineer in responsible charge. The signature file is defined as sealed if its
authentication code matches the authentication code on the printed, manually signed,
dated and sealed report. Each electronic file listed in a sealed signature file is defined as
sealed if the listed authentication code matched the file's computed authentication code.
Is this the end of the hard copy map? There are legitimate concerns about eliminating the "hard
copy" map and replacing it with a secured electronic file. Electronic signature software envisions
that the end-user viewing the document will be doing so from a computer screen, while many
engineering plans are still being unrolled and viewed via a hard copy on the job site. Technology
advancements and the economic necessity of pursing commerce electronically could, eventually
force surveyors and engineers to abandon the hard copy.
The City of Winter Spring's Engineering Division received an email from the State's Records
Management Division providing approval to scan City maps and destroy the City's official paper
map records. However, the City needs to ensure that it follows the guidelines set forth by the
State for the following items before destroying the official paper copy.
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· The electronic copy has to be declared as the means for maintaining the master copy of
official City documents. Once stored electronically, originals effectively lose their
administrative value. Florida Statutes 92.29 supports this and the City's Records
Management Liaison Officer can declare the electronic copy as the master copy.
· The electronic master copy then becomes the legal document and needs to be defined in
City procedures. The procedures need to specify its location and content and control
access.
· Electronic master copies need to be maintained in a database management system that
controls the origination, storage and retrieval of data.
· Must ensure public access.
· Provide an appropriate level of security to ensure the integrity of the records.
· Scanning density must be a minimum of 300 dpi and stored in accordance with the TIFF
6.0 specification and TIFF Group IV compression.
· Ensure that system security and backups are documented and backup tapes are stored
offsite.
· Provide the proper forms to the Records Management Liaison Officer for proper
destruction of paper documents.
· The City will want to request that future maps be provided in an electronic format with
digital signatures from engineers, when appropriate.
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State Requirements and Guidelines
All of the following state requirements and guidelines are included under Appendix D in their
entirety for a complete review. We have just highlighted key excerpts below from these
documents for the Records Management Plan.
Chapter 119, F.S. Requirements
Chapter 119, Florida Statutes is Florida's Public Records Law. Chapter 119.083 requirements
include:
.
· "An agency must consider when designing or acquiring an electronic recordkeeping
system that such system is capable of providing data in some common format such as,
but not limited to the American Standard Code for Information Interchange." Chapter
119.083 (4), F.S.
· "Each agency that maintains a public record in an electronic recordkeeping system shall
provide to any person, pursuant to this chapter, a copy of any public record in that
system, which is not exempted by law from public disclosure. An Agency must provide a
copy of the record in the medium requested if the agency maintains the record in that
medium, and the agency may charge a fee, which shall be in accordance with this
chapter. For the purpose of satisfying a public records request, the fee to be charged by
an agency if it elects to provide a copy of a public record in a medium not routinely used
by the agency or if it elects to compile information not routinely developed or maintained
by the agency or that requires a substantial amount of manipulation or programming must
be in accordance with s.119.07 (1) (b)." Chapter 119.083 (5), F.S.
· "An agency may not enter into a contract for the creation or maintenance of a public
records database if that contract impairs the ability of the public to inspect or copy the
public records of that agency, including public records that are on-line or stored in an
electronic recordkeeping system used by the agency." Chapter 119.083 (6), F.S.
Prior to purchasing any Records Management /Imaging Systems Technology (hardware and/or
software) or the signing of any related contracts, the City should ensure that the three
requirements above will continue to be met through the recommended purchase.
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Chapter 251. F.S. Requirements
Chapter 257 (5)(a), Florida Statutes (Appendix D), states that it is the duty of each Florida
government agency to designate a records management liaison officer (RMLO). The RMLO
establishes and maintains an active and continuing records management program within the
agency. The City of Winter Springs has met this requirement with their "Public Records Policy
Resolution No. 2000-1 by designating the City Clerk as the supervisor of public records
(Appendix C).
Chapter 92, F.S. Requirements
Chapter 92.29, Florida Statutes for the Photographic or electronic copies, states that
reproductions through electronic record keeping systems shall in all cases and in all courts and
places be admitted and received as evidence with a like force and effect as the original would be
(Appendix D).
.
Rule 18-24, FAC Requirements
Rule 18-24 (Appendix D), Florida Administrative Code (FAC), states that:
18-24, (b) "Custodian means 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.
18-24, (c) "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.
18-24 (n) "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 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
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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.
Rule 1 8-26.003, Florida Administrative Code Requirements
Rule 18-26.003, Florida Administrative Code (FAC), provides standards for public records that
have a minimum retention period of more than ten years and are recorded and stored on
electronic media (Appendix D). We have listed below some specific requirements included in the
Rule:
.
· These rules apply to all electronic recordkeeping systems, including, but not limited to,
microcomputers, minicomputers, mainframe computers, and image recording systems
(regardless of storage media) in network or stand-alone configurations.
· Ensure that all records are included within records retention schedules, including record
keeping requirements and disposition (Appendix A - GS1-L Schedule).
· Provide training for users of electronic record keeping systems.
· Ensure public access to records.
· 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.
· A scanning density with a minimum of 300 dpi (dots per inch) is required for recording
electronic records.
· Record (master) copies of digital images must be stored in accordance wth the TIFF 6.0
specification and TIFF Group IV compression, which is a two~imensional compression
format for storing black and white images. Typically compresses at a 20-to-1 ratio for
standard business documents.
· 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 (20-30 percent) controls.
· Agency shall test all long-term or permanent electronic records at least every 10 years
and verify that the media are free of permanent errors.
· Establish procedures for regular recopying, reformatting, and other necessary
maintenance to ensure the retention and usability of the electronic records throughout
their authorized life cycle.
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· Electronic records may be destroyed only in accordance with the provisions of Chapter
1B-24, FAC.
· Maintain a migration path for both hardware and software.
Self-Evaluation Guidelines
The Florida Bureau of Archives and Records Management (BARM) published a self-evaluation
guide for Florida government agencies to use for self-assessment of the basic necessary
components of a records management program. Using the guide, the City can conduct a self-
evaluation of its records management program, identify problem areas, and set priorities for
program improvements (Appendix A). After completed, this sel~valuation guide should be
reviewed and updated each year.
.
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Management Roles and Responsibilities
Effective management of electronic records demands coordination among three different groups
within the city.
1. Those officials who oversee the creation and use of electronic records as an
information resource (records custodians),
2. Those responsible for the acquisition and technical operation of specialized
computerized electronic recordkeeping systems, communications / network
infrastructure, technology specialists, and
3. Those responsible for ensuring the proper creation, maintenance and disposition of
the records. This coordination can be achieved by ensuring that these individuals
collaborate in performing the responsibilities listed below.
Records Management Liaison Officer (RMLO)
.
· Long range planning in coordination with the Information Services Coordinator for all
document imaging technology use within the City.
· Provide consulting services to users and potential users relating to index structures, and
document preparation/scanning/quality control! indexing processes.
· End-user training in classroom and/or one-on-one settings.
a Coordinate between departments and the State of Florida on all phases of the records
management / imaging project in compliance with applicable State Statutes and
Administrative Rules.
Coordinate the destruction of electronic records in accordance with the provisions of
Chapter 18-24, Florida Administration Code (FAC).
Information Services Coordinator
· Long range planning in coordination with the RMLO for all document imaging technology
use within the City.
· Planning and execution of all document imaging expansion projects.
· Document imaging budget (both capital and operating).
· Working with the Director of Information Services to purchase all document imaging
hardware and software components.
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· Provide consulting services to users and potential users relating to index structures, and
document preparation/scanning/quality controll indexing processes.
· Maintain upgrades and migration path for all software components.
· End-user training in classroom and/or one-on-one settings.
· Tracking of all document imaging expenditures, user access authority, and index setup.
System Administration and Network Responsibilities
.
· Conduct daily backups of all document imaging index data and images and arrange for
the transfer of backup data to offsite storage.
· Continually monitor all magnetic and optical storage to ensure adequate space
availability for document storage over time.
· Troubleshoot all problems with any document imaging hardware.
· Provide and maintain a stable document imaging server and all necessary network wiring
and components (hubs, routers, switches, etc.).
· Troubleshoot network problems that affect the document imaging system.
· Provide general PC maintenance and troubleshooting to document imaging users as
requested through the normal request system.
· Maintain upgrades and migration path for all hardware components.
Document Preparation Function and Procedures
Document preparation usually includes removal of staples, paper clips, and sticky notes from
documents to be scanned. It may also include ensuring the file/batch to be scanned is complete
and legible. Each user department shall be responsible for the document preparation function
and corresponding procedures within their department. The Records Management Liaison
Officer and Information Services Coordinator are available on a consulting basis regarding best
practices.
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Quality Control Function and Procedures
Each document scanned into the records management system shall be verified through a quality
control (QC) process. QC usually involves looking at the document on the monitor after scanning
to ensure the document is complete and readable and that no pages were missing during the
scanning process. Each department shall be responsible for the imaging quality control function
and corresponding procedures within their department. The Records Management Liaison
Officer and Information Services Coordinator are available on a consulting basis regarding best
practices, and industry standards.
Indexing Electronic Records
Indexing is more complicated than placing a document in a filing folder or placing a label on a
disk or tape. Indexing provides a relatively simple way to find electronic documents, over a
manual filing system. An indexing system should require the document creator to indicate the
name of the document, the addressee, and type of document, the date, and other identifying
information that will allow the electronic records to be retrieved by more than one data element.
.
The indexing process involves typing specific data from the document into indexing fields to allow
that document to be retrieved at some point in the future. Accuracy during the indexing process
is crucial. If data is typed incorrectly during indexing, the image may not be retrievable. Each
user department shall be responsible for the indexing function and corresponding procedures
within their department. The Records Management Liaison Officer and Information Services
Coordinator are available on a consulting basis regarding best practices, and industry standards.
Records Retention
Records maintained on magnetic and/or optical media in the records management system shall
be retained in compliance with the General Records Schedule published by the State of Florida,
Bureau of Archives and Records Management. The records retention schedule is attached under
Appendix A, in an Microsoft Excel spreadsheet format, as well as, the General Records Schedule
GS1-L for Local Governments. Questions relating to which record series category is applicable
for a particular document should be directed to the Records Management Liaison Officer.
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Also we have enclosed a memorandum provided by Municipal Code Corporation's (MCC) legal
staff addressing questions on records retention (Appendix H). This appendix also has a basic
draft copy of MCC's "Florida Retention Booklet"; its annotated statutes with cases found and
pending legislation. When this document is finalized, the League will forward a copy to the City of
Winter Springs.
Electronic Mail Retention and Disposition
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
non-substantive 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 I and may be disposed of without further notification. 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) copy has been filed appropriately. The deletion of duplicate records, or
convenience copies, can be accomplished without notification to the State, if the records
have been scheduled in a General Records Schedule or an individual City 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
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records retention and disposition schedules, user training, and policies and procedures to
ensure that City 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 program 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, the City 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. This approach is in accordance with procedures established by
Chapter 1 B-24, Florida Administrative Code and instructions included in the publication
"Basics of Records Management" (Appendix A), issued by the Division of Library and
Information Services.
4. Electronic mail may be deleted/destroyed only in accordance with the provisions of
Chapter 1 B-24, Florida Administrative Code. At a minimum the City 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
sensitive proprietary, or security information are not reused if the previously
recorded information can be compromised any way by reuse.
The League has included in Appendix H an article written by League staff on the "Legitimate
Exclusion of E-Mail and Phone Records", for your review. This is in no way a legal opinion and
the City should have legal staff review and comment.
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Office of Record Designation
The end-user department shall maintain "Office of Record" responsibility for documents they scan
I input in the records management I imaging system. For example, Employee Records and files
will be scanned by the Human Resources Department and will be the "Office of Record" for all
employee benefits and records maintained in the records management system.
Records Disposal
.
When records maintained on the records management system have passed their required
retention period as directed by the State of Florida, Bureau of Archives and Records
Management (Appendix A -GS1-L Schedule). The Records Management Liaison Officer
(RMLO) has a responsibility to coordinate with the Office of Record and the Information Services
Coordinator to coordinate the records disposal and approval process. After the department head
signs off giving approval for records disposal, the RMLO will coordinate with the Information
Services Department for removal of the specified records and send proper notification to the
State of Florida. This process shall comply with the requirements as outlined in Rule 1 B-26 FAC
(Appendix D).
Public Records Law Compliance
Most records created or received in the transaction of official City business are public records,
open to public inspection according to provisions in Chapter 119, F.S. Depending on the content
and topic of a particular document, it mayor may not be exempt from public inspection under the
Public Records Law. Each user department shall be responsible for maintaining the public
accessibility of their own records maintained in the Records Management System as required by
the Public Records Law.
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System Security, Backups and Access
System Security
Each employee will be provided with a unique user 10 and is responsible at all times for proper
usage of the Records Management System under his/her user 10. Users should never reveal
their password to any other person including help desk personnel, their manager, or
administrative support. Passwords must be selected in a manner that avoids names, dates, or
other combinations that would make guessing them possible. Effective passwords are at least
seven characters long and include both letters and numbers.
All records management user ID's shall be revoked immediately upon a user's termination of
employment with the City or upon termination of job status/duties that gave the user access to the
system. The user's supervisor shall be responsible for notifying the Information Services
Department of the necessity to terminate a user's 10.
System Backups
.
For disaster recovery purposes, the System Administrator shall backup all records management /
imaging documents and index data to magnetic tape for offsite security storage. Backup tapes
shall be transferred to offsite storage on a daily rotational basis. The offsite storage facility used
is generally the same facility used by the Information Services Department for other data storage.
This must be accomplished within the guidelines established under the Florida Administrative
Code Rule 1 B-26.003 and Chapter 282 of Florida Statutes.
User Access Request
All records management / imaging system users should formally request system access in a
written format, which can be reviewed and approved by the Records Management Liaison Officer,
Information Services Coordinator and the Departmental Office of Record designee. This form
can be developed and placed on the City's Intranet for access and submission.
Once a user 10 has been assigned to an employee, it is the responsibility of the user department
to inform the Information Services Coordinator, when that user 10 must be removed from the
system due to employment resignation, termination, or transfer.
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Records Management I Imaging Funding Plan
Capital Improvements and Operating Budgets
Funding for the Records Management I Imaging Systems Technology Plan includes hardware,
software, training, support, integration with MUNIS and KIVA, scanning of historical documents,
and implementation plan support. Funding will be provided through the capital and operating
budgets of the Information Services Department. All purchases must be examined to ensure
compliance with State guidelines and fiscal responsibility. Vendors on State contract currently
provide all recommended hardware and software identified within this Plan.
Highlights of the FY 03-04
.
· Purchase a Dell Server and SQL Licenses.
· Purchase LaserFiche Records Management Enterprise Edition and supporting software.
· Purchase 15 full user and 10 retrieval LaserFiche licenses for end-user access.
· Purchase seven (7) Scanners of various capacities to support two departmental and
common areas, plus a map printer.
· Begin the scanning of historical documents.
· Provide implementation plan support.
Funding Goals
· Progress with a multi-year implementation of the Records Management Technology Plan.
· Expand the technology in appropriate areas to support City goals and key results.
· Acquire new document imaging related equipment and technologies by using
standardization and volume purchasing to maximize resources.
· Continue to evaluate, select, and purchase document imaging related software tools in
support of City initiatives and priorities.
· Maximize the effectiveness of document imaging technology through comprehensive staff
development that supports the cities-standard core technologies.
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Hardware Recommendations
Server
The plan recommends the purchase of a Dell Server or equivalent equipment to meet the
specifications identified in "Appendix I". This server has a dual processor, which will require the
purchase of two SOL Server Licenses to operate the Laserfiche Software. Also, the server has
enough storage to meet the City's document storage requirements for the three years identified in
the Plan. Storage requirements are estimated and identified below:
.
Description Number of Storage
Documents Required
Historical File Records 2,262,500 114GB
Historical MaDS 5,597 5GB
Current Year Documents Identified 1,104,395 56GB
Current Year Estimated Maps 2,500 2GB
Two Future Years - Documents 2,915,602 146GB
Two Future Years - Maps 6,600 6GB
Totals 6.297.194* 329GB**
(*This estimate does not include email documents, operating system or software disk storage.)
The League used the spreadsheets in "Appendix G" (Departmental & Police Department
Documents Identified), to determine the number of documents to be scanned for current year and
estimated a 20% growth for future years from the current year. The amount of storage per
document was estimated from the "Digital Image Sizes for Storage Requirements" document
under "Appendix I". This storage space (329GBU) does not account for those documents that
would be also stored with an OCR (Optical Character Recognition) version of the document,
which doubles the storage needs for those documents. The OCR version of documents will allow
for key word searches to find specific information. Many of the City Clerk and Police Department
documents will require this additional storage.
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Storage Space Needed for Documents Residing in the LaserFiche Product
The ~ of documents stored determines the image size and thus the amount of required
storage capacity. If the images to be stored are standard 8.5x11 text images, assume they are
about 50KB each yielding a need about 1GB of storage space for every 20,000 images. One "E"
size drawing (48" x 36") (AO size) is estimated to be equal to 16 letter size pages (8 % x 11),
which equals 800 KB (Appendix I). It is a good practice to calculate the total amount and add 15%
to compute the total storage requirement.
LaserFiche software and maximum storage limitations
The City requested that the League determine if there are any storage limitations associated with
the LaserFiche product and if the City should purchase separate servers for the City and Police
Departments documents.
.
At this time each LaserFiche United (MS SOL) Database can support up to one (1) billion pages
and five thousand (5,000) concurrent users per database. If the City chooses to purchase the
Records Management Enterprise Database version of LaserFiche, which has fifteen (15)
databases, this will be sufficient to meet the City's needs for many years and additional
databases can be purchased and added at any time.
Due to the additional cost of purchasing separate hardware and software for the Police
Department, we are recommending that the City only purchase one server and a multi-database
version of the LaserFiche software product. This will allow for the Police Department to have a
separate database. The Records Management Edition of the software is Department of Defense
(DoD) compliant for security of documents and user access controls.
Scanners
In the following, "Records Management Detailed Plan Cost" spreadsheet, the League has
identified several models of Fujitsu scanners, which would meet each departments needs based
on the type and number of documents to be scanned. The Fujitsu scanners are very reliable
equipment and the City has previously purchased Fujitsu products. Each of the models
specifications is listed under "Appendix I" for your review.
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We have recommended a higt}-speed scanner for a common area on the administrative side of
City Hall, mainly for the City Clerk's Office, due to their volume of documents. Also, we are
recommending the purchase of a common area scanner for the Community Development and
Public Works side of City Hall, in addition to a map scanner and printer to be shared, due to the
volume of growth expected in Winter Spring during the next few years. The plan cost
spreadsheet has outlined the purchase of scanners to meet the implementation schedule outlined
by each year.
Document Management I Imaging Software
.
The City requested that the League specifically evaluate whether the LaserFiche products would
meet the City's needs for a "Records Management System". After a careful evaluation, we
believe that the LaserFiche Records Management System will meet the needs of the City. The
product has been tested for compliance with the Department of Defense (000) Records
Management Standards (000 5015.2) and it can be procured through the State of Florida
Purchasing Contract. This recommendation is based on the ease of implementation, integration
with MUNIS and a survey conducted of one hundred and fifty-five (155) Florida cities. Of the
sixty-four (64) cities that responded 28 of them (44%) indicated that they are using the
LaserFiche product to solve their city's records management requirements and they are
experiencing favorable results. This provides us with a comfort level that local govemments have
significantly adopted the LaserFiche product as a "mainstream" solution. With this many Florida
cities using the product, we are confident that the user group input to the parent company, will be
heard in relationship to upgrades that will benefit Florida cities.
The enterprise addition of this software has fifteen (15) databases that will allow the City to
establish separate databases for each key area and provide security by user id and database.
Version 7 of this software uses the Microsoft Server Active Directory for user id and access. This
will reduce the need for different userlDd's and passwords separate from the network. The
software will restrict the user id to the approved database(s) and documents. We are
recommending that the City start with the following databases per departmental needs identified.
Also, within each of these databases volumes can be set for divisions or specific areas under
each department. Additional databases can be established at any time and a volume of
documents migrated to the new database with an export and import of the documents to the new
database.
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· Administrati\e (All other Departments and General Documents)
· City Clerk
· Police Department
· Fire Department
· Community Development & Public Works
· Human Resources
· Finance
Software Integration
The City has four strategic management applications (MUNIS, KIVA, GIS-ESRI, and Police Cafe)
in operation that needs to be integrated with the Document Management I Imaging Systems
software. We have provided a basic estimate for the MUNIS and KIVA integrations (MUNIS &
KIVA Integration Estimated Cost spreadsheet) based on phone conversations with marketing and
development staff from each of the companies.
MUNIS
.
MUNIS currently has a basic integration with the LaserFiche 6.0 Version, but both companies are
in the process of upgrading to newer versions of their software and the MUNIS basic integration
will need to be redeveloped by MUNIS. MUNIS has several sales in the State of Louisiana
pending on this integration due to the fact that these agencies are heavy users of the LaserFiche
Software products. Per phone conversations and emails from the Florida Marketing
representative, MUNIS has committed to being able to drill down from various inquiry programs
(GL-Account, Vendor, PO, Invoice) to the scanned LaserFiche images. The City would still have
to manually scan or Snapshot in printed reports and assign index ID's to them, that the MUNIS
product can match to, this phase of the integration is scheduled for delivery by March 31, 2005.
This phase should also store any attachments such as Microsoft Word or Excel within the
LaserFiche product.
MUNIS has identified a second phase to be completed by December 31, 2005, in which the
MUNIS-produced documents will auto-load into the LaserFiche product by overlaying a template
on top of the MUNIS data and creating an image of it all. However, externally generated
documents from outside the City such as Accounts Payable invoices would still need to be
manually scanned.
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KIVA
Discussion with the Technical Lead Programmer at Accela for the KIVA software has identified
that the KIVA software product has integration with the SIRE imaging product from Alpha
Corporation that was done for the City of Phoenix, which could be modified to support the
LaserFiche product. The Technical Lead Programmer believes that this could be completed
within a 40 to 80 hours of programming support. However, integration programming
specifications would have to be written and reviewed before quoting a final price for the
integration.
GIS and Cafe
The GIS integration will be accomplished with the LaserFiche "GIS htegration" (layers software)
of ESRI maps. The Police Cafe reports will use the LaserFiche "Snapshot" software tool to create
an archival report file in the Records Management System.
.
Back-Scanning of Historical Documents
The League has identified documents to be scanned in a spreadsheet called "Storage
Documents Identified for Scanning" (Appendix G) and visually documented the number of file
cabinets in each departments respective areas. We then recapped this information into the
spreadsheet called "Historical File Records Identified for Scanning" in this section. These
historical scanning requirements have identified all documents with a three (3) year to permanent
retention. The League recommends that the City start the historical scanning with the permanent
documents, then move to documents with a three-year or greater retention period. The City
should start with the current or new fiscal year (2004/05) for the three-year retention documents
and move forward with the scanning and not scan the prior three years.
To assist with the back-scanning, the League reviewed two companies that provide large volume
scanning support of documents that can then be imported into the LaserFiche software. One is
local (ROI Systems. Inc.) and one in Tallahassee (MCCI, Inc., also supports the LaserFiche
Software), both are on State Contract, but the final pricing would be quoted on volume, the
amount of preparation work, and indexing required. MCCi, Inc. is located out of town but would
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provide the scanned files in a LaserFiche briefcase format for importing into the City's system,
where ROI, Inc. is a local company and would provide the scanned documents in a generic
import file format. We suggest that the City provide both companies with several types of
documents to test scan, import and provide a final cost estimate based on the test files. The
spreadsheet cost in this document is based on the City doing the document preparation,
identifying indexing fields and the document count amount being over one million to bring down
the scanned price to approximately eight cents (.08) per page.
The scanning of City maps is currently being done by an Oviedo company that the Public Works
Director has been able to obtain a cost of .50 - $1.00 per map, which is exceptional J]'icing. The
Tiff files that this vendor provides to the City can be imported to LaserFiche with the Snapshot
product. We have provided cost information for the City to purchase an e-size scanner and
printer (Appendix I), due to the identified growth for the forth-coming years and believe that this
would be of benefit to the Community Development and Public Works Departments.
Implementation Support
.
Any large project of this magnitude should have an external oversight project manager to
coordinate between the City and the implementation vendors. This project manager would also
work with the City's implementation team and assist with resolving an issues that might arise
during the implementation process. We have included a "Records Management Plan Oversight
Administration" cost estimate for a project of this size based on the League's knowledge of the
City and vendors.
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Records Management Plan
Records Management Detailed Plan Cost
Page 1 of 3
Department & Function Description FY 03-04 FY 04-05 FY 05-06 Comments
Cost Cost Cost
Server Hardware Cost
Document Management Server Server $13,200
ISOL Server License 2 Server Processors $7 000 1S:3 500 each
Subtotal -Server Hardware $20 200 $0 $0 $20 200
Software Cost
Records ManaQement Edition Enterprise (15 Database) $35.000 Includes LF United & Audit Trail
Records Manaaement Edition Annual Maintenance $7 000 $7 000 S:7 000
LF Plus Plua-In CD File Creation $3 795 Exnort files to CD with LF Runtime Software
LF Plus PluQ-ln Annual Maintenance $1,590 $1.590
User License - Full -$550 each 40 Total $5 500 $8 250 $8 250 FY04-10 FY05-15 FY06 - 15
User License - Full - $110 each Annual Maintenance $1,100 $2,750 $4,400
E-mail Plua-In - $80 40 Total $800 $1 200 s: 1 200 FY04 - 15 FY05-15 FY06 - 10
E-mail Plua-In - $16 Annual Maintenance $160 $400 $640
Snapshot User License - $100 40 Total $1,000 $1,500 $1,500 FY04 - 15, FY05 - 15. FY06 - 10
Snanshot User License - $20 Annual Maintenance $200 $500 $800
User License - Retrieval - $220 30 Total $3.300 $3.300 FY05 - 15. FY06 - 15
User License - Retrieval - $44 Annual Maintenance $660 S:1 320
Scan Connect 10 Pack - $915 $915 $1 830 30 Scanners
LaserFiche Quick Fields Per Scan Station (4) $1,980
LaserFiche Quick Fields Annual Maintenance $400 $400
Real Time Lookuo $495
Real Time Lookun Annual Maintenance $100 S:100
Zone OCR Standard Forms $2 495
Zone OCR Annual Maintenance $500 $500
InteQrator's Toolkit $2 500 Intearation with other aoolications.
Intearator's Toolkit Annual Maintenance $750 $750
WebLink Enternrise $15995 Provides access to documents via the web.
WebLink Enterorise Annual Maintenance $3 190 $3 190
Installation & Trainina 40 Hours Annuallv $4 400 $4 400 $4 400
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Records Management Plan
Page 2 of 3 - Plan Cost
Department & Function Description FY 03.04 FY 04-05 FY 05-06 Comments
Cn~t c.n_<:t Cost
~ &~ ~e\lie\AI 116 hrsl S:1.760 S:1 71';0 Review of indexinQ & volume structures for best Dractices.
GIS Intearation 6 Lavers $10.000 $2,500 1 st Layer & $1,500 Each Additional Layer
GIS Inteoration Annual Maintenance $3.000 $750 1 st Layer & $450 Each Additional Layer
Subtotal - LaserFiche Software ItI;R 1171; ~R7.:l4n It 1;..1 of 1111 1~177!i1 !i
I
Scanner & PrInter - EauiDment bv Area
City Hall Common Area
. . - City Clerk c";a~,, fi_.40QQn S:1 Q "11';" <l:AQ7 Flatbed HS Cost $18468 + $897 on-site maintenance
Arlmin-Iltilitv - I=rnnt "',,::.~.. fi_.4??OC ~1 7r:,7 $89 ~AQ -. r.n"t ~11';1';A + <<I:AQ Part,,1l <:annr
Community Dev & Public Works Fuiitsu fi-4097D $5 865 $807 Flatbed HS Cost $5058 + $807 on. site maintenence
,.. nF!V II. Pllhlir. Wnrks Contex - Chameleon S:9 100 $1 200 E-size Scanner $7900 + $1200 Maintenance
Dev & Public Work" ~ P ne"inn iet 10r:,0r. S:R671 <<1:1 '00 1=_"i7e Printer S:7471 + S:1200
Citv Clerk
ICitv Clerk Fuiitsu fi-4120C s: 1 290 $89 $89 Reaular Cost $1201 + $89 Partsllabor replacement
City CIF!rk .. fi-4~40C S:5 015 <1:1 '00 S:1 Cn"t !l;~R 1 r:, + ~ 1 ?OO on.slte maintenance
Citv Manaaer
IAdministrative Fuiitsu fi-4220C $1 757 $89 Flatbed Cost $1668 + $89 Parts/labor
Communitv Develooment
IFront .. fi_.4 ??or. S:1.757 S:89 <<I:AQ r.""t S:166B + S:Rg Part,,1l <:anM
IAdministrative Fuiitsu fi-4120C $1 290 $89 Reaular Cost $1201 + $89 Partsllabor replacement
Finance DeDartment
-. - RllrI",,,t .. I fi-4?20C ~1 757 ~Rg Cn"t !l;11';1';R + ~RQ D",rt,,/1 ",hnr
-. ~. .. I fi_.41 ?OC $1.290 <<I:AQ r.n"t $1201 + $89 Parts/labor reDlacement
Finance - Accounts Pavable Fuiitsu fi-4340C $5.015 $1.200 Flatbed Cost $3815 + $1200 on-site maintenance
Fire Denartment
I . . .. fi_.4 <l.40r. <1:" 01" !l;1 Cn"t S:~R15 + ~1 ?OO on-site maintenance
IEMS Fuiitsu fi-4120C $1 290 $89 Reaular Cost $1201 +$89 Parts/labor replacement
General Services
~ .. I fi-4~40C <1:<; 01" $1 Cn"t ~~R1 r:, + ~1 ?OO on.slte maintenance
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Page 3 of 3 - Plan Cost
Department & Function Description FY 03-04 FY 04-05 FY 05-06 Comments
Co!':t Co!':t Co!':t
Information Services Deoartment
IDirector Fuiitsu fi-4120C $1 290 $89 Reaular Cost $1201 + $89 Parts/labor replacement
Parks & Recreation Scanner
I A' . . .. Ifi_4120C $1 ?Qn Renular Cost $1201 + $89 Parts/labor reolacement
1- ..
Administration Fuiitsu fi-4220C $1 757 $89 Flatbed Cost $1668 + $89 Parts/Labor
Armorv Fuiitsu fi-4120C $1 290 Reaular Cost $1201 + $89 Parts/labor reolacement
r.rime .. I fi_.d.1 ?nr. $1 ?Qn Renular Cost $1201 + $89 Parts/labor reolacement
- .. I fi_.d.1 ?nr. $1 ?Qn Reaular Cost $1201 + $89 Partsllabor reolacement
Code Enforcement Bureau Fuiitsu fi-4220C $1 757 $89 Flatbed (door hangars) Cost $1668 + $89 Parts/Labor
Communications Fuiitsu fi-4340C 'I:/:; n1/:; 11:1 ?nn Flatbed HS Cost $3815 + $1200 on..i1e meintenance
- .. fi_.d.1 ?nr. $1 ?Qn Renular Cost $1201 + S89 Parts/labor reolacement
Internal Affairs Fuiitsu fi-4120C $1 290 $89 Reaular Cost $1201 + $89 Parts/labor replacement
Patrol Fuiitsu fi-4340C $5.015 $1.200 Flatbed HS Cost $3815 + $1200 on..ite maintenance
. .. fi_.d.r)97D C;:<; RI':<; 'l:Rn7 Flatbed HS Cost $5058 + $807 on.,lte maintenance
. . ~- ',. fi_41 ?nr. $1.2Qn Reaular Cost $1201 + $89 Parts/labor reolacement
Technical Services Bureau Fuiitsu fi-4120C $1 290 Rea ular Cost $1201 + $89 Parts/labor replacement
Public Works DeDartment
IA . . .. fi_41 ?nr. $1.290 'l:RQ Renular Cost $1201 + $89 Parts/labor reolacement
Scanner / Printer Hardware Cost $9,819 $90 176 $22,298 $122.293
I
MUNIS Intenration Module $15 000 Vendor Intenration Cost to LaserFiche
KIVA I ntea ration $25 000 Vendor Intearation Cost to LaserFiche
Total Software Intearation $40,000
I
Back Scannina of Historical Documents $80 000 $106597 ~186 597
I
FLC Imn/ementation Plan Suooort Supoort & Quarterly Reviews $31 305 $26 305 $57 610
I
Records ManaQement Total Cost $86 094 $268 821 $249 300 U04215
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Records Management Plan
MUNIS & KIVA Integration Estimated Cost
Estimated Cost for Interfacing MUNIS & KIVA Software with the LaserFiche Software
Cost Per Total
Descriotion Hours Hour Cost
KIVA Interface
Document Proiect 8 $250 $2 000
Proarammina 2 Wks 80 $200 $16,000
Imolementation & Training 16 $250 $4 000
Travel Cost - 2 Trips @ $1500 $3,000
Total KIVA Cost $25,000
This could be half the orice.
Kiva currently has an imaging interface that could be modified to
Laserfiche. Additional research would need to be done.
MUNIS Interface $15.000
They are currently developing this interface for the newest
version of the MUNIS Software and the complany has not
determined if this module will be part of the base product or if
they will sell it as a separate module. This interface will allow any
attached Microsoft Word or Excel documents to be stored in the
LaserFiche Product as well as reports printed from the
FormMunis Product.
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Historical File Records Identified for Scanning
Cost Total
File Storage Areas File Drawer Lateral Maps Per Page Cost Comments
Citv Clerk Storaae Area & Vault
Finance Wall 116
Small Back Wall 67
Center Aisle 20
Far Wall 144
Vault 156
Plannina & Zonina File Room
Storace Boxes 194
M"n.. ~m17
Enaineerina MaDs 2500
Fire Deoartment R
Police DeDartment
Storace Room 100 18
Code Enforcement 16
Administration 6
Citv Manaaers Office 5
Information Services 2 1
Human Resources 22
815 60 5597
Averaae Paces Per Drawer 2500 3750
Estimated Paaes 2.037.500 225.000
Estimated Total Paaes 2 262 500 0.08 ~181 000 Scanninc & Indexinc
Estimated Total MaDS 5.597 1.00 $5.597
$186597 This does not cover preparing
Estimated Cost for Back Scannina documents for scannina.
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Records Management Plan
Records Management Plan Oversight Administration
The League was asked to provide a cost estimate for providing implementation oversight for the Records Management Plan. This estimation is to
provide League support for a twenty-six (26) month period to support the outlined "Records Management Departmental Implementation Plan".
City of Winter Springs
Records Mana ement Plan
27 Months of Support
Total Staffln Hours
Staffln Hour Fees
Staffing hou Totall...
or task rtask
12.00 $1.140
$45.580
$10.890
$0
0.00 $0
$0
0.00 $0
$0
$0
0.00 $0
22.00 276.00 0.00 0.00 0.00 490.00 0.00 0.00 0.00 788.00 $57610
Daily Rates 51 000 CO S88000 5800 CO 5600 00 5600 00 5400 00 SO 00 SO 00 SO 00
HourlvRates 512500 511000 510000 57500 57500 55000 SO 00 5000 SO 00
Other Char es enter If a Ilcable >>>
Total Estimate
$57610
Bid Price Calculation
Total Professional Fees (per total estimate above)
$57,610
Qut-of,P\'-C.!tll!.!;l!P~!1.~tl.l!
Expense Allocation Rate Estimate
Total Expense Feea
Total Bid Price (including reimbursable expensesl I $57,610 <<<<<
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Records Management Professional Development Plan
A good professional development plan is the key component to ensuring successful
implementation and integration of any technology initiative. The City's goal is to help records
management / imaging document users to become more efficient and effective in their
administrative tasks. Records management and document imaging related professional
development activities shall be designed to provide staff with the knowledge and skills necessary
to increase daily productivity.
The Records Management Liaison Officer and the Information Services Coordinator needs to
coordinate various technology training offerings for document imaging users including:
· Workshops in a classroom / computer lab setting for all major software changes and
upgrades.
.
One-on-one training sessions as necessary for new users.
"Train the trainer" sessions where a "power user" is trained and then the power user
provides one-on-one training to other users as necessary.
Provide vendor sponsored demonstrations and exhibitions.
.
.
.
Classroom workshops should be scheduled to correspond with new hardware and software
initiative installations to provide just-in-time training. Other development activities should be
designed to make use of user-based expertise such as "power users" who will subsequently
provide training and support for other staff members.
The Records Management Technology Plan should provide the following:
· Quality staff development opportunities for all document-imaging users.
· Ongoing, long-term consultant and support services for the Records Management
System, emphasizing a variety of strategies for its successful implementation.
· Staff development training on the State's Records Retention Policies.
· Provide opportunities for user departments to showcase and/or observe successful
records management technology projects.
· The use of department based expertise in the delivery of staff training activities, which
seek to develop "power users" who will provide training and support for other staff
members,
.
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· Ongoing assessment, evaluation, and revision of staff development training needs and
activities.
Records Management Technology Plan Project Evaluation
In order to maintain the highest operational and technical standards for the Records Management
Technology Plan, the following reviews and evaluations need to be established:
· The Records Management Technology Plan should be reviewed on an annual basis and
updated.
· A Records Management Operating Guideline should be developed, reviewed and
updated on a regular basis.
· Hardware and software should be evaluated on a regular basis.
· City records management needs should continue to be evaluated through a variety of
means (e.g., user requests/feedback, business process analysis and flowcharting, new
product demonstrations/evaluations, etc.).
· Training opportunities for imaging staff should be regularly assessed, evaluated, and
revised to meet the changing needs of the records management imaging users.
.
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"A"
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Records Management Plan
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.
Appendix A - State of Florida Records Management Documents
.
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The Basics of Records Management
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK - Revised 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://dlis.dos.state.fl.us/barm
PREFACE
.
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 21st 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
.
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Records Management Plan
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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.
.
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FLORIDA DEPARTMENT OF STATE - BASICS OF RECORDS MANAGEMENT HANDBOOK
I. AN INTRODUCTION TO RECORDS MANAGEMENT
THE OBJECTIVES OF RECORDS AND INFORMATION MANAGEMENT
.
Records management's primary concern is the efficient and effective management of information.
The guiding principle of records management is to ensure 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
.
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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%.
? '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.
? 1ncreased 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 non paper 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.
.
? 1:ompliance 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.
? l'rotection 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.
.
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? '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.
? 1dentification of historical records. Records managers playa 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.
II. RECORDS MANAGEMENT IN FLORIDA
A. THE BUREAU OF ARCHIVES AND RECORDS MANAGEMENT
htto:/Idlis. dos .state. fl. us/barm
.
The Bureau of Archives of 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
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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
i. 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.
The Bureau provides off-site records storage at the Florida Records Storage Facility. State and
local government agencies may store noncurrent 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.
.
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B. REGULATORY MANDATE FOR RECORDS MANAGEMENT
(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.
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 continuing program 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
.
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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.
.
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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
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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 119.07(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 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. Please refer to for further details about exemptions from the Public
Records Law. See APPENDIX 8 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 18-24, 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.
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(b) Rule 18-26.0021, 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 18-26.003, 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.f1.us/barm) 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.
STARTING YOUR RECORDS MANAGEMENT PROGRAM
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.
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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.
A. INVENTORY PROCEDURES: IDENTIFYING RECORDS
.
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 record keeping 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.
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
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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 otten 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.
B. RETENTION OF PUBLIC RECORDS: ESTABLISHING A SCHEDULE
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
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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 (GS1-S), all other general ~ecords 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 GS11 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 GS1-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 filed 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 LS5E105Reff1-01. 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) GS1-S Records Retention Schedule for State Agencies
(Administrative)
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GS2 Law Enforcement, Correctional Facilities & District Medical Examiners
GS3 Supervisors of Elections
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 & Vocationalrrechnical
GS8 Fire Departments
GS9 State Attorneys
GS 10 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;
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To identify vital records;
To identify preservation problems;
To identify regulatory or statutory retention requirements;
To establish reformatting requirements; and
To establish reasonable and appropriate retention periods.
A sample Records Retention Schedule (Form LS5E105REff1-01) is located on the
Bureau's website. Detailed instructions are listed below.
Completing the Records Retention Schedule (Form LS5E1 05REff1-01)
** It is important to note that the Records Retention Schedule (Form LS5E105REff1-01) has
been revised, effective February 20, 2001. Please make sure that the instructions below are
read carefully to ensure the form is filled out and submitted correctly. The form can be
accessed on the Bureau's website.
.
Each proposed Records Retention Schedule (Form LS5E1 05REff1-01) 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 LS5E1 05REff1-01) 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 1. NUMERIC SEQUENCE OF THE RECORDS RETENTION SCHEDULE
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
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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 INFORMA TlON
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.
.
STEP 3. RECORD SERIES INFORMA TlON
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
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parties examine and render pinions 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, acti'lities, or functions.
STEP 4. RECOMMENDED RETENTION AND 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 1 B.26.003 and 1 B.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.
STEP 5. AUTHORIZA TION
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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.
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STEP 6. OFFICIAL RECORD SERIES (Department of State Use Only)
When a Records Retention Schedule (Form LS5E105REff1-01) 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 req uirements. 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
LS5E105REff1-01) should be addressed to the Bureau. The staff of Records
Analysis Section can be reached at (850) 487-2180 (SUNCOM 277-2180).
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C. FINAL DISPOSITION OF PUBLIC RECORDS
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 LS5E107R4-
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.)
.
(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 LS5E 1 07R4-93), 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
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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":
? 'JI.nniversary (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.
? Calendar - 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.
? 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.
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 years 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 1/1/1997 +3 = 1/1/2001
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(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.
(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
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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 LS5E105REff1- 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 Authorizationl 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.
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.
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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 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
.
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, ensure
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.
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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 o~ 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.
.
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.
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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 also 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:
.
1. 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.
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.
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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.
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 18-24, FAC): "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 ald 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 18-24, FAC): "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.
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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 1 B-24, FAC): "Reproductions of
record (master) copies, prepared simultaneously or separately, which are designated as not
being the official copy."
Electronic Records (as defined in Rule 1 8-24, FAC): "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 18-24): "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.
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 18-24, FAC): "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."
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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 1 B-24, FAC): "Public records designated by the
custodian as the official record.
Record Series (as defined in Rule 18-24, FAC): "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.
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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 18-24, FAC): 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 LS5E1 05REff1-01 as defined in Rule 18-24, FAC): "A
standard approved by the Division (of Library and Information Services) for the agency's orderly
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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 1 B-24, FAC): "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.
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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
GS 10 Public Defenders
GS11 Clerk of Court
GS 12 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 1 B-24, FAC.- Public Records Scheduling and Dispositioning
Rule 1 B-26.0021, FAC.- Records Management Standards and Requirements-
Microfilm Standards
Rule 1 B-26.003, FAC.- Records Management Standards and Requirements-
Electronic Recordkeeping
.
PLEASE NOTE: The Bureau's publications are available on the Department of State's website at
http://dlis.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:
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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 . floridafaf.oro/
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.edu/brechner/
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
htto:llwww.arma.orQ/
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.naoara.oro/
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Association for Information and Image Management (AIIM)
1100 Wayne Avenue, Suite 1100
Silver Spring, MD 20910
Telephone: (301) 587-8202
Fax: (301) 587-2711
htto:l/www.aiim.orQI
Society of American Archivists (SAA)
527 South Wells Street, 5th Floor
Chicago, IL 60607 -3922
Telephone: (312) 922-0140
Fax: (312) 347-1452
htto://www.archivists.orQ/
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
htto:/Iwww.frma.oro/
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State of Florida - General Records Schedule GS1-L For Local Governments
State of Florida
GENERAL RECORDS SCHEDULE GS1-L
FOR
LOCALGOVERNMENTAGENC~S
.
Department of State
Division of Library and Information Services
Bureau of Archives and Records Management
Tallahassee, Florida 32399-0250
(850) 487-2180 Suncom 277-2180
http://dlis.dos.state.fI.us/barm
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FOREWORD
The General Records Schedule for Local Government Aaencies (GS1-L) is intended for use by
publicly-owned or operated medical facilities, municipalities, county government offices,
dependent and independent special taxing districts, and government contractors. If your agency
is unsure of its status as a "public agency," consult your legal counsel and/or the Florida's
Attorney General's Office for a legal opinion.
For use along with the GS1-L are additional General Records Schedules which target specific
professions. The GS1-L contains the retention periods for most administrative, personnel,
payroll, financial, and legal records. Unlike the GS1-L, however, these additional schedules are
designed to focus on program-specific records such as medical records, tax collector forms, and
law enforcement records. ** It is important to note that the GS6 General Records Schedule
for Buildina Departments is being discontinued. The record series from the GS6 have
been incorporated into the GS1-L. The index and cross-reference will assist you in
referring to the appropriate series. All publications are available on the Department of State's
Internet home page at: "httD://dlis.dos.state.f1.us/barm." A paper copy can be received by faxing
your request to (850) 488-1388.
.
The retention periods reflected within the Bureau's general records schedules are based on a
combination of federal and state laws, general administrative practices, and fiscal management
principles. Please keep in mind that these are MINIMUM retention periods. Public agencies may
maintain their records longer at their own discretion. In fact certain accreditation committees may
have standards which require longer retention periods. Contact your accrediting organization for
more information on their requirements. Remember that it is not permitted for a public agency to
reduce the retention periods stated in a general records schedule.
For additional information on the retention and disposal of records, please read the introduction to
this publication as well as The Basics of Records Manaaement handbook.
This schedule is a revision of the GS1 General Records Schedule for State and Local
Government Aaencies (1996). The Bureau would like to thank those who served on the GS 1
Rewrite Task Force. Your hard work made this schedule possible. Also, a special thanks is
given to Carol Foglesong, Orange County Comptroller's Office; Patricia Hargraves, Hernando
County Clerk of the Court's Office; and Liz Whitaker, Volusia County Clerk of the Court's Office;
for spearheading the committee.
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GENERAL INFORMATION AND INSTRUCTIONS
I. STATUTORY AUTHORITY
This General Records Schedule is issued by the Department of State, Division of Library and
Information Services, Bureau of Archives and Records Management, in accordance with the
statutory provisions of Chapters 119 and 257, Florida Statutes.
Chapter 119, F.S., defines "public records" in terms of physical characteristics; and in legal
and/or official documentation relationships. It also defines "agency," providing an inclusive listing
of state, local and special government officials and organizational elements subject to laws and
regulations pertaining to public records. In addition, the Chapter establishes the legal basis for
the custody and disposal of public records and for public access to these records.
Chapter 257, F.S., establishes the State's Records Management and Archives Program under
the direction of the Division of Library and Information Services, Department of State. It
specifically provides for a system for the scheduling and disposal of public records. The Chapter
also authorizes the Division to establish and coordinate standards, procedures, and techniques
for efficient and economical record making and keeping.
II. DETERMINING RETENTION REQUIREMENTS
In determining the retention requirements of public records, four values must be considered to
assure that the records will fulfill their reason for creation and maintenance. They are the
administrative, legal, fiscal and historical values These values have been considered in
depth to determine the retention requirement of the records listed herein.
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III. SCHEDULING PUBLIC RECORDS
A schedule describing the records and setting the retention period is required for each record
series, or type, of record. This determines officially the length of time that the record series must
be retained to meet retention requirements. .
General Records Schedules establish disposition standards for records common to several or
all government agencies. The records covered by these schedules pertain to both administrative
and program functions of an agency. The General Records Schedule for Local Government
Aaencies (GS1-L) is applicable to administrative records only and may be used by any local
government agency. Except for the GS1-S General Schedule for State Aaencies, 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 may 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: while the GS1-L will contain retention requirements for the general administrative and
routine business records for local government agencies, law enforcement agencies should refer
to the GS2 General Records Schedule for Law Enforcement. Correctional Facilities. & District
Medical Examiners to obtain retention requirements for records unique to law enforcement
operations. Such records would obviously include criminal investigative records, traffic citation
records, and inmate records. Should duplicate record series be listed in two Qeneral record
schedules. the retention requirements contained in the prOQram schedule shall take precedence.
In other words, if a record series is contained in both the GS1-L and the GS2, law enforcement
agencies should abide by the retention requirements cited in the GS2. The retention period
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stated in the applicable schedule is the MINIMUM time a record is to be maintained. If two or
more record series are filed together, the combined file must be retained through the longest
retention period of those records. A General Records Schedule eliminates the need for the
creation and submission of an individual Records Retention Schedule, Form LS5E105. 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.
IV. DISPOSITION OF PUBLIC RECORDS
A public record may be destroyed or otherwise disposed of only in accordance with retention
schedules established by the Bureau of Archives and Records Management. Photographic
reproductions or reproductions through electronic record keeping systems may substitute for the
original or paper copy, per Section 92.29, F.S. Minimum standards for image reproduction shall
be in accordance with Rules 1 B-26.0021 and 1 B-26.003, Florida Administrative Code.
V. ARCHIVAL VALUE
When preparing to dispose of records that have met their required retention, carefully consider
the potential historical research value of those records. Some records that do not have a
permanent retention still might have enduring value to your community as evidence of the
interactions between government and citizens and as sources of information about local
government, society and culture. For your convenience, we have identified series that may have
such historical or "archival" value. Records of historical value to your community should be
preserved locally for the benefit of historians and other researchers. Technical assistance in
determining archival value is available from State Archives staff at (850) 487 -2073.
.
VI. ELECTRONIC RECORDS
Record schedules apply to records regardless of their physical format. Therefore, records
created or maintained in electronic format must be retained in accordance with the minimum
retention requirements presented in these schedules, whether the electronic records are the
record copy or duplicates. Printouts of standard correspondence in text or word processing files
are acceptable in place of the electronic files. Printouts of email files are acceptable in place of
the electronic files. Printouts of e-mail files are acceptable in place of the electronic files provided
that the printed version contains the complete header information, including all date/time stamps,
routing information, etc
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Records Management Plan
VI. INDEX ALPHABETICAL ORDER
ACCESS CONTROL RECORDS
ACCIDENT RECORDS
ACCOUNTS PAYABLE RECORDS
ACCOUNTS PAYABLE! RECEIVABLE SUMMARY RECORDS
ACCOUNTS RECEIVABLE RECORDS
ADJUSTMENT HEARING CASE FILES: BUILDING CODE BOARD
1
ADMINISTRATIVE CONVENIENCE RECORDS
1
ADMINISTRATIVE SUPPORT RECORDS
ADMINISTRATOR RECORDS: PUBLIC AGENCYI OFFICIAL
ADVERTISEMENTS: JOB (DISCRIMINATION CHARGES FILED)
ADVERTISEMENTS: JOB (NO DISCRIMINATION CHARGES FILED)
ADVERTISEMENTS: LEGAL
AFFIRMATIVE ACTION RECORDS
ANIMAL CONTROL RECORDS
ANNEXATION RECORDS
ANNUAL REPORTS: COUNTY GOVERNMENT
3
ANNUAL REPORTS: GOVERNING BODY
APPUCATlONS: EMPLOYMENT (NOT HIRED)
3
APPRAISALS: LAND (NOT PURCHASED)
APPRAISALS: LAND (PURCHASED)
4
ATTENDANCE RECORDS: COMMUNITY SERVICE
ATTENDANCE RECORDS: LEAVE
ATTENDANCE RECORDS: LEAVE INDEX
AUDITS: AUDITOR GENERAL
AUDITS: INDEPENDENT
AUDITS: INTERNAL
AUDITS: STATE! FEDERAL
AUDITS: SUPPORTING DOCUMENTS
AUTOPSYI MEDICAL EXAMINER PAYMENT RECORDS: SUPPORTING DOCUMENTS
5
BAD CHECK RECORDS:
BANK ACCOUNT AUTHORIZATION RECORDS
BANK STATEMENTS: RECONCILIATION
BARGAINING RECORDS: SUPPORTING DOCUMENTS
BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS
BID RECORDS: CAPITAL IMPROVEMENT UNSUCCESSFUL BIDS
6
BID RECORDS: NO~CAPITAL IMPROVEMENT
BIOGRAPHICAL FILES
BOND ADMINISTRAllON RECORDS
6
BOND REGISTERS
BOND RESOLUTIONS
BONDS AND BOND INTEREST COUPONS
BUDGET RECORDS: APPROVED ANNUAL BUDGET
BUDGET RECORDS: SUPPORTING DOCUMENTS
BUILDING PLANS: COMMERCIAL
BUILDING PLANS: RESIDENTIAL
CALENDARS
CASH COLLECTION RECORDS: RECEIPT! REPORT
CEMETERY RECORDS
CERTIFICATE OF COMPETENCY RECORDS
CERTIFICATE OF COMPETENCY RECORDS: TEMPORARY
Item# 189 Page 1
Item# 78 Page 1
ltem# 121 Page 1
Item# 225 Page 1
Item# 316 Page 1
Item# 244 Page
Item# 2 Page
Item# 3 Page 2
Item# 122 Page 2
Item# 80 Page 2
Item# 81 Page 2
Item# 25 Page 2
Item# 82 Page 2
Item# 234 Page 3
Item# 247 Page 3
ltem# 246 Page
Item# 245 Page 3
Item# 24 Page
Item# 164 Page 4
Item# 172 Page
Item# 249 Page 4
Item# 116 Page 4
Item# 18 Page 4
Item# 8 Page 4
Item# 56 Page 4
Item# 73 Page 5
Item# 83 Page 5
Item# 57 Page 5
Item# 318 Page
Item# 9
Item# 84
Item# 85
Item# 87
Item# 70
Item# 71
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Page
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Item# 190 Page 6
Item# 250 Page
Item# 251
Item# 191
ltem# 226
Item# 58
Item# 88
Item# 216
Item# 252
Pages 6-7
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Item# 12
Item# 235
Item# 253
Item# 254
@ Florida League of Cities, Inc.
All rights reserved.
Page 105
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Records Management Plan
CERTlFICA TE OF OCCUPANCY: COMMERCIAL
CERTlFICA TE OF OCCUPANCY; RESIDENTIAL
CHARTERSI AMENDMENTSI BYLAWSI CONSTITUTIONS
CHECKS: CANCELED
Item# 255
Item# 256
Item# 207
Item# 91
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@ Florida League of Cities, Inc.
All rights reserved.
Page 106
August 16, 2004
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Winter Springs, Florida
Records Management Plan
CHECKS: LOG
CHECKS: REGISTERS
CHECKS: STUBS
CHILD CARE RECORDS
CLIENT CASE FILES: HUMANI SOCIAL SERVICES
CLIENT CASE FILES: VETERAN SERVICES
CODE ENFORCEMENT BOARD CASE FILES
CODE VIOLATION RECORDS
COMMODITY PROGRAM RECORDS
10
COMPLAINTS: CITIZENSI CONSUMERSI EMPLOYEES
COMPREHENSIVE MASTER PLANS: ADOPT ED
COMPREHENSIVE MASTER PLANS: ADOPTED (SUPPORTING DOCUMENTS)
CONTRACTSI LEASESI AGREEMENTS: CAPITAL IMPROVEMENT
CONTRACTSI LEASESI AGREEMENTS: NON-CAPITAL IMPROVEMENT
CORRESPONDENCE & MEMORANDA: ADMINISTRATIVE
DIRECTlVESI POLlCIESI PROCEDURES
DISASTER PREPAREDNESS RECORDS: DRILLS
DISASTER RELIEF RECORDS
DRAFTS AND WORKING PAPERS
DRUG TEST CASE FILES
DRUG TEST RECORDS: EQUIPMENT
DRUG TEST RECORDS: PROGRAM
12
EASEMENT CONVEYANCES: SUPPORTING DOCUMENTS
ELECTRONIC FUNDS TRANSFER RECORDS
ELECTRONIC RECORDS SOFTWARE
EMERGENCY OPERATIONS RECORDS: APPLICATIONS
13
EMERGENCY OPERATIONS RECORDS: FIVE YEAR STRATEGIC PLAN
EMERGENCY OPERATIONS RECORDS: LIST OF SPECIAL NEEDS OR TRANSPORTATION
CLIENTS
EMERGENCY OPERATIONS RECORDS: SHELTER INSPECTIONS
13
EMPLOYMENT ASSISTANCE PROGRAM RECORDS
EMPLOYMENT ELIGIBILITY LIST
EMPLOYMENT EXAMINATION RECORDS
ENCUMBRANCE RECORDS
ENDOWMENTSI BEQUESTSI TRUST FUND RECORDS
ENVIRONMENTAL REGULATION RECORDS
EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE RECORDS
14
EQUIPMENT MAINTENANCE! USAGE RECORDS
EQUIPMENT REFERENCE FILES
EXCISE TAXI SPECIAL ASSESSMENT RECORDS: DISBURSEMENTI RECEIPT
EXCISE TAXI SPECIAL ASSESSMENT RECORDS: JOURNALS
EXPENDITURE PLANS: CAPITAL IMPROVEMENT
EXPENDITURE REPORTS
EXPOSURE RECORDS
FACILITY RENTAL RECORDS
FEASIBILITY STUDY RECORDS
FEEl SERVICE SCHEDULES
FINAL ORDERS RECORDS
16
FINANCIAL REPORTS: ANNUAL
FINANCIAL REPORTS: ANNUAL (COMPREHENSIVE)
FINANCIAL REPORTS: ANNUAL (SUPPORTING DOCUMENTS)
FUEL TAX REPORTS
ltem# 192 Page 9
Item# 92 Page 9
Item# 93 Page 9
Item# 257 Page 9
Item# 275 Page 9
Item# 310 Page 10
Item# 236 Page 10
Item# 237 Page 10
Item# 258 Page
Item# 94
Item# 166
Item# 174
Item# 64
Item# 65
Item# 17
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Item# 186 Page 11
Item# 259 Page 11
Item# 321 Pages 11-12
Item# 242 Page 12
Item# 260 Page 12
Item# 261 Page 12
Item# 262 Page
Item# 263 Pages 12-13
Item# 264 Page 13
Item# 231 Page 13
Item# 265
Page
Item# 266
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Item# 267 Page 13
Item# 268
Page
Item# 269 Page 14
ltem# 101 Page 14
Item# 102 Page 14
Item# 20 Page 14
Item# 211 Page 14
Item# 167 Page 14
Item# 103
Page
Item# 104
Item# 223
Item# 168
Item# 175
Item# 208
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Item# 227
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Item# 106 Page 16
Item# 271 Page 16
Item# 67
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@ Florida League of Cities, Inc.
All rights reserved.
Page 107
August16,2004
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Winter Springs, Florida
Records Management Plan
GENERAL LEDGERS: ANNUAL SUMMARY
GENERAL LEDGERS: SUPPORTING DOCUMENTS
GRANT FILES: GRANTOR AGENCYI RECIPIENT
GRIEVANCE FILES
HOUSING APPLICATIONS : NON-PARTICIPATING
HOUSING FILES: STATE HOUSING INITIATIVES (SHIP) & HOME INVESTMENTS
PARTNERSHIPS PROGRAM
18
INCIDENT/INVESTIGATION REPORTS
INFORMATION REQUEST RECORDS
INJURY RECORDS
INSPECTION RECORDS: BRIDGE! MAINTENANCE
INSPECTOR'S ROUTE SHEETS: DAILY
INSURANCE RECORDS
INVENTORY: AGENCY RECORDS
INVENTORYI PROPERTY CONTROL RECORDS: EXPENDABLE
INVENTORYI PROPERTY CONTROL RECORDS: FIXED ASSETS
INVESTMENT RECORDS
JOB TRAINING PARTNERSHIP ACT (JTPA) RECORDS
JOURNALS: VOUCHERS
LEGISLATION RECORDS
LIBRARY ACQUISITION RECORDS
LIBRARY CARD RECORDS
20
LIBRARY CIRCULATION RECORDS
20
LIBRARY SHELF LIST
LICENSES: OCCUPATIONAL
LITIGATION CASE FILES
MAIL: REGISTERED AND CERTIFIED RECEIPTS
MAIL: UNDELIVERABLE FIRST CLASS
MAILING LISTS
MAPS: ORIGINALS
MAPS: SUPPORTING DOCUMENTS
MEDICAL RECORDS: VET ERAN SERVICES
MICROGRAPHICS: QUALITY CONTROL RECORDS
MINORITY CERTIFICATION CASE FILES
MINUTES: OFFICIAL MEETINGS
MINUTES: OFFICIAL MEETINGS (HANDWRITTEN! AUDIOI VISUAL RECORDINGS)
MINUTES: OFFICIAL MEETINGS (SUPPORTING DOCUMENTS)
MINUTES: OTHER MEETINGS
NEWS RELEASES
NOISE EXPOSURE MEASUREMENT RECORDS
OPERATIONAL AND STATISTICAL REPORT RECORDS: OFFICE
23
OPINIONS: LEGAL (ATTORNEY)
OPINIONS: LEGAL (SUPPORTING DOCUMENTS)
ORDINANCES
ORDINANCES: SUPPORTING DOCUMENTS
ORGANIZATION CHARTS
ltem# 117
Item# 118
Item# 109
Item# 110
Item# 273
Item# 241
Item# 23
Item# 188
Item# 276
Item# 277
Item# 111
Item# 319
Item# 51
Item# 40
Item# 278
Item# 113
Item# 194
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Page 18
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Page 19
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Item# 119 Page 20
Item# 77 Page 20
Item# 279
Page
Page
Item# 233
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Item# 283 Pages 22-23
Item# 124
Page
Item# 120
Item# 221
Item# 27
Item# 47
Item# 1
Item# 29
Item# 280
ltem# 281
Item# 311
Item# 282
Item# 169
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Item# 4
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Item# 33
Item# 26
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@ Florida League of Cities, Inc.
All rights reserved.
Page 108
August 16, 2004
&1I.!u._~.
~ Pux::un\Lr~\GUrnrC-"tr~tSt~
Winter Springs, Florida
Records Management Plan
.
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PAYROLL RECORDS: DEDUCTION AUTHORIZATIONS
PAYROLL RECORDS: LEDGERS
PAYROLL RECORDS: REGISTERS (NOT POSTED)
PAYROLL RECORDS: REGISTERS (POSTED)
24
PAYROLL RECORDS: SUPPORTING DOCUMENTS
PERIODIC PROGRESS REPORTS: INTERNAL
24
PERMITS: BUILDING
PERMITS: CONFINED SPACE
PERMITS: MINING
PERMITS: SIGNS
PERMITSI BUILDING: APPLICATIONS
PERSONNEL RECORDS DISCIPLINARY CASE FILES: EMPLOYEE
25
PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM
PERSONNEL RECORDS: NON-FLORIDA RETIREMENT SYSTEM
PERSONNEL RECORDS: OPSI VOLUNTEERSI TEMPORARY EMPLOYMENT
26
PERSONNEL RECORDS: SCHEDULES
PETTY CASH DOCUMENTATION RECORDS
POSITION DESCRIPTION RECORDS
26
POSTAGE RECORDS
PROBATION RECORDS
PROCLAMATIONS
PROJECT FILES: CAPITAL IMPROVEMENT
PROJECT FILES: FEDERAL
27
PROJECT FILES: NON-CAPITAL IMPROVEMENT
PROJECT FILES: OPERATIONAL
PROMOTION RECORDS
PUBLIC INFORMATION FILES
PUBLIC PROGRAM! EVENT RECORDS
PUBLICATIONS AND MEDIA ITEM RECORDS
28
PURCHASING RECORDS
Item# 129 Page 23
Item# 183 Page 24
Item# 214 Page 24
Item# 35 Page
Item# 195 Page 24
Item# 36 Page
Item# 286 Page 24
Item# 284 Pages 24-25
Item# 287 Page 25
Item# 288 Page 25
Item# 285 Page 25
Item# 98 Page
Item# 19 Page 25
Item# 162 Pages 25-26
Item# 66 Page
ltem# 289 Page 26
ltem# 202 Page 26
Item# 38 Page
Item# 133 Page 26
Item# 320 Pages 26-27
Item# 142 Page 27
Item# 136 Page 27
Item# 137 Page
Item# 138 Page 27
Item# 291 Page 27
Item# 139 Pages 27-28
Item# 128 Page 28
Item# 238 Page 28
Item# 198 Page
Item# 42
Page 28
RADIO LOGS
RAIN CHECKS
REAL-ESTATE RECORDS: CONDEMNATION! DISPOSAL
RECORDS DISPOSITION COMPLIANCE STATEMENT FORMS
RECORDS DISPOSITION DOCUMENTATION
RECORDS RETENTION SCHEDULES: AGENCY SPECIFIC
RECORDS RETRIEVAU REFERENCE RECORDS
REGISTRATION RECORDS: EVENTS
29
RESOLUTIONS
RESOLUTIONS: SUPPORTING DOCUMENTS
RESPIRATOR FIT TESTING RECORDS
Item# 292 Page 28
Item# 293 Page 28
Item# 294 Pages 28-29
Item# 322 Page 29
Item# 45 Page 29
Item# 68 Page 29
ltem# 295 Page 29
Item# 296 Page
Item# 297
Item# 143
Item# 298
Page 30
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SAFETY INSPECTION RECORDS
SALARY COMPARISON REPORTS
SALARY SCHEDULES
SEARCH COMMITTEE RECORDS
SECURITY CHECKS
SIGNATURE AUTHORIZATION RECORDS
SOCIAL SECURITY CONTROLLED SUMMARY RECORD
31
SUBDIVISION PLANS: PRELIMINARY (SUPPORTING DOCUMENTS)
SURVEILLANCE VIDEO TAPES
SURVEYS: AERIAL
SURVEYSI STUDIES: INTERNAL
Item# 193 Page 30
Item# 49 Page 30
Item# 240 Page 30
Item# 199 Page 30
Item# 299 Page 31
Item# 300 Page 31
ltem# 144
Page
ltem# 301
Item# 302
Item# 303
Item# 30
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Pages 31-32
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@ Florida League of Cities, Inc.
All rights reserved.
Page 109
August 16, 2004
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Winter Springs, Florida
Records Management Plan
TAX EXEMPTIONS: AD VALOREM (ECONOMIC DEVELOPMENT)
32
TELEPHONE CALL RECORDS: LONG DISTANCE
TOURIST DEVELOPMENT TAX RECORDS
TRAFFIC ACCIDENT REPORTS/INDEX
TRAINING MATERIAL RECORDS
TRAINING RECORDS
Training Records: Asbestos
TRAINING RECORDS: BREATH ALCOHOL
TRANSITORY MESSAGES
Page 33
UNCLAIMED PROPERTY RECORDS
Page 33
UNEMPLOYMENT COMPENSATION RECORDS
UTILITY CUSTOMER RECORDS
Item# 304 Page
Item# 28 Page 32
Item# 305 Page 32
Item# 306 Page 32
ltem# 147 Page 32
ltem# 148 Page 32
Item# 307 Page 33
Item# 308 Page 33
Item# 146
Item# 309
Item# 149
Item# 170
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VEHICLE MAINTENANCE! USAGE RECORDS
34
VEHICLE RECORDS
VERIFICATION RECORDS: ATTENDANCE! EMPLOYMENTI ENROLLMENT
34
W-2 FORMS
W-4 FORMS
W-9 FORMS
WORK ORDERS
WORKERS' COMPENSATION RECORDS
ZONING VARIANCE RECORDS
941-E FORMS
1096 REPORTS
1099 FORMS
1099 REPORTS
1099-INT FORMS
Item# 53 Page
Item# 154 Page 34
Item# 243 Page
Item# 157 Page 34
Item# 158 Page 34
Item# 178 Page 34
Item# 141 Page 34
Item# 55 Page 35
ltem# 312 Page 35
Item# 161 Page 35
. Item# 314 Page 35
Item# 159 Page 35
Item# 160 Page 35
Item# 315 Page 35
@ Florida League of Cities, Inc.
All rights reserved.
Page 110
August 16, 2004
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Winter Springs, Florida
Records Management Plan
ACCESS CONTROL RECORDS Item# 189
This record series consists of any records pertaining to security or access which may include logs, keys, identification badges, pin
codes, combinations, visitor logs, parking decals, etc.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ACCIDENT RECORDS Item# 78
This record series consists of all transportation accident reports, general correspondence and property receipts concerning fatality or
non-fatality accidents. The accident report includes information on vehicles involved, occupants, time, and circumstances. See also
"INJURY RECORDS: and/or 'WORKERS' COMPENSATION RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ACCOUNTS PAYABLE RECORDS Item# 121
This record series cons ists of documentation of disbursements and the individual items leading to the summary information of payable
records, including supporting documentation. The records and supporting documentation may include, but are not limited to, invoices,
receiving reports, refund requests, travel records, vouchers and vendor files. See also "ACCOUNTS PAY ABLEI RECEIVABLE
SUMMARY RECORDS," andlor "ACCOUNTS RECEIVABLE RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ACCOUNTS PAYABLE! RECEIVABLE SUMMARY RECORDS Item# 225
This record series consists of summary documentation of receipts and disbursements. The records may include, but are not limited to,
the vendor name, invoice number, date of invoice, check number, date of check and the amount of the check. See also "ACCOUNTS
PAYABLE RECORDS," andlor "ACCOUNTS RECEIVABLE RECORDS."
RETENTION:
a) Record copy. 10 years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ACCOUNTS RECEIVABLE RECORDS Item# 316
This record series consists of documentation of receipts and the individual items leading to the sunmary information of receivable
records, including supporting documentation. The records may include, but are not limited to, bad check records, invoices, receiving
reports, refund requests, travel records, trial balance reports, and vouchers. Please refer to s. 95.11, F. S. See also "ACCOUNTS
PAYABLE RECORDS," andlor "ACCOUNTS PAYABLE! RECEIVABLE SUMMARY RECORDS."
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ADJUSTMENT HEARING CASE FILES: BUILDING CODE BOARD
This record series consists of case files documenting approval contrary to building code.
RETENTION:
a) Record copy. Retain for life of structure.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Item# 244
ADMINISTRATIVE CONVENIENCE RECORDS Item# 2
This record series consists of a subject file, generally filed alphabetically, which is located away from the official files, such as in the
Director's and other supervisory offices. The file contains DUPLICATES of correspondence, reports, publications, memoranda, etc.,
and is used as a working file or reference file on subjects which are currently significant or which may become significant in the near
future. The material filed in this series is NOT the official file or record copy, but is maintained for the convenience of the officials in
carrying out their elected or appointed duties.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Page1
@ Florida League of Cities, Inc.
All rights reserved.
Page 111
August 16, 2004
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-.. it~ fl'l.m:rm-\t..r.\CII~n,.Cn.tt~ISt~
Winter Springs, Florida
Records Management Plan
ADMINISTRA nVE SUPPORT RECORDS Item# 3
This record series consists of records accumulated relative to internal administrative activities rather than the functions for which the
office exists. Nonnally, these records document day-to-day management of office personnel, including training; the expenditure of
funds, including departmental budget work papers; supplies, office services and equipment requests; job requisitions which identify
description of need, reason of need, requirements and copy of job description used to fill job vacancies within the agency; and receipts
and other recorded experiences that do not serve as official documentation for audit purposes or of the programs of the office.
However, because these records vary so greatly in content and value (containing some duplicates and record copies), a relatively large
proportion of them are of continuing value. This series does not serve as the official documentation for audit purposes.
RETENTlON:
a) Record copy. 2 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ADMINISTRATOR RECORDS: PUBLIC AGENCYI OFFICIAL Item# 122
This record series consists of office files documenting the substantive actions of elected or appointed officials. These records constitute
the official record of an agency's perfonnance of its functions and fonnulation of policy and program initiative. This series will include
various types of records such as correspondence; memoranda; statements prepared for delivery at meetings, conventions or other
public functions that are designed to advertise and promote departmental programs, activities and policies; interviews; and reports
concerning agency program development and implementation. The filing of these materials together in a central unified file is
encouraged. These records may have archival value.
RETENTlON:
a) Record copy. 10 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ADVERTlSEMENTS: JOB (DISCRIMINATlON CHARGES FILED) Item# 80
This record series consists of advertisements to infonn eligible job seekers of openings of job vacancies. The notices may include
position number, position title, salary range, job location, minimum qualifications, brief description of duties, where to apply and special
instructions. This series pertains only to those advertisements where discrimination charges were filed. See also "ADVERTISEMENTS:
JOB (NO DISCRIMINATION CHARGES FILED)."
RETENTlON:
a) Record copy. 180 days after settlement.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ADVERTlSEMENTS: JOB (NO DISCRIMINATlON CHARGES FILED) Item# 81
This record series consists of advertisements to infonn eligible job seekers of available job vacancies. The notices may include position
number, position title, salary range, job location, minimum qualifications, brief description of duties, where to apply and special
instructions. This series pertains only to those advertisements where no discrimination charges were filed. See also
"ADVERTISEMENTS: JOB (DISCRIMINATION CHARGES FILED)."
RETENTlON:
a) Record copy. 180 days after selection finalized or confinned.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ADVERTlSEMENTS: LEGAL Item# 25
This record series consists of advertisements which have appeared in newspapers on matters pertaining to the agency and other legal
ads which mayor may not indirectly affect the agency; i.e., bid invitations for construction jobs, public hearings or notices, and public
sales. These records may also be part of another record series. A legal advertisement is frequently filed with the item to which it
applies. See also "BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS," "BID RECORDS: CAPITAL IMPROVEMENT
UNSUCCESSFUL BIDS," and/or "BID RECORDS: NON-CAPITAL IMPROVEMENT."
RETENTlON:
a) Record copy. 5 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
AFFIRMATlVE ACTlON RECORDS Item# 82
This record series consists of copies of reports submitted to the Equal Employment Opportunity Commission (EEOC) per their
requirements for the agency's affinnative action plan. It may also include discrimination complaints, correspondence, and investigative
papers pertaining to the agency's affinnative action plan. See also "EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE
RECORDS," and/or "MINORITY CERTIFICATION CASE FILES.
RETENTlON:
a) Record copy. 2 years provided litigation has been resolved.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Page 2
ANIMAL CONTROL RECORDS Item# 234
This record series consists of copies of adoption applications, registrations, licenses, violation notices, Health Department
correspondence, tag receipts, rabies alerts, rabies vaccinations certificates, sodium pentobarbital administration records, quarantine
case files, euthanasia decrees, trap records, neglect or abuse cases which have not resulted in litigation, and patient medical records
@ Florida League of Cities, Inc.
All rights reserved.
Page 112
August 16, 2004
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1.""
Winter Springs, Florida
Records Management Plan
for a limited service veterinary medical practice clinic. Limited service veterinary medical practice clinic records may include: specific
information on the identification of each animal and its owner, indication of the parasitic procedure, recommendations of the future
immunizations and procedures, the medication administered, the dates and dosages of each medicine, the route and frequency of
administration, and the
tests performed and results received. Pentobarbital administration records may include: the date of use, identification of the animal on
which it was used, the amount administered, the signature of the person administering the drug, the signature of the on-site
administrator certifying that not less than once a month the accuracy of the drugs use, and the signature of the on-site manager
attesting to the accuracy of the records. These records are subject to audit by the Drug Enforcement Administration. Some records
may be exempt from public inspection. Please refer to s. 381.0031 (4), s. 828.30(4), F.S. and Rule 61G18-15.0071, FAC.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ANNEXATION RECORDS Item# 247
This record series consists of a description of property being annexed by govemment (local) that will change precinct boundaries or
lines. The records may include correspondence, reports, maps, certifying statements and municipal service plans.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ANNUAL REPORTS: COUNTY GOVERNMENT Item# 246
This record series consists of the annual report as required by s. 125.74(b), F.S. This is NOT the annual financial report required under
s. 218.32, F.S., nor is it the comprehensive annual financial report (CAF.R.) required under s. 11.45(3)(a)(4), F.S. See also "ANNUAL
REPORTS: GOVERNING BODY," and/or "FINANCIAL REPORTS: ANNUAL." These records may have archival value.
RETENTION:
a) Record copy. 10 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ANNUAL REPORTS: GOVERNING BODY Item# 245
This record series consists of the annual program, narrative and statistical report issued by the highest level of authority within an
agency. It is a comprehensive compilation of all annual reports submitted by departments, divisions, bureaus, program offices, and
other subdivisions including boards, commissions, and dependent special districts. This is NOT the annual financial report required
under s. 218.32, F.S., nor is it the comprehensive annual financial report (CAF.R.) required under s. 11.45(3)(a)(4), F.S. See also
"ANNUAL REPORTS: COUNTY GOVERNMENT," "AUDITS: AUDITOR GENERAL," "AUDITS: INDEPENDENT," and/or "FINANCIAL
REPORTS: ANNUAL." These records may have archival value.
RETENTION:
a) Record copy. 3 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
APPUCATlONS: EMPLOYMENT (NOT HIRED) Item# 24
This record series consists of applications for employment received from individuals who were seeking employment, and mayor may
not have been interviewed for a particular opening/position, but were not hired. These files may contain applications for employment,
resumes, correspondence, credential information, polygraph tests, documentation of interviews (including audio tapes), physical exams,
test scores, background investigations and other supporting documentation. See also "EMPLOYMENT ELIGIBILITY LIST,"
"EMPLOYMENT EXAMINATION RECORDS," "PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM," "PERSONNEL
RECORDS: NON-FLORIDA RETIREMENT SYSTEM," and/or "PROMOTION RECORDS."
RETENTION:
a) Record copy. 2 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Page 3
@ Florida League of Cities, Inc.
All rights reserved.
Page 113
August 16, 2004
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Winter Springs, Florida
Records Management Plan
APPRAISALS: LAND (NOT PURCHASED) Item# 164
This record series consists of documents pertaining to land not purchased by a local govemment agency and all supporting documents.
See also "APPRAISALS: LAND (PURCHASED)."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
APPRAISALS: LAND (PURCHASED) Item# 172
This record series consists of documents pertaining to land purchased by a local govemment agency. The series may indude agency
property deeds, appraisals, surveys, and other supporting documents. See also "APPRAISALS: LAND (NOT PURCHASED)."
RETENTION:
a) Record copy. Retain as long as agency retains property.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ATTENDANCE RECORDS: COMMUNITY SERVICE Item# 249
This record series consists of, but is not limited to, time sheets, time cards, and sign-in logs for community service workers who are
ordered by the court. Community service workers must document their employment for the court or be subject to jail time, fine or
forfeiture. These individuals do not receive any financial remuneration or retirement benefits for community service hours worked.
RETENTION:
a) Record copy. 1 calendar year after date of service.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ATTENDANCE RECORDS: LEAVE ltem# 116
This record series consists of requests or applications for vacation, sick, family medical leave (FMLA) and other types of leave including
leave of absences, time sreets or timecards along with any required documentation (medical statements or excuses from a physician,
jury duty summons, or military orders, etc.) submitted by an employee to document authorized absences. See also "ATTENDANCE
RECORDS: lEAVE INDEX."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released and resolved.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ATTENDANCE RECORDS: LEAVE INDEX Item# 18
This record series consists of a summary of hours worked, leave hours used and accrued for all employees during a pay period. It also
consists of the leave balances of vacation, sick and compensatory leave for all employees of the agency. See also "ATTENDANCE
RECORDS: lEAVE."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
AUDITS: AUDITOR GENERAL Item# 8
This record series consists of an annual report issued by the Auditor General to establish the position of the agency being audited
against its standard of performance. These records are created pursuant to s. 11.45, F.S. See also "AUDITS: INDEPENDENT,"
"AUDITS: INTERNAL," "AUDITS: STATE! FEDERAL," and/or "AUDITS: SUPPORTING DOCUMENTS." These records may have
archival value.
RETENTION:
a) Record copy. 10 fiscal years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
AUDITS: INDEPENDENT Item# 56
This record series consists of financial statements and the report issued by an independent auditor to establish the position of the
agency being audited against its standard of performance. These records are created pursuant to s. 11.45, F.S. See also "AUDITS:
AUDITOR GENERAL," "AUDITS: INTERNAL," "AUDITS: STATE! FEDERAL," and/or "AUDITS: SUPPORTING DOCUMENTS."
RETENTION:
a) Record copy. 10 fiscal years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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AUDITS: INTERNAL Item# 73
This record series consists of a report issued by an intemal auditor to establish the position of the agency being audited against its
standard of performance. See also "AUDITS: AUDITOR GENERAL," "AUDITS: INDEPENDENT," "AUDITS: STATE! FEDERAL,"
and/or "AUDITS: SUPPORTING DOCUMENTS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
AUDITS: STATE! FEDERAL Item# 83
This record series consists of a report issued by a federal or state auditor to establish the position of the agency being audited against
its standard of performance. See also "AUDITS: AUDITOR GENERAL," "AUDITS: INDEPENDENT," "AUDITS: INTERNAL," and/or
"AUDITS: SUPPORTING DOCUMENTS." These records may have archival value.
RETENTION:
a) Record copy. 10 fiscal years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
AUDITS: SUPPORTING DOCUMENTS Item# 57
This reclTd series consists of the documentation and supporting material used to develop the audit report with all bills, accounts,
records and transactions. See also "AUDITS: AUDITOR GENERAL," "AUDITS: INDEPENDENT," "AUDITS: INTERNAL," andlor
"AUDITS: STATE! FEDERAL."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released and resolved.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
AUTOPSYI MEDICAL EXAMINER PAYMENT RECORDS: SUPPORTING DOCUMENTS Item# 318
This record series consists of copies of autopsy reports and other medical information, which is submitted to the local govemment
agency for payment of services rendered. These records are maintained by the localgovemment agency as supporting documentation
for expenditure of county funds. Upon verification, the county agency prepares a check requisition and forwards to the finance
department for processing payment to the medical examiner. The supporting documents are maintained by the department and are not
included with the accounts payable records. These are not the original autopsy reports, which are maintained by the Medical
Examiner's Office (reference the GS2 General Schedule for Law Enforcement. Correctional Facilities. & District Medical Examiners).
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BAD CHECK RECORDS Item# 9
This record series consists of an itemization of bad checks received. See also "CHECKS: CANCELED," "CHECKS: LOGS," "CHECKS:
REGISTERS," and/or "CHECKS: STUBS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsdete, superseded or administrative value is lost.
BANK ACCOUNT AUTHORIZATION RECORDS Item# 84
This record series consists of an authorization to maintain a bank account and who is authorized to sign off on the account.
RETENTION:
a) Record copy. 1 fiscal year after superseded by new authorization provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BANK STATEMENTS: RECONCILIATION Item# 85
This record series consists of monthly statements of bank accounts and recondliations to show debits, credits and cash balance in the
account.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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BARGAINING RECORDS: SUPPORTING DOCUMENTS Item# 87
This record series consists of contracts and supporting material related to a contract or agreement between a public agency and the
labor organization. See als 0 "CONTRACTS/ LEASES/ AGREEMENTS: NON-CAPITAL IMPROVEMENT:
RETENTION:
a) Record copy. 3 fiscal years after expiration or cancellation of contract provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS Item# 70
This record series consists of infonnation relative to the processing and letting of capital improvement successful bids including legal
advertisements, "Requests for Proposal," technical specifications, correspondence, "Invitations to Bid," bid tabulations and bid
responses. "Capital Improvements" shall mean enhancement to buildings, fixtures and all other improvements to land. See also "BID
RECORDS: CAPITAl IMPROVEMENT UNSUCCESSFUL BIDS," and/or "BID RECORDS: NON-CAPITAl IMPROVEMENT."
RETENTION:
a) Record copy. 15 years after awarded provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BID RECORDS: CAPITAL IMPROVEMENT UNSUCCESSFUL BIDS Item# 71
This record series consists of infonnation relative to the processing and letting of capital improvement unsuccessful bids including legal
advertisements, "Requests for Proposal," technical specifications, correspondence, "Invitations to Bid," bid tabulations and bid
responses. "Capital Improvements" shall mean enhancement to buildings, fixtures and all other improvements to land. See also "BID
RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS," and/or "BID RECORDS: NON-CAPITAL IMPROVEMENT."
RETENTION:
a) Record copy. 5 fiscal years after awarded provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BID RECORDS: NON-CAPITAL IMPROVEMENT Item# 72
This record series consists of infonnation relative to the processing and letting of successful and unsuccessful non-capital improvement
bids including legal advertisements, "Requests for Proposal," technical specifications, correspondence, "Invitations to Bid," bid
tabulations and bid responses. See also "BID RECORDS: CAPITAL IMPROVEMENT SUCCESSFUL BIDS," and/or "BID RECORDS:
CAPITAL IMPROVEMENT UNSUCCESSFUL BIDS."
RETENTION:
a) Record copy. 5 fiscal years after awarded provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BIOGRAPHICAL FILES
This record series consists of vitae, biographies, photographs and newspaper clippings of employees.
archival value.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Item# 190
These records may have
BOND ADMINISTRATION RECORDS Item# 250
This record series consists of administrative records used to create, monitor, and close out a bond issue. Documentation may include,
but is not limited to: preliminary studies, proposals and prospectuses, authorizations and certificates for issuance, cancellation and
exchange records, and correspondence or memorandum conceming the selection, establishment. monitoring, and termination of a bond
issue. These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BOND REGISTERS Item# 251
This record series consists of a register prepared by the government agency or paying agent as evidence of payment. The register may
show on what authority bonds and bond interest coupons were issued, identifying date, number of each bond, and the quantity and
value of coupons by maturity. The register may also show that the same have been paid, upon what authority they were destroyed, and
the date of destruction. See also "BONDS AND BOND INTEREST COUPONS." These records may have archival value.
RETENTION:
a) Record copy. Pennanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Page6
BOND RESOLUTIONS
This record series consists of reports of principal, interest, paying agents and reports.
finance buildings.
RETENTION:
a) Record copy. Pennanent.
Item# 191
The series documents legal agreements made to
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b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BONDS AND BOND INTEREST COUPONS Item# 226
This record series consists of receipts and certificates of payment signed and sealed by the official or paying agent. Also, bonds and
coupons indude identifying date, number of each bond, and quality and value of bond by maturity. In connection therewith, paid bonds
and bond interest coupons may be disposed of provided that the goveming body keeps the receipts and certificate of payment signed
and sealed by the official or paying agent charged with the responsibility for the payment. See also "BOND REGISTERS."
RETENTION:
a) Record copy. 3 fiscal years after paid, exchanged or transferred provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BUDGET RECORDS: APPROVED ANNUAL BUDGET Item# 58
This record series consists of the approved annual budget and its' amendments. See also "BUDGET RECORDS: SUPPORTING
DOCUMENTS." These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BUDGET RECORDS: SUPPORTING DOCUMENTS Item# 88
This record series consists of any supporting documentation, budget matters and requests. See also "BUDGET RECORDS:
APPROVED ANNUAL BUDGET."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BUILDING PLANS: COMMERCIAL Item# 216
This record series consists of graphic and engineering records that depict conceptual as well as precise measured information essential
for the planning and construction of commercial buildings (blueprints, elevations, specification plans, etc.). The record copy is held by
the local govemment permitting authority (Building Department). Other local govemmental departments may hold duplicates for their
reference use. See also "BUILDING PLANS: RESIDENTIAL." Refer to Chapter 553, F.S.
RETENTION:
a) Record copy. Retain for life of structure.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
BUILDING PLANS: RESIDENTIAL Item# 252
This record series consists of blueprints, elevations, specification plans and engineering records that depict conceptual as well as
precise information for the construction of, or additions to residential buildings and single family residence. The record copy is held by
the local govemment permitting authority (Building Department). Other local governmental departments may hold duplicates for their
reference use. See also "BUILDING PLANS: COMMERCIAL." Refer to Chapter 553, F. S.
RETENTION:
a) Record copy. 15 years after issuance of certificate of occupancy.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CALENDARS Item# 89
This record series consists of a calendar showing official daily appointments and meetings. It may also include appointment
books/planners that mayor may not contain a listing of "prioritized daily tasks" and a calendar showing official daily appointments and
meetings.
RETENTION:
a) Record copy. 1 year.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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CASH COLLECTION RECORDS: RECEIPTI REPORT Item# 12
This record series consists of, but is not limited to, receipt listings, register tapes, receipt books, validating machine tape records,
deposit, withdrawal and transfer slips used to balance for cash deposits. See also "CHECK RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CEMETERY RECORDS Item# 235
This record series consists of a record of each burial showing the date of burial and name of person buried, together with lot, plot, and
space in which the burial was made. These records may have archival value.
RETENTION:
a) Record copy. Pennanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CERTIFICATE OF COMPETENCY RECORDS Item# 253
This record series consists of the "certificate of competency" license issued to licensed contractors by the local goveming authority's
jurisdiction. Included in this series is a copy of the license and all supporting documents. The supporting
documents include, but are not limited to, contractor records, license application(s), certificate ottest sC<re results, certificate of
incorporation, application for certificate of competency which includes documentation of applicants experience, deficiency reports,
personal or business credit reports, personal or business financial statements, final orders of discipline, correspondence, and proofs of
insurance. See also "CERTIFICATE OF COMPETENCY RECORDS: TEMPORARY," and/or "LICENSES: OCCUPATIONAL." Refer to
Chapters 125, 489 and 553, F.S.
RETENTION:
a) Record copy. 3 fiscal years after the file is closed due to non-renewal and/or revocation of license provided applicable
audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CERTIFICATE OF COMPETENCY RECORDS: TEMPORARY Item# 254
This record series consists of a "certificate of competency" license for a temporary licensed contractor, applying for a current certificate
of competency issued by the "local goveming authority's" jurisdiction. Included in this series is a copy of the license and all supporting
documents. The supporting documents include, but are not limited to, contractor records, license application(s), certificate of test score
results, certificate of incorporation, application for certificate of competency which includes docume ntation of applicants experience,
deficiency reports, personal or business credit reports, personal or business financial statements, final orders of discipline,
correspondence, and proofs of insurance. See also "CERTIFICATE OF COMPETENCY RECORDS." Refer to Chapters 125, 489 and
553, F.S.
RETENTION:
a) Record copy. 1 year after expiration or revocation of license provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CERTIFICATE OF OCCUPANCY: COMMERCIAL Item# 255
This record series consists of a certificate issued by the "local goveming authority's" jurisdiction for a commercial structure, new
addition or remodeling. This certificate identifies the structure as meeting or exceeding the local building codes and constitutes
final approval for habitation. See also "CERTIFICATE OF OCCUPANCY: RESIDENTIAL."
RETENTION:
a) Record copy. Retain for life of structure.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CERTIFICATE OF OCCUPANCY: RESIDENTIAL Item# 256
This record series consists of a certificate issued by the "local goveming authority's" jurisdiction for a residential structure, new
addition or remodeling. This certificate identifes the structure as meeting or exceeding the local building codes and constitutes
final approval for habitation. See also "CERTIFICATE OF OCCUPANCY: COMMERCIAL."
RETENTION:
a) Record copy. 15 years after issued.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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CHARTERSI AMENDMENTSI BYLAWSI CONSTITUTIONS Item# 207
This record series consists of documents setting forth the aims and principles of an organization, by which an organization is authorized
or establishing the makeup of an organization. See also "ORDINANCES," "PROCLAMATIONS," and/or "RESOLUTIONS." These
records may have archival value.
RETENTION:
a) Record copy. Pennanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
'CHECKS: CANCELED Item# 91
This record series consists of canceled checks issued for authorized payments or refunds. The retention is consistent with s.
95.11(2)(b), F.S. See also "CASH COLLECTION RECORDS: RECEIPTI REPORT," and/or "ELB:TRONIC FUNDS TRANSFER
RECORDS."
RETENTION:
a) Record copy. 5 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CHECKS: LOG Item# 192
This record series consists of a listing of checks either received or dispersed. See also "BAD CHECK RECORDS," "CHECKS:
REGISTERS," and/or .CHECKS: STUBS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CHECKS: REGISTERS Item# 92
This record series consists of a register of all checks issued which includes check number, date, amount, individual or vendor,
and purpose. See also "BAD CHECK RECORDS," "CHECKS: LOG," and/or .CHECKS: STUBS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CHECKS: STUBS Item# 93
This record series consists of check stubs for all checks written against the accounts administered by the agency. The stubs
contain infonnation relating to the amount of the check, to whom the check was issued, the purpose of the check, the date and
the chec k number. Also contained on the stub is the remaining balance after the check is written and the amount of the deposits
when made. See also "BAD CHECK RECORDS," "CHECKS: LOG," and/or "CHECKS: REGISTERS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CHILD CARE RECORDS Item# 257
This record series consists of infonnation on the children who receive services from a child care facility, including, but not limited
to, infonnation and fonns required by law such as the child's legal name, birth date, preferred nicknames, parents names,
addresses, and telephone numbers, persons allowed to remove child from the facility, physical identification, emergency
infonnation, physician infonnation, facility brochure statements, center disciplinary procedure statements, procedures for a
handicapped child if the child's condition warrants it, enrollment fonns, immunization records exemption fonns, and health fonns.
Refer to s. 232.0315, F. S.
RETENTION:
a) Record copy. 5 calendar years after no longer enrolled.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CLIENT CASE FILES: HUMAN! SOCIAL SERVICES Item# 275
This record series consists of the client case files for citizens receiving assistance from a county or city social services agency.
The series may pertain to, but is not limited to, low cost energy assistance programs, emergency payments for
electridmedicine/medical care/food/rent, and referrals to a doctor or social services organization. The series may also include
claim documentation and copies of monthly, quarterly and/or annual reports which are submitted by the local government agency
to the State Agency for Health Care Administration as provided by s. 154.301, s. 154.331, F.S.; and Chapter 59H-1, FAC.
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost. Page 9
CLIENT CASE FILES: VETERAN SERVICES Item# 310
This record series consists of, but is not limited to, duplicates of the following documents: proof of military service; applications for
various veteran administration 01A) benefits; marriage, death, divorce and birth certificates; incoming and outgoing correspondence
relating to the development and status of claims; change of address fonns and all other VA fonns which are used in development of
claims for VA benefits. (No originals are contained in the files as all originals are forwarded to the Veterans Administration for
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processing). The series may also include a client case file index, which may be maintained in hard copy and!or electronic format. The
index may identify, but is not limited to the following: name, social security number, employment data, other sources of income, death
records, and additional notes on pending claims.
RETENTION:
a) Record copy. 5 years after case closed provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CODE ENFORCEMENT BOARD CASE FILES Item# 236
This record series consists of case files of the Code Enforcement Board including affidavits, exhibits, letters, photographs, and orders.
It may also include documentation and working papers which are used to complete the file. See also "CODE VIOLATION RECORDS,"
and/or "MINUTES: OFFICIAL MEETINGS." Refer to Chapter 162, F. S.
RETENTION:
a) Record copy. 5 years after final disposition.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CODE VIOLATION RECORDS Item# 237
This record series consists of documentation, such as photographs, on-site inspection notes, copies of the first and second violation
notices, and may include orders to appear. See also "CODE ENFORCEMENT BOARD CASE FILES." Refer to Chapter 162, F.S.
RETENTION:
a) Record copy. 3 years after final disposition.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
COMMODITY PROGRAM RECORDS Item# 258
This record series consists of information pertaining to the receipt and disbursement of administrative funds and to the receipt,
inventory, and disbursement of USDA supplemental foods, including complaints of improper disbursement or denial of services. Refer
to 7 CFR 247.13.
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
COMPLAINTS: CITIZENS/ CONSUMERSI EMPLOYEES Item# 94
This record series consists of individual complaints received from citizens, consumers or employees. This file includes the name,
address, date of complaint, telephone number, the complaint; to whom referred and date, action taken and signature of person taking
the action. This series does not include claims of harassment or discrimination among the employees. See also "GRIEVANCE FILES."
RETENTION:
a) Record copy. 1 year after resolved provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
COMPREHENSIVE MASTER PLANS: ADOPTED Item# 166
This record series consists of adopted original and succeeding plans of local governmental agencies required by the State of Florida.
The plans may contain elements such as growth management, sanitary sewer records, drainage records, future land use records, traffic
circulation, economic assumptions, corservation, housing, recreation and open space, solid waste, electric utilities, potable water,
intergovernmental coordination, mass transit and all other local governmental related functions. See also "COMPREHENSIVE
MASTER PLANS: ADOPTED (SUPPORTING DOCUMENTS)." Refer to Chapter 163, F.S. These records may have archival value.
RETENTlON:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
COMPREHENSIVE MASTER PLANS: ADOPTED (SUPPORTING DOCUMENTS) Item# 174
This record series consists of supporting documents for original and succeeding plans of local governmental agencies required by the
State of Florida. The supporting documents may include additional maps, surveys, site plans, correspondence, public opinion polls,
copies of relevant studies or analysis, and other materials, which support the proposed plan.
Page 10
See also "COMPREHENSIVE MASTER PLANS: ADOPTED." These records may have archival value.
RETENTION:
a) Record copy. 5 years after adopted.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CONTRACTSI LEASESI AGREEMENTS: CAPITAL IMPROVEMENT Item# 64
This record series consists of legal documents, correspondence, reports, etc., relating to the negotiation, fulfillment and
termination of capital improvement contracts, leases or agreements to which the agency is a party. "Capital improvement" shall
mean enhancement to buildings, fixtures and all other improvements to land. In addition, it includes
contracts, leases or agreements with architects, engineers, builders, and construction companies. See also "CONTRACTS!
LEASES! AGREEMENTS: NON-CAPITAL IMPROVEMENT."
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RETENTION:
a) Record copy. 15 years after completion or termination of contract/lease/agreement provided applicable audits have
been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CONTRACTS/ LEASES/ AGREEMENTS: NON-CAPITAL IMPROVEMENT Item# 65
This record series consists of legal docurrents, correspondence, reports, etc., relating to the negotiation, fulfillment and
termination of non-capital improvement contracts, leases or agreements to which the agency is a party. In addition, it includes the
various contracts, leases or agreements entered into for the purchase of goods and services such as the
purchase of gas, fuel oil and annual purchases of inventory-maintained items. See also "CONTRACTS/ LEASES/
AGREEMENTS: CAPITAL IMPROVEMENT."
RETENTION:
a) Record copy. 5 fiscal years after completion or termination of contractllease/agreement provided applicable audits
have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
CORRESPONDENCE & MEMORANDA: ADMINISTRATIVE Item# 17
This record series consists of routine correspondence and memoranda of a general nature that is associated with administrative
practices but that does not create policy or procedure, document the business of a particular program, or act as a receipt. See
also "DIRECTIVESI POLICIES/ PROCEDURES," and/or "INFORMATION REQUEST RECORDS." These records may have
archival value.
RETENTION:
a) Record copy. 3 fiscal years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
DIRECTIVESI POUCIESI PROCEDURES Item# 186
This record series consists of the official management statements of policy for the organization, supporting documents, and the
operating procedures, which outline the methods for accomplishing the functions and activities assigned to the agency. It
includes all correspondence and memoranda generated relating to the policies and procedures which are to be followed by
employees. See also "CORRESPONDENCE & MEMORANDA: ADMINISTRATIVE," and/or "DISASTER PREPAREDNESS
RECORDS: DRILLS." These records may have archival value.
RETENTION:
a) Record copy. 2 years after superseded or becoming obsolete.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
DISASTER PREPAREDNESS RECORDS: DRILLS Item# 259
This record series consists of the results of disaster preparedness exercises and the supporting documents including scenarios,
location of safety related drills, timetables, response times, probable outcomes, areas of difficulties, descriptions of how difficulties
were resolved, and areas for improvement. The types of drills include: fire, tornado, safety, hurricane and SARA chemical spills.
See also "DIRECTIVES/ POLlCIESI PROCEDURES."
RETENTION:
a) Record copy. 2 calendar years provided reviews have been conducted.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
DISASTER REUEF RECORDS Item# 321
This record series consists of all supporting documentation, which is related to the payment of state or federal funds received for
natural or man-made disasters. The types of disasters include, but are not limited to, major storms, floods, fires, tornadoes and
hurricanes. The records may also include applicable disaster relief funding agreements and expenditure reports. Supporting
documentation may include, but is not limited to, copies of time sheets, payroll records,
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billing statements, receipts, purchases, executed contracts, invoices, canceled checks and daily activity reports. Refer to 44 CFR
Chapter 1, Section 13.42 and 13.43.
RETENTION:
a) Record copy. 5 fiscal years after submission of final expenditure report or last payment is received, whichever is later,
provided applicable audits have been released.
b) Duplicates. Retain until obsolete, sL4Jerseded or administrative value is lost.
DRAFTS AND WORKING PAPERS Item# 242
This record series consists of documents, correspondence, memoranda, reports, and other materials in preliminary or
developmental form before their completion as a final product. The drafts may include copies of materials circulated for review for
grammar, spelling, and content. The working papers may include notes and miscellaneous documents and materials used in
compiling and assembling the final product. NOTE: some draft documents and working papers may have long-term value; such
documents may even have archival or historical value. Drafts of agency mission statements or preliminary versions of policy
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initiatives that could have a significant effect on a state or local govemment agency's ability and responsibility to fulfill its function
would qualify as records with a longer retention requirement. Such records might be better placed under the record series
"ADMINISTRATOR RECORDS: PUBLIC AGENCY/ OFFICIAl."
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
DRUG TEST CASE FILES Item# 260
This record series consists of the results of a drug test under the Drug Free Workplace Act or as required for CDL or other drivers under
US DOT regulations as well as any records related to canceled tests. The test may include the results of negative or positive. This
series may also include documents generated in decisions to administer reasonable suspicion or pos~accident testing or in verifying the
existence of a medical explanation of the inability of the driver to provide adequate breath or a urine specimen for testing. In addition,
the case file could include: the employer's copy of an alcohol test form, including the results of the test; a copy of the controlled
substances test chain of custody control form; documents sent by the Medical Review Officer (MRO) to the employer; notice to report
for testing; affidavit signed by the employee stating any prescription drugs or over-the-counter medication currently being taken; and
final clearance to resume working. Refer to s. 112.0455(8)(1), and s. 443. 1715(3)(b), F.S.
RETENTION:
a) Record copy. 5 years after final action.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
DRUG TEST RECORDS: EDUIPMENT Item# 261
This record series consists of the documentation which demonstrates compliance and relates to the calibration required for the use of
the evidential breath testing device (EST). The series may include, but are not limited to, general testing, maintenance and repair
paperwork, equipment checklists, extemal calibration checks and readings taken. See also "DRUG TEST RECORDS: PROGRAM."
Refer to 39 CFR 40 and 49 CFR 382.401.
RETENTION:
a) Record copy. 5 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
DRUG TEST RECORDS: PROGRAM Item# 262
This record series consists of documents related to the administration of an alcohol and controlled substance testing program. This
series may include, but not limited to: annual program summaries, logs, information on random selection processes, statistical
information, test results, copies of materials on alcohol misuse and controlled substance use
awareness, copies of employer's policy, and copies of testing policies and procedures. See also "DRUG TEST RECORDS:
EQUIPMENT." Refer to 49 CFR 382.401 and 49 CFR 382.403.
RETENTION:
a) Record copy. 5 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EASEMENT CONVEYANCES: SUPPORTING DOCUMENTS Item# 263
This record series consists of duplicate easement conveyances and supporting documents. The official copy is recorded in the
Official Records of the Clerk of the Circuit Court's Office and then filed in a safe place with all other deeds and conveyances
within the local government agency. See also "APPRAISALS: LAND (PURCHASED)," and/or "OFFICIAL
RECORDS," (GS 11 General Schedule for Clerks of Court).
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RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ELECTRONIC FUNDS TRANSFER RECORDS Item# 264
This record series consists of the documentation necessary to establish and maintain the electronic transfer of funds. The
documentation may include, but is not limited to: an agreement between the two parties; a form which lists both institutions' names, their
routing numbers, the name of the account holder, and the account's authorizing signature; a canceled deposit slip or check; and the
paperwork for the termination of service or transfer of seNice to a new institution. This series does not include the paperwork on a
specific individual deposit or payment. See also "CHECKS: LOG," and/or "CHECKS: REGISTERS."
RETENTION:
a) Record copy. 3 fiscal years after transfer.
b) Duplicate. Retain until obsolete, superseded or administrative value is lost.
ELECTRONIC RECORDS SOFTWARE
Item# 231
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Records Management Plan
This record series consists of proprietary and non-proprietary software as well as related documentation that provides infonnation about
the content, structLEe and technical specifications of computer systems necessary for retrieving infonnation retained in machine-
readable fonnat. These records may be necessary to an audit process.
RETENTION:
a) Record copy. Retain as long as there are software-dependent records in storage.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EMERGENCY OPERATIONS RECORDS: APPLICATIONS Item# 265
This record series consists of applications (accepted or denied) from residents to have a space assignment at a special needs shelter or
to receive transportation assistance to a shelter. These applications may indude: the citizen's name, address, and telephone number;
correspondence; medical disabilities; caretaker's name; and type of accommodations required. Denied applications may be based on
space availability andlor eligibility requirements. For accepted applications, individuals may be notified that they have been selected as
dients and explained their responsibilities. When dient status is accepted, individuals are agreeing that they will be ready to leave their
residence at the appropriate time and that they are aware of shelter rules and regulations. See also "EMERGENCY OPERATIONS
RECORDS: LIST OF SPECIAL NEEDS OR TRANSPORTATION CLIENTS."
RETENTION:
a) Record copy. 4 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EMERGENCY OPERATIONS RECORDS: FIVE YEAR STRATEGIC PLAN Item# 266
This record series consists of the state required five year stategic plan. The plan addresses areas and objectives for improvement.
The plan may be amended during the five year period with state approval. The series may indude both the original plan and any
subsequent amendments.
RETENTION:
a) Record copy. 3 years after plan expires.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EMERGENCY OPERATIONS RECORDS: LIST OF SPECIAL NEEDS OR TRANSPORTATION CLIENTS Item# 267
This record series consists of a listing of all applicants who are accepted for special needs or transportation services. The list may
change often as persons regain their health, move, die or acquire other means of transportation. See also "EMERGENCY
OPERATIONS RECORDS: APPLICATIONS."
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EMERGENCY OPERATIONS RECORDS: SHELTER INSPECTIONS Item#
268
This record series consists of inspections of potential emergency shelters by the county or city Emergency Management staff. The
inspection sheet may vary by city/county but should indicate the facilities name, location, and operating entity, as well as the stonn level
and specialty designation assigned to the shelter. If the facility is rejected as a shelter, the reasons for this rejection may also be noted.
RETENTION:
a) Record copy. 2 years after reinspection provided facility has been reinspected.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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EMPLOYMENT ASSISTANCE PROGRAM RECORDS Item# 269
This record series consists of documents related to the services received by employees through an agency sponsored assistance
program. These programs provide employees with information, treatment, and counseling on issues related to substance abuse,
financial planning, mental health issues, stress management, and domestic violence. This series
may contain a letter of inquiry, application, supporting documentation, referrals, updates on employee treatment, and the dates and
times of appointments. This series does not contain financial or vendor billing information. Refer to s. 112.0455(B)(/), and s.
443. 1715(3)(b), F.S.
RETENTION:
a) Record copy. 2 years after final action.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EMPLOYMENT ELIGIBILITY LIST Item# 101
This record series consists of a listing of all eligible candidates for a vacated position of elTllloyment. The list may include name,
address, home and work telephone numbers, and social security number. See also "APPLICATIONS: EMPLOYMENT (NOT HIRED),"
.PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM," and/or "PERSONNEL RECORDS: NON-FLORIDA RETIREMENT
SYSTEM." Refer to s. 119.07(3)(/), and s. 119.07(3)(x), F.S.
RETENTION:
a) Record copy. 2 years after expiration of eligibility.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EMPLOYMENT EXAMINATION RECORDS Item# 102
This record series consists of test plans, announcements, grades, grading scales, keyed exams, test monitor's list of candidates, any
research toward the development of the tests, and any other selection or screening criteria. See also "APPLICATIONS: EMPLOYMENT
(NOT HIRED)," .PERSONNEl RECORDS: FLORIDA RETIREMENT SYSTEM," and/or "PERSONNEL RECORDS: NON-FLORIDA
RETIREMENT SYSTEM."
RETENTION:
a) Record copy. 2 years after examination.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ENCUMBRANCE RECORDS Item# 20
This record series consists of documents and reports which detail funds that have been encumbered. It may also include lists of
encumbrances in which money is brought forward from the previous fiscal year for goods and services, which were not received until
the current fiscal year.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ENDOWMENTS/ BEQUESTSI TRUST FUND RECORDS Item# 211
This record series consists of documents which create, establish or record contributions to endowments, bequests and trust fund
records. These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ENVIRONMENTAL REGULATION RECORDS ltem# 167
This record series consists of permits, reviews, supporting documents and correspondence resulting from environmental regulation
requirement in and/or affecting municipal or county agencies.
RETENTION:
a) Record copy. 5 fiscal years after completion provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE RECORDS Item# 103
This record series consists of EEO compliance reports (i.e. EEO-5 ) and supporting documents, reviews, background papers and
correspondence pertaining to employment statistics (race, sex, age, etc.). The series should be filed separately from the employee's
personnel record. See also "AFFIRMATIVE ACTION RECORDS," and/or "MINORITY CERTIFICATION CASE FilES."
RETENTION:
a) Record copy. 3 fiscal years after final action provided applicable audits have been released and resolved.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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EQUIPMENT MAINTENANCEI USAGE RECORDS ltem# 104
This record series consists of, but is not limited to, equipment usage logs/reports/inspections and cost; service, maintenance and repair
records, i.e. work orders, date/history of repair, locations, cost of parts, etc.; hours worked, and equipment cost per hour, materials, etc.
which may be used for cost figures. The series may also include electronic equipment and devices that require program changes and
repairs.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EQUIPMENT REFERENCE FILES Item# 223
This record series consists of equipment specifications, technical manuals, brochures, bulletins, operating instructions, etc.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EXCISE TAXI SPECIAL ASSESSMENT RECORDS: DISBURSEMENT/ RECEIPT ltem# 168
This record series consists of the cash disbursements and cash receipts that pertain to general or specific laws or the State Constitution
authorizing collection proceedings. See also "EXCISE TAXI SPECIAL ASSESSMENT RECORDS: JOURNALS."
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EXCISE TAXi SPECIAL ASSESSMENT RECORDS: JOURNALS Item# 175
This record series consists of journals that pertain to general or special laws or the State Constitution authorizing collection
proceedings. See also "EXCISE TN<! SPECIAL ASSESSMENT RECORDS: DISBURSEMENT/ RECEIPT."
RETENTION:
a) Record copy. 7 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EXPENDITURE PLANS: CAPITAL IMPROVEMENT Item# 208
This record series consists of capital improvement expenditure plans detailing the long-term building and capital improvement needs of
the public agency. These plans may demonstrate a priority listing for capital expenditures as well as a time line for each project's
completion. These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EXPENDITURE REPORTS ltem# 105
This record series consists of documentation showing how agency funds are dispersed. See also "ACCOUNTS PAYABLE RECORDS,"
and/or "ACCOUNTS PAYABLE! RECEIVABLE SUMMARY RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
EXPOSURE RECORDS ltem# 227
This record series consists of documents which record/identify the exposure or possible exposure of an employee to a blood borne
pathogen, contagion, radiation and chemicals above the acceptable limits or dosage. These records may include, but are not limited to:
statistical analyses, incident reports, material safety data sheets, copies of medical records or reports, risk management assessments,
and other necessary data to support the possibility of exposure. See also "PERSONNEL RECORDS: FLORIDA RETIREMENT
SYSTEM," and/or "PERSONNEL RECORDS: NON-FLORIDA RETIREMENT SYSTEM." Refer to 29 CFR 1910.20 and 29 CFR
1910.1030.
RETENTION:
a) Record copy. 30 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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FACILITY RENTAL RECORDS ltem# 270
This record series consists of information generated in the process of renting or scheduling a public meeting hall or room, conference
site, park pavilion, cabin, tent space, or RV hookup to a citizen or family, private organization, or other public agency. These records
include, but are not limited to, name of renter, renter's address and telephone number, method of payment, acknowledgment of rules,
liability, damage waivers, and the date and time of the rental as well as what facility or portion of a facility is to be reserved. This
information may contain a check number, corresponding receipt number, and an amount as well as deposit information. See also
"CONTRACTS/ LEASES/ AGREEMENTS: NON-CAPITAL IMPROVEMENT."
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
FEASIBILITY STUDY RECORDS Item# 106
This record series consists of working papers, correspondence, consulting firm reports, intemal cost benefit analysis records, and
management committee reports investigating various projects of the goveming agency. The files cover potential projects under
consideration or those ideas which are studied and discarded by a govemmental agency. If the agency decides to continue with the
project, these materials may be scheduled under project files (capital improvement),
project files (non-capital improvement) or project files (operational). See also "PROJECT FILES: CAPITOL IMPROVEMENT,"
"PROJECT FILES: FEDERAL," "PROJECT FILES: NON-CAPITAL IMPROVEMENT," andlor "PROJECT FILES: OPERATIONAL."
These records may have archival value.
RETENTION:
a) Record copy. 3 years after completion of study provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
FEEl SERVICE SCHEDULES Item# 271
This record series consists of a procurement price sheeVfinal report, which identifies the types of services provided by the agency and
associated service fees if applicable. The series may also include all supporting documents used in the determining factors for
identifying service costs and applicable service fees. The price sheeVreport may be reviewed annually and revised to include new
services and/or changes in fees/costs due to increased costs for supplies, labor, and/or equipment.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
FINAL ORDERS RECORDS Item# 67
This record series consists of final agency decisions, a final orders list, final orders index and supporting documents which result from a
proceeding under Chapter 120, F.S. See also "MINUTES: OFFICIAL MEETINGS." These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
FINANCIAL REPORTS: ANNUAL Item# 107
This record series consists of a copy of the official statement of the financial status of the specific entity conceming its operation for the
preceding year which is submitted to the Department of Banking and Finance as required by s. 218.32, F.S. See also "AUDITS:
AUDITOR GENERAL," "FINANCIAL REPORTS: ANNUAL (COMPREHENSIVE)," and/or "FINANCIAL REPORTS: ANNUAL
(SUPPORTING DOCUMENTS)." These records may have archival value.
RETENTION:
a) Record copy. 10 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
FINANCIAL REPORTS: ANNUAL (COMPREHENSIVE) Item# 317
This record series consists of the annual report submitted to the Auditor General as required by s. 11.45(3)(a)(4), F.S. See also
"FINANCIAL REPORTS: ANNUAl," and/or "FINANCIAL REPORTS: ANNUAL (SUPPORTING DOCUMENTS)." These records may
have archival value.
RETENTION:
a) Record copy. 10 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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FINANCIAL REPORTS: ANNUAL (SUPPORTING DOCUMENTS) Item# 108
This record series consists of the supporting documents of the financial status of the specific entity conceming its operation for the
preceding year as required by s. 218.32, F.S. See also "FINANCIAL REPORTS: ANNUAL."
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
FUEL TAX REPORTS Item# 213
This record series consists of fuel tax reports required by those agencies which maintain a bulk fuel terminal. These reports are
generated on a monthly basis and are required by the Florida Department of Revenue.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
GENERAL LEDGERS: ANNUAL SUMMARY Item# 117
This record series consists of ledgers containing detail individual financial transactions resulting in the original accounts to which debits
and credits are posted from supporting documents of original entry. It includes all permanent ledger entries. If this series is not
established by an organization, then the daily or monthly general ledger takes the place of
the annual ledger. See also "GENERAL LEDGERS: SUPPORTING DOCUMENTS." These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or admi nistrative value is lost.
GENERAL LEDGERS: SUPPORTING DOCUMENTS Item# 118
This record series consists of daily or monthly ledgers and supporting documents for ledgers containing accounts to which debits and
credits are posted from supporting documents of original entry. See also "GENERAL LEDGERS: ANNUAL SUMMARY."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
GRANT FILES: GRANTOR AGENCYI RECIPIENT Item# 109
This record series consists of financial, management and any other related material which is generated subsequent to application for
and/or expenditure of grant funds. These files include all funded applications, supporting documentation, contracts, agreements, and
routine reports submitted by the grant recipient. Project completion has not occurred until all reporting requirements are satisfied and
final payments have been received. Check with applicable granting agency for
any additional requirements. See also "PROJECT FILES: CAPITAL IMPROVEMENT," "PROJECT FILES: FEDERAL," and/or
"PROJECT FILES: NON-CAPITOL IMPROVEMENT." These records may have archival value.
RETENTION:
a) Record copy. 5 fiscal years after completion of project provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
GRIEVANCE FILES Item# 110
This record series consists of, but is not limited to, records of all proceedings in the settlement of disputes between employer and
employee. See also "PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM," and/or "PERSONNEL RECORDS: NON-
FLORIDA RETIREMENT SYSTEM."
RETENTION:
a) Record copy. 3 fiscal years after settlement provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
HOUSING APPUCATlONS: NON-PARTICIPATING Item# 273
This record series consists of completed applications submitted by citizens who later choose not to participate in the housing program.
These applications have no activity on them and the individual has expressed no continuing interest in the program. The applications
may become inactive because of changes in the eligibility requirements, lack of interest, inability to locate a home or to secure
financing, relocation of applicant, or a failure to update the application by a given deadline. See also "HOUSING FILES: STATE
HOUSING INITIATIVES (SHIP) & HOME INVESTMENTS PARTNERSHIPS PROGRAM."
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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HOUSING FILES: STATE HOUSING INITIATIVES (SHIP) & HOME INVESTMENTS PARTNERSHIPS PROGRAM
Item# 274
This record series consists of, but is not limited to: program requirements and project records; community housing development set-
aside records; equal opportunity and fair housing records; environmental review records; applications; displacement, relocation, and
real property acquisition records; lead-based paint and radon records; housing agreement; income verification; proof of age or
handicap; and other records as required by state/federal govemments for public housing. Entities that receive SHIP funds have two
fiscal years to expend the money. See also "HOUSING APPLICATIONS: NON-PARTICIPATING."
RETENTION:
a) Record copy. 4 fiscal years after funds are expended provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INCIDENT/INVESTIGATION REPORTS Item# 241
This record series consists of reports of incidents which occur at a public facility or on publicly owned property, and the follow -up
documentation created when an incident report is investigated. The reports may include, but are not limited to: the name of the
reporting staff member; the date/timellocation of the incident; persons involved or witnesses; the extent of the problem; emergency
response, personnel notified, the general outcome of the incident; and any investigation that may follow. See also "INJURY
RECORDS." Refertos. 95.11, F.S.
RETENTION:
a) Record copy. 4 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INFORMATION REQUEST RECORDS Item# 23
This record series consists of correspondence accumulated in answering inquiries from the public. The series may include requests for
publications or services provided by the agency, inspection and/or copies of public records,
confirmation of meeting times/dates/locations, and requests for general agency information (i.e. mission statement, telephone list,
map/directions, employee directory, etc.).
RETENTION:
a) Record cOJJY. 1 fiscal year provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INJURY RECORDS Item# 188
This record series consists of investigations, logs and summary records regarding injury, diseases and illness, fatality and non-fatality.
The series may include, but is not limited to: the report of an injury received on public property where medical attention or services have
been administered; an employee injury resulting in death; and OSHA No. 200 Log and Summary of Occupational Injuries and Illnesses
or any equivalent form. See also 'WORKERS' COMPENSATION RECORDS." Refer to Ru/es 381-17.003 and 381-60.090, FAC. and
OSHA Ru/e 93'()5.
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INSPECTION RECORDS: BRIDGE! MAINTENANCE
This record series consists of inspection records of the maintenance and condition of bridges.
RETENTION:
a) Record copy. Retain for life of structure.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Item# 276
INSPECTOR'S ROUTE SHEETS: DAILY Item# 277
This record series consists of daily inspection sheets used by the inspector fa recording violations and other requirements that have not
met building standards or codes. NOTE: This record may also be part of the building permit records. See also" PERMITS:
BUILDING."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INSURANCE RECORDS Item# 111
This record series consists of insurance policies, claim filing information, premium payment records, cards and registers, etc. on
agency's property and/or employees. The series may also include all expenditures for insurance premiums shown as journal entries,
the list of carriers and the amounts due to them.
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RETENTION:
a) Record copy. 5 fiscal years after final disposition of claim or expiration of policy provided applicable audits have been
released.
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b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INVENTORY: AGENCY RECORDS Item# 319
This record seres consists of an inventory (maintained in hard copy or electronic format) of agency records, which may be located in
individual departments/agencies and/or at offsite storage facilities. The inventory may include, but is not limited to, the following
information: record series; if records are active, inactive or closed; whether they are vital records and/or exempt from public inspection;
whether the records are maintained in hard copy or electronic format or both; the identification of owner agency/departmenUcustodian
name; records retention requirements; location of records, inclusive dates and cubic fooUvolume of records; and box, shelf, file cabinet,
or room number of where records are located/stored.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INVENTORY/ PROPERTY CONTROL RECORDS: EXPENDABLE Item# 51
This record series consists of documentation of a perpetual inventory of expendable parts and supplies, which may be located in a
central supply office for use by agency employees. The series may also include a listing of all available supplies, which is distributed
periodically or upon request. See also "INVENTORY/ PROPERTY CONTROL RECORDS: FIXED ASSETS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INVENTORYI PROPERTY CONTROL RECORDS: FIXED ASSETS Item# 40
This record series consists of all information regarding the purchase, physical inventory, and data collection involving all Operating
Capital Outlay (O.C.O.) items which require an identification number and tag. Included in these reports are items sold through the
auction process as well as the Fixed Inventory Report showing all property owned by the agency. The records may contain information
relating to the class and type; number of units; make and manufacturer; year and model; manufacturer's serial number or other
identifying mar1<er attached to the property; the value or cost of the property; date acquired; the location, custodian; date of inventory,
condition of property, property transfer forms, final detailed disposition of property and any additional information that may be
necessary. The series may also include records pertaining to when the property or equipment is relocated, transferred, surplused, sold,
scrapped, traded in, abandoned, stolen, cannibalized or destroyed. See also "INVENTORY/ PROPERTY CONTROL RECORDS:
EXPENDABLE." Refer to Chapter 274, F.S.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
INVESTMENT RECORDS Item# 278
This record series consists of records related to the selection and maintenance of a govemment's investment. The series may include,
but is not limited to, selection criteria, score sheets, correspondence conceming the selection process or potential investments, annual
reports of the investment, firm histories; prospectus and other research materials; and initial goals or projected recovery at the time of
the initial investment. These records may have archival value.
RETENTION:
a) Record copy. 10 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
JOB TRAINING PARTNERSHIP ACT (JTPA) RECORDS Item# 113
This record series consists of a list of participating individuals, pilot programs, employer proposals, information on potential volunteer
businesses and evaluations. Should programs possess non-expendable property, an authorized official may dispose of this property in
accordance with the agency's policies. This was formerly known as the "Comprehensive Employees Training Act" (CETA).
RETENTION:
a) Record copy. 3 fiscal years after annual report provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Winter Springs, Florida
Records Management Plan
JOURNALS: VOUCHERS ltem# 194
This record series consists of vouchers used to make special corrections, budget allocations, penned entries from financial statements,
and to adjust entries from preliminary to final dosing. See also "ACCOUNTS PAYABLE RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
LEGISLATION RECORDS Item# 119
This record series consists of proposed legislation for the Florida Legislature and all supporting documentation. It may also indude
legislative bookslpublications i.e., statutes, Florida Rules of Court, etc. These records may have archival value.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
LIBRARY ACQUISITION RECORDS Item# 77
This record series consists of information on the acquisition of public library materials: books, periodicals, filmstrips, software, compact
discs, video/audio tapes, and other nOll-print media. This information may indude the accession date and method, the publisher and
cost, the date entered into the collection, dates removed from collection, and method of final disposal. See also "LIBRARY
CIRCULATION RECORDS," and/or "LIBRARY SHELF LIST."
RETENTION:
a) Record copy. Retain for life of material.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
LIBRARY CARD RECORDS Item# 279 This
record series consists of library card applications which may include the patron's name, address, telephone number, and date of birth as
well as a statement of liability for the care and timely retum of all materials checked out or utilized by the patron.
RETENTION:
a) Record copy. 30 days after expiration.
b) Duplicate: Retain until obsolete, superseded or administrative value is lost.
LIBRARY CIRCULATION RECORDS Item# 233
This record series consists of forms and reports devised to make library materials and equipment available to the entire library dientele.
It also indudes delinquent records and charges, copies of incoming and outgoing interlibrary loan requests for books, magazine artides,
microfilm, renewals and subject searches. See also "LIBRARY ACQUISITION RECORDS," and/or "LIBRARY SHELF LIST."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
LIBRARY SHELF LIST Item# 120
This record series consists of library shelf listings of books, periodicals, filmstrips, film and other materials. See also "LIBRARY
ACQUISITION RECORDS," and/or "LIBRARY CIRCULATION RECORDS."
RETENTION:
a) Record copy. Retain for life of material.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
LICENSES: OCCUPATIONAL Item# 221
This record series consists of applications, indexes and supporting documentation of licenses issued to business, professional, or
occupation within "local goveming authority's" jurisdiction.
RETENTION:
a) Record copy. 1 calendar year after expiration provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Records Management Plan
UTlGA TlON CASE FILES Item# 27
This record series consists of legal documents, notes, reports, background material, etc. created in the preparation of handling legal
disputes.
RETENTlON:
a) Record copy. 5 years after case closed or appeal process expired provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MAIL: REGISTERED AND CERTlFIED RECEIPTS Item# 47
This record series consists of receipts for registered and certified mail sent out or received by a particular office. This record is often
filed as part of another record series. See also "MAIL: UNDELIVERABLE FIRST CLASS," "MAILING LISTS," and/or "POSTAGE
RECORDS."
RETENTlON:
a) Record copy. 1 fiscal year.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MAIL: UNDELIVERABLE FIRST CLASS ltem# 1
This record series consists of mail from any agency mailing that is retumed. It does NOT include certified mailings ,which require proof
of mailing. See also ..MAIL: REGISTERED AND CERTIFIED RECEIPTS," "MAILING LISTS," andlor "POSTAGE RECORDS."
RETENTlON:
a) Record copy. 1 year after retumed undeliverable.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MAILING LISTS Item# 29
This record series consists of mailing lists used in agency mail outs. For those mailing lists that fall under F.S. 283.55- Purging of
publication mailing lists, they will be updated and superseded every odd-numbered year. See also ..MAIL: REGISTERED AND
CERTIFIED RECEIPTS," "MAIL: UNDELIVERABLE FIRST CLASS," and/or"POSTAGE RECORDS."
RETENTlON:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MAPS: ORIGINALS Item# 280
This record series consists of maps containing the original information and supporting documents in planning and engineering of local
infrastructures and maps as required for the government land office, highway, sales, sectional, and geological surveys which are not
required by statute or ordinance to be filed with the Clerk of the Court. This record series does not include original maps, which are filed
with the Clerk of the Court under Chapter 177, 253 and 337, F.S. See also "SUBDIVISION PLANS: PRELIMINARY (SUPPORTING
DOCUMENTS)."
RETENTlON:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MAPS: SUPPORTlNG DOCUMENTS Item# 281
This record series consists of copies of county/city right-of-way maps and other maps containing the original information and supporting
documents in planning and engineering of local infrastructures and maps as required for the govemment land office, highway, sales,
sectional, and geological surveys. This record series does not include the record copy of the maps/plats/right-of-ways which are filed
with the Clerk of the Court under Chapter 177, 253 and 337, F.S. See also "SUBDIVISION PLANS: PRELIMINARY (SUPPORTING
DOCUMENTS)."
RETENTlON:
a) Record copy. 15 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MEDICAL RECORDS: VET ERAN SERVICES Item# 311
This record series consists of, but is not limited to, duplicate copies of medical records and a digest of medical information.
RETENTlON:
a) Record copy. 7 fiscal years after last discharge or last entry.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Winter Springs, Florida
Records Management Plan
MICROGRAPHICS: QUALITY CONTROL RECORDS Item# 282
This record series consists of, but is not limited to, test results and microfilm inspection records for all archival microfilm as required by
Chapter 1 B-26.0021 (3)(1), and 1 B-26.0021 (3)G), FAC.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
MINORITY CERTIFICATION CASE FILES ltem# 169
This record series consists of case files referencing women and minority companies that have applied for certification with the agency.
See also "AFFIRMATIVE ACTION RECORDS," and/or "EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE RECORDS."
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: OFFICIAL MEETINGS ltem# 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.
MINUTES: OFFICIAL MEETINGS (HANDWRITTENI AUDIOI 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) ltem# 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.
NEWS RELEASES Item# 34
This record series consists of news releases distributed by the agency and/or news releases received from other offices for
informational purposes. See also "PUBLIC INFORMATION FILES," and/or "PUBLICATIONS AND MEDIA ITEM RECORDS." These
records may have archival value.
RETENTION:
a) Record copy. 90 days.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
NOISE EXPOSURE MEASUREMENT RECORDS Item# 283
This record series consists of studies and measurements of the noise levels employees are exposed to by location or job classification.
These documents may include incident reports, risk management assessments, and other necessary data to support the possibility of
exposure. Refer to 29 CFR 1910.95.
RETENTION:
a) Record copy. 2 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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OPERATIONAL AND STATISTICAL REPORT RECORDS: OFFICE Item# 124
This record series consists of daily, weekly, monthly, biannual, and annual narrative and statistical reports of office operations made
within and between agency departments. It may also include activity reports demonstrating the productivity of an employee or the work
tasks completed for a period oftime (dailylweekly/hourly, etc.).
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Records Management Plan
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
OPINIONS: LEGAL (ATTORNEY) ltem# 26
This record series consists of written opinions of lasting significance establishing policy or precedent answering legal questions from all
program areas involving questions of interpretation of Florida or federal law. See also "LITIGATION CASE FIL ES," andlor "OPINIONS:
lEGAL (SUPPORTING DOCUMENTS)." These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
OPINIONS: LEGAL (SUPPORTING DOCUMENTS) Item# 125
This record series consists of the supporting documentation to the opinions that answer legal questions from all program areas involving
questions of interpretation of Florida or federal law. See also "LITIGATION CASE FilES:' and/or "OPINIO NS: lEGAL (A TIORNEY)."
These records may have archival value.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ORDINANCES Item# 228
This record series consists of an official legislative action of a goveming body, which action is a regulation of a general and permanent
nature and enforceable as a local law. See also "CHARTERSI AMENDMENTSI BYLAWSI CONSTITUTIONS:' andlor "ORDINANCES:
SUPPORTING DOCUMENTS." These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ORDINANCES: SUPPORTING DOCUMENTS Item# 229
This record series consists of supporting documentation to the ordinance, which is a regulation of a general and permanent nature and
enforceable as a local law. See also "ORDINANCES." These records may have archival value.
RETENTION:
a) Record copy. 5 years after adoption of ordinance.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ORGANIZATION CHARTS Item# 126
This record series consists of organizational charts that show lines of authority and responsibility agency-wide, within and between the
various departments of the agency. See also "DIRECTIVESI POLlCIESI PROCEDURES." These records may have archival value.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PAYROLL RECORDS: DEDUCTION AUTHORIZATIONS Item# 129
This record series consists of forms authorizing direct deductions for insurance, union dues, credit unions, savings bonds, charitable
contributions. deferred compensation, day care, etc. See also "SOCIAL SECURITY CONTROLLED SUMMARY RECORDS."
RETENTION:
a) Record copy. 4 calendar years after final action provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Records Management Plan
PAYROLL RECORDS: LEDGERS Item# 183
This record series consists of a report which reflects totals for the net and gross wages, FICA wages, retirement wages and deductions,
tax and other deductions in payroll as well as a summary of each account/line item's expenditures and encumbrances. See also
"ENCUMBRANCE RECORDS," "EXPENDITURE REPORTS," all "PAYROLL RECORDS," and/or "SOCIAL SECURITY CONTROLLED
SUMMARY RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PAYROLL RECORDS: REGISTERS (NOT POSTED) Item# 214
This record series consists of any payroll record not posted to the employee's applicable retirement plan, in any format (plus indices, if
applicable), which are used to document payment for retirement or other purposes during an employee's duration of employment and
also lists each rate(s) of pay. See also "ATTENDANCE RECORDS: LEAVE INDEX," "PAYROLL RECORDS: REGISTERS (POSTED),"
and/or "SOCIAL SECURITY CONTROLLED SUMMARY RECORDS."
RETENTION:
a) Record copy. 50 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PAYROLL RECORDS: REGISTERS (POSTED) Item# 35
This record series consists of any payroll record posted to the employee's applicable retirement plan, in any format (plus indices, if
applicable), which are used to document payment for retirement or other purposes during an employee's duration of employment and
also lists each rate(s) of pay. Please note that the information in this record series should be posted to an applicable retirement plan.
See also "ATTENDANCE RECORDS: LEAVE INDEX," "PAYRJLL RECORDS: REGISTERS (NOT POSTED)," and/or "SOCIAL
SECURITY CONTROLLED SUMMARY RECORDS."
RETENTION:
a) Record copy. 4 years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PAYROLL RECORDS: SUPPORTING DOCUMENTS Item# 195
This record series consists 'of, but is not limited to, time sheets/cards and certification reports signed by the supervisor approving hours
worked by employees, correction forms to rectify errors in payroll processing, pay lists used to verify the payroll certification report. See
also other "PAYROLL RECORDS."
RETENTION:
a) Record copy. 3 calendar years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERIODIC PROGRESS REPORTS: INTERNAL Item# 36
This record series consists of internal progress reports. The series may also include supporting documents, which are accumulated in
compiling, reviewing, and submitting the reports. See also "SURVEYS/ STUDIES: INTERNAL."
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERMITS: BUILDING Item# 286
This record series consists of permits issued by a governing authority for performance of construction, electric, plumbing, gas or
mechanical work. Included in this series are the supporting documents and other permits which may be issued for construction or
improvements to existing structures. See also "PERMITS/ BUilDING: APPLICATIONS." Refer to Chapters 125, 553 and 713, F.S.
RETENTION:
a) Record copy. 15 years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERMITS: CONFINED SPACE Item# 284
This record series consists of a canceled entry permit which documents the following: the space to be entered; the purpose of the entry;
the date and duration of authorized entry; the authorized entrants; the personnel by name currently serving as attendants; the name of
the entry supervisor; the hazards of the space to be entered; the measures used to isolate the space and to control or eliminate
hazards; the acceptable entry conditions; the results of the initial and periodic tests performed, the names of the testers, and the date
and time of testing; the rescue and emergency services that can be summoned and how to summon them; communication procedures
for entrants and attendants; equipment provided; and any additional permits such as those for hot work. Problems, which are
encountered during entry should be documented on the permit at the conclusion of work. Refer to 29 CFR 1910.146.
Page 24
RETENTION:
a) Record copy. 1 calendar year.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Records Management Plan
PERMITS: MINING Item# 287
This record series consists of mining permits approved by the local goveming board pursuant to Chapters 125 and 163, F.S. The series
includes the applications and supporting documents submitted by the mining company to the Development Department for review as
may be required by local ordinance. Examples of supporting documentation may include: copies of the application; legal description
including total acreage; copy of proof of ownership; consent of owner/mortgagees; aerial maps; Master Mining Plan Approval (MAMPA);
Mining Operation Plan Approval (MOPA); modifications to MOPA's and MAMPA's; environmental assessment; IisVcopy of previous
permits if applicable; list of property owners within a specific range of proposed mining site; signed agreement of access (variances);
public hearing notices; meeting agendas of applicable goveming board(s); correspondence; monthly blasting reports; and annual
inspection reports.
RETENTION:
a) Record copy. 1 year after expiration of Certificate of Approval.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERMITS: SIGNS Item# 288
This record series consists of permits issued for installinglerecting signs. Included in this series are the applications and supporting
documents. Refer to Chapters 125, 166 and 479, F.S.
RETENTION:
a) Record copy. 3 years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERMITSI BUILDING: APPLICATIONS Item# 285
This record series consists of an application, which is completed when a licensed building contractor or mechanical contractor applies to
construct structures of any nature. The application shows the date, the location, type of structure and plans, if required. The application
may also include permits for gas, plumbing, electric and construction projects. See also "PERMITS: BUilDING."
RETENTION:
a) Record copy. 5 years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERSONNEL RECORDS DISCIPLINARY CASE FILES: EMPLOYEE Item# 98
This record series consists of both sustained formal or informal disciplinary cases investigated that allege employee misconduct and/or
violate department regulations and orders, state and federal statutes, and local ordinances. The records are kept in a separate file from
the employee personnel file. It includes, but is not limited to, statements by the employee, witnesses, and the person filing the
complaint. "Formal Discipline" is defined as disciplinary action involving demotion, removal from office, suspension, or other similar
action. "Informal discipline" is defined as any disciplinary action involving written and verbal reprimands, memoranda, or other similar
action. This record series can also consist of formal or informal disciplinary cases that were determined as not sustained, unfounded, or
exonerated charges. The final action summary becomes part of the employee personnel file. See also other "PERSONNEL
RECORDS."
RETENTION:
a) Record copy. 5 years after final action.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM Item# 19
This record series consists of an application for employment, resume, personnel action reports, directly related correspondence, oath of
loyalty, fingerprints, medical examination reports, performance evaluation reports, worker's compensation reports, and other related
materials within the Florida Retirement System (FRS). (Note: Contact your agency's Personnel Office prior to destruction in case
they want to review the records). See also "DRUG TEST CASE FILES," "EMPLOYMENT EXAMINA TJON RECORDS," and other
"PERSONNEL RECORDS."
RETENTION:
a) Record copy. 25 years after separation or termination of employment.
b) Duplicates. 1 year after termination of employment.
PERSONNEL RECORDS: NON-FLORIDA RETIREMENT SYSTEM Item# 162
This record series consists of an application for employment, resume, personnel action reports, directly related correspondence, oath of
loyalty, fingerprints, medical examination reports, performance evaluation reports, worker's compensation reports, and other related
materials that do not come under the Florida Retirement System (FRS).
Page 25
(Note: Contact your agency's Personnel Office prior to destruction incase they want to review the records). See also "DRUG
TEST CASE FilES," "EMPLOYMENT EXAMINATION RECORDS," and other "PERSONNEL RECORDS."
RETENTION:
a) Record copy. 50 years after termination of employment.
b) Duplicates. 1 year after termination of ellllloyment.
PERSONNEL RECORDS: OPSI VOLUNTEERSI TEMPORARY EMPLOYMENT
Item# 66
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Records Management Plan
This record series consists of all information relating to each O.P.S., volunteer or temporary employee within an agency. Also, records
may include an employment application and/or resume, personnel action forms and any correspondence relating to that individual.
Volunteer employment may include, but are not limited to, name, address, and schedule of volunteer; training records; and emergency
contact information. Temporary efTlJloyment may include personnel from a local employment agency. See also "EMPLOYMENT
EXAMINATION RECORDS," and/or other "PERSONNEL RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PERSONNEL RECORDS: SCHEDULES Item# 289
This record series consists of any scheduling documentation for shift or part time employees. These records may include hours
scheduled to work, the switching of hours with another employee, the location or route of work assignment, and anticipated starting and
ending times.
RETENTION:
a) Record copy. 1 fiscal year provided applicable audits have been released.
b) Duplicates. Retain until obsolete, sl.4)erseded or administrative value is lost.
PETTY CASH DOCUMENTATION RECORDS Item# 202
This record series consists of receipts, bills and monthly balances indicating amount needed for replenishing this revolving account.
See also "ACCOUNTS PAYABLE RECORDS," and/or "ACCOUNTS RECEIVABLE RECORDS."
RETENTION:
a) Record copy. 3 fiscal years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
POSITlON DESCRIPTION RECORDS Item# 38
This record series consists of specifically assigned duties and responsibilities for a particular position, which may include, but are not
limited to, the identification of percentage breakdown of duties, job summary, essential job duties, job standards, salary or pay range,
education and experience requirements, required licenses/certificates, essential skills and qualifications, essential physical skills and/or
working conditions.
RETENTION:
a) Record copy. 2 years after superseded provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
POSTAGE RECORDS Item# 133
This record series consists of a detailed listinglreport showing the amount of postage used, dates used, unused balance and purpose.
It also includes postage meter books and daily balance sheets. The carbon copies from a United Parcel Service, Federal Express
Service or other type express mail package sent by one agency to another agency, or the public, would also fit within this series. See
also ..MAIL: REGISTERED AND CERTIFIED RECEIPTS," ..MAIL: UNDELIVERABLE FIRST CLASS," and/or "MAILING LISTS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PROBATION RECORDS Item# 320
This record series consists of case files of persons placed on county probation by the county courts and supervised by the contracted
agency (such as the Salvation Army Correctional Services). The series includes copies of legal orders (originals filed with Clerk of
Court), originals of case notes and correspondence, copies of receipts for monies collected for fines, restitution and cost of supervision,
and reports from various agencies regarding client's progress in counseling areas such as drug, alcohol and mental health. All records
(with the exception of those filed with the Clerk of Court as stated above) are maintained/stored in the offices of the contracted agency.
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RETENTION:
a) Record copy. 5 calendar years after case closed.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PROCLAMATIONS ltem# 142
This record series consists of an expression of a goveming body conceming an expression of a temporary character such as a
prodamation dedaring "Secretaries Day." The series may also include, but is not limited to, correspondence, memorandum, public
input, sample prodamations, drafts and letters of support. See also "CHARTERS/ AMENDMENTSI BYLAWS/ CONSTITUTIONS:
and/or "DIRECTIVES/ POLICIES/ PROCEDURES." These records may have archival value.
RETENTION:
a) Record copy. 2 calendar years after date of issuance.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PROJECT FILES: CAPITAL IMPROVEMENT Item# 136
This record series consists of correspondence or memoranda (incoming and outgoing), drawings (or preliminary drawings), resolutions,
narratives, budget revisions, survey information, change orders, computer runs and reports, all pertaining to capital improvement
projects, construction and contract specifications for various proposed projects sent out for bid. The files may contain materials relating
to specific projects, such as convention center, municipal/county
library, provided by the agency. See also "PROJECT FILES: FEDERAL," and/or "PROJECT FILES: NON-CAPITAL IMPROVEMENT."
RETENTION:
a) Record copy. 15 fiscal years after completion of project.
b) Duplicates. Retain until obsolete, superseded or adrrinistrative value is lost.
PROJECT FILES: FEDERAL Item# 137
This record series consists of original approved federal project contracts, agreements, awards, and line-item budgets, budget
amendments, cash requests, correspondence and audit reports. (NOTE: Check with applicable agency and/or the Code of Federal
Regulations (CFR) for any additional requirements.) See also "GRANT FILES: GRANTOR AGENCY/ RECIPIENT," "PROJECT FILES:
CAPITAL IMPROVEMENT," and/or "PROJECT FILES: NON-CAPITAL IMPROVEMENT."
RETENTION:
a) Record copy. 5 fiscal years after completion of project provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PROJECT FILES: NON-CAPITAL IMPROVEMENT Item# 138
This record series consists of correspondence or memoranda (incoming and outgoing), resolutions, narratives, budget revisions, survey
information, change orders, computer runs and reports, all pertaining to non-capital improvement projects and contract specifications for
various proposed projects which mayor may not be sent out for bid. The files may contain materials relating to specific projects
provided by the agency. See also "GRANT FILES: GRANTOR AGENCY/ RECIPIENT," "PROJECT FILES: CAPITAL
IMPROVEMENT," and/or "PROJECT FILES: FEDERAL."
RETENTION:
a) Record copy. 5 fiscal years after completion of project provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PROJECT FILES: OPERATIONAL Item# 291
This record series consists of, but is not limited to: work orders which identify department/agency requesting work/service; logs; project
schedules, correspondence relating to the project, names of employees involved in project, equipment used, project tracking
logs/reports, and other related information regarding the project such as fiscal year or year-end project costs.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PROMOTION RECORDS Item# 139
This record series consists of an application for promotion (advertised by the agency as open enrollment), any promotional level tests
and the test results for employees. See also "APPLICATIONS: EMPLOYMENT (NOT HIRED)," "EMPLOYMENT ELIGIBILITY LIST,"
"PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM," and/or "PERSONNEL RECORDS: NON-FLORIDA RETIREMENT
SYSTEM."
RETENTION:
a) Record copy. 2 calendar years after selection is finalized or confirmed.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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PUBLIC INFORMATION FILES Item# 128
This record series consists of speeches and drafts, contact prints, negatives, enlargements from negatives and transparencies created
as illustrations in agency publications or as visual displays of agency activities. See also "NEWS RELEASES," and/or "PUBLICATIONS
AND MEDIA ITEM RECORDS." These records may have archival value.
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Winter Springs, Florida
Records Management Plan
RETENTION:
a) Record copy. 90 days.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PUBLIC PROGRAM! EVENT RECORDS ltem# 238
This record series consists of files of various agency-provided or sponsored events or programs, which are available to the public or
segments of the public. The files may indude, copies of contracts or agreements, participant or perfonner
infonnation, program details and arrangements, photo or video tapes. These records relate to events on behalf of the agency and may
be staged by a contractor or vendor.
RETENTION:
a) Record copy. 5 fiscal years after completion of contract provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PUBLICATIONS AND MEDIA ITEM RECORDS Item# 198
This record series consists of records used to generate publications created by the agency, such as catalogs, pamphlets and leaflets
and other media items induding rough, blue lined, and final copies. See also "NEWS RELEASES," and/or "PUBLIC INFORMATION
FILES." These records may have archival value.
RETENTION:
a) Record copy. Retain until receipt of final copy.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
PURCHASING RECORDS Item# 42
This record series consists of copies of purchase orders which are retained by the Purchasing Department or originating office while
another is sent to the appropriate vendor for action. Included in this series is a log of outstanding and paid requisitions and purchase
orders which are used for cross-referencing purposes. The series may also indude requisitions which are sent by the originating office
to supply, purchasing, graphics, duplicating or other sections for action. See also "ACCOUNTS PAYABLE RECORDS:' and/or
"ACCOUNTS PAYABLE! RECEIVABLE SUMMARY RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RADIO LOGS Item# 292
This record series consists of a log which records the time radio calls were received/placed, who the transmitting parties were, the
reason for the call, if additional units were dispatched to a location, or if infonnation was retrieved and transmitted back to the caller.
These logs may be used in regards to police, fire, EMS, or other radio dispatch operations including road and bridge or development
departments.
RETENTION:
a) Record copy. 1 fiscal year.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RAIN CHECKS
This record series consists of rain checks issued after patrons have paid an entry fee.
the expiration date, and the name of the staff member issuing the rain check.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Item# 293
The rain check states the date of service issued,
REAL-ESTATE RECORDS: CONDEMNATIONI DISPOSAL Item# 294
This record series consists of all records related to the condemnation or disposal of real estate owned by a public agency. Records
related to the acquisition of the property are scheduled elsewhere. This series does not include property or easement vacating. See
also "APPRAISALS: LAND (PURCHASED)." These records may have archival value.
RETENTION:
a) Record copy. 3 fiscal years after final action provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Winter Springs, Florida
Records Management Plan
RECORDS DISPOSITlON COMPLIANCE STATEMENT FORMS Item# 322
This record series consists of records disposition compliance forms that are initiated by the Bureau of Archives and Records
Management and sent to all public agencies on an annual basis. The forms include questions regarding an agency's records
disposition compliance with s. 119.041 (1), F.S.; s. 257.36(5), F.S.; s. 257.36(6), F.S.; Rule 1B-24.003(1 0), FAC.; and Rule 18-
24.003(12), FAC. Each agency receives the form at the end of their fiscal year. The forms are to be included in a report that will be
submitted to the govemor and legislature at the end of each calendar year. See also "RECORDS DISPOSITION DOCUMENTATION,"
and/or "RECORDS RETENTION SCHEDULES: AGENCY SPECIFIC."
RETENTION:
a) Record copy. 1 fiscal year.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RECORDS DISPOSITION DOCUMENTATION Item# 45
This record series consists of records disposition documentation that is in accordance with Chapters 119 and 257, F.S. NOTE:
Effective February 20,2001, all records dispositions should receive final authorization from the agency records management custodian
and/or designee. These records may also include disposal or transfer authorizations from records owner/custodian. Prior to February
20, 2001, all records disposition requests received final authorization from the Department of State, Division of Library and Information
Services, Bureau of Archives and Records Management. See also "RECORDS DISPOSITION COMPLIANCE STATEMENT FORMS,"
and/or "RECORDS RETENTION SCHEDULES: AGENCY SPECIFIC."
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RECORDS RETENTION SCHEDULES: AGENCY SPECIFIC Item# 68
This record series consists of the approved records retention schedules that are submitted to the Department of State, Division of
Library and Information Services, Bureau of Archives and Records Management, requesting retention requirements of public records in
accordance with Chapters 119 and 257, F.S. See also "RECORDS DISPOSITION COMPLIANCE STATEMENT FORMS," and/or
"RECORDS DISPOSITION DOCUMENTATION."
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RECORDS RETRIEVAU REFERENCE RECORDS Item# 295
This record series consists of records management and archival pull slips, reference and records retrieval and re-file requests. These
documents may note when a file, box, or item was removed from its storage location to be delivered to the referring party. The forms
may also identify what records were pulled, on what date, by whom, for whom, when the records were picked up or delivered, when the
item(s) were retumed, by whom, if anything was missing, where it was re-filed and by whom.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
REGISTRATION RECORDS: EVENTS Item# 296
This record series consists of registration information for events such as parks and recreation events, arts and crafts classes, athletic
leagues or sports clinics, animal obedience classes, library programs, parenting classes, CPR training, and any other events that the
public can register to participate in or attend. The series may include a completed registration form for events (such as summer/day
camp) which may consist of the participants personal information such as name, address, home telephone number, date of birth,
parental information, current medications, allergies, physician information, medical release, liability release, sign in/out forms, etc.
NOTE: Some records may contain confidential or non-public information which may be exempt from public inspection.
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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RESOLUTIONS Item# 297
This record series consists of an expression of a governing body concerning administrative matters or a provision for the disposition of a
particular item of the administrative business of a governing body or organization. See also "CHARTERS/ AMENDMENTS/ BYLAWS/
CONSTITUTIONS: "DIRECTIVES/ POLICIES/ PROCEDURES," "ORDINANCES," and/or "RESOLUTIONS: SUPPORTING
DOCUMENTS." These records may have archival value.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RESOLUTIONS: SUPPORTING DOCUMENTS Item# 143
This record series consists of documentation which supports the creation of a resolution by a governing body. The documentation may
include correspondence, memoranda, public requests, drafts and working papers, letters of
support from civic and political bodies, and samples of similar resolutions from other bodies. See also "01 RECTIVES/ POLICIES/
PROCEDURES," and/or "RESOLUTIONS."
RETENTION:
a) Record copy. 3 calendar years after date of issuance.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
RESPIRATOR FIT TESTING RECORDS Item# 298
This record series consists of documents required by OSHA for employees subject to negative pressure respirator fit testing. The
records may contain: a copy of the protocol selected for respirator fit testing; a copy of the results of any testing; the size and
manufacturer of the types of respirators available for selection; the date of the most recent fit testing; the name and social security
number of tested employee; and the respirator type and face piece selected. Refer to 29 CFR 1910.1048(0).
RETENTION:
a) Record copy. Retain until next testing.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SAFETY INSPECTION RECORDS Item# 193
This record series consists of reports, logs and summaries that may be required pertaining to employees, equipment, materials and
facilities safety, and may include requirements imposed by other agencies. See also "DISASTER PREPAREDNESS RECORDS:
DRILLS."
RETENTION:
a) Record copy. 4 calendar years after inspection provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SALARY COMPARISON REPORTS Item# 49
This record series consists of data compiled to provide a method of comparing job/position descriptions, educational requirements, and
salaries with similar positions within the agency and with positions in outside agencies. See also "POSITION DESCRIPTION
RECORDS: and/or "SAlARY SCHEDULES."
RETENTION:
a) Record copy. 1 fiscal year provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SALARY SCHEDULES Item# 240
This record series consists of a pay grade comparison chart or log indicating the salary classification for each position. See also
"POSITION DESCRIPTION RECORDS," and/or "SALARY COMPARISON REPORTS." These records may have archival value.
RETENTION:
a) Record copy. 10 fiscal years.
b) Duplicates. Retain until obsolete, superseded, or administrative value is lost
SEARCH COMMITTEE RECORDS Item# 199
This record series consists of minutes, reports, resumes, interview score sheets, interview results, list of priority hires, a personnel
requisition, references of applicants, and the affirmative action compliance report. These records may have archival value.
RETENTION:
a) Record copy. 180 days.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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SECURllY CHECKS Item# 299
This record series consists of security checks for potential new hires and promotions. The checks may indude a background and
driver's license screening, reference check, and verification of academic standing. These files may indude notices of not being hired
based on the outcome of a secuity check and an opportunity for rebuttal. The supporting documentation consists of fingerprint cards,
copy of the driver's license, copy of the transcript release form, returned form reference letters, and other necessary information. See
also "APPLlCA TIONS: EMPLOYMENT (NOT HIRED)," "PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM," and/or
"PERSONNEL RECORDS: NON-FLORIDA RETIREMENT SYSTEM."
RETENTION:
a) Record copy. 2 years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SIGNATURE AUTHORIZATION RECORDS Item# 300
This record series consists offorms which authorize an individual to sign purchase orders, credit cards, paychecks, to accept packages,
or to complete other types of agency business. These records are updated as deemed necessary by the agency.
RETENTION:
a) Record copy. 1 fiscal year after obsolete or superseded.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SOCIAL SECURIlY CONTROLLED SUMMARY RECORDS Item# 144
This record series consists of an agency's copy of the State's FICA report. The report lists the total taxable wages plus the amount
withheld from employee wages plus employer's contribution. See also "PAYROLL RECORDS: DEDUCTION AUTHORIZATIONS,"
and/or "PAYROLL RECORDS: REGISTERS (POSTED)."
RETENTION:
a) Record copy. 4 calendar years after due date of tax provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SUBDIVISION PLANS: PRELIMINARY (SUPPORTING DOCUMENTS) Item# 301
This record series consists of construction plans/drawings for proposed and approved subdivisions, which were submitted by the
developer to the Planning Department. The plans/drawings are reviewed by the Development Review Committee (DRC) to ensure
compliance with codes and ordinances. Any proposed construction involving state right-of -way is also reviewed by the Department of
Transportation. The plans/drawings may depict conceptual as well as precise measured information essential for the planning and
construction of subdivisions. It also includes, but is not limited to: Master Plan; Water Distribution; Site Topography; Drainage Plan;
Standard Water Details; Road Construction Details; Sign Details; and Control Maps. The construction plans/drawings also contain the
legal description for the proposed subdivision.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SURVEILLANCE VIDEO TAPES Item# 302
This record series consists of surveillance video tapes created to monitor activities occurring both within and outside of public buildings.
The agency should create an internal management policy deciding which images should be retained for further investigation. This tape
may play an integral part in prosecution or disciplinary actions.
RETENTION:
a) Record copy. 30 days.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SURVEYS: AERIAL Item# 303
This record series consists of aerial survey records, which include, but are not limited to, negatives, prints and other supporting
documentation.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
SURVEYS/ STUDIES: INTERNAL Item# 30
This record series consists of raw data and work papers for any survey conducted to study management issues such as
c1ienVpatron/employee satisfaction and service improvement. The data may include survey response cards, the results of telephone
polls, tally sheets, opinion cards for suggestion boxes, and other records related to the study of operations. This does not include a
consultant report. The final computation of the data is produced as a survey report and may be
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Records Management Plan
scheduled either as part of "Feasibility Study Records," or "Operational and Statistical Report Records: Office," depending on the
nature and depth of the survey/study.
RETENTION:
a) Record copy. 1 calendar year after final data or report released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TAX EXEMPTIONS: AD VALOREM (ECONOMIC DEVELOPMENT) Item#
304
This record series consists of DR Form 418 exemptions for Ad Valorem Taxes on economic development proposals and plans.
RETENTION:
a) Record copy. 4 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TELEPHONE CALL RECORDS: LONG DISTANCE Item# 28
This record series consists of documentation and logs of long distance calls or fax's, which are recorded to reconcile with long distance
telephone bills/service. The series does not include telephone message books/records.
RETENTION:
a) Record copy. 1 fiscal year provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TOURIST DEVELOPMENT TAX RECORDS ltem# 305
This record series consists of any documents relating to the collection of the levy that is imposed by counties on persons who rent,
lease or let for consideration and living quarters or accommodations in any motel, apartment motel, apartment
hotel, resort motel, apartment rooming house, mobile home park, recreational vehicle park or condominium for a term of six (6) months
or less. Refertos. 95.091 ands. 125.0104, F.S. for more information.
RETENTION:
a) Record copy. 7 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TRAFFIC ACCIDENT REPORTS/INDEX Item# 306
This record series consists of copies of traffic accident reports provided by law enforcement to the city/county engineering department.
These reports are used for studies in determining when a traffic light, stop sign, caution light, or other type device should be placed at
an intersection, street or other type roadway. The information may also be indexed and maintained in the agency's computer system for
providing information to citizens or other agencies regarding the number of accidents at a particular intersection, street, etc. over a
specified period of time. The index may include, but is not limited to, the road and street name, the number of accidents for a particular
street, and other related information.
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TRAINING MATERIAL RECORDS Item# 147
This record series consists of materials used in training, such as films, slides, commentaries, manuals, workbooks and other related
items. The record series does not include individual training records. Check with applicable training agencies (i.e. state and federal
agencies, etc.) for these retention requirements. See also "TRAINING RECORDS."
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TRAINING RECORDS Item# 148
This record series consists of a record for each employee in the departmenVagency, which may include all educational and training
records of the employee. The series includes: OSHA required blood bome pathogen training records, Right- To-Know training,
equipment usage, sensitivity/multicultural training, continuing education, tuition assistance and in-house training records. See also
"PERSONNEL RECORDS: FLORIDA RETIREMENT SYSTEM," and/or "PERSONNEL RECORDS: NON-FLORID/\ RETIREMENT
SYSTEM."
RETENTION:
a) Record copy. 3 fiscal years after completion of training.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Records Management Plan
TRAINING RECORDS: ASBESTOS Item# 307
This record series coosists of the dates, contents of the asbestos training program, summary data, the trainer's name and qualifications,
and the names and job titles of all persons attending the training. Refer to 29 CFR 1910.1001(m).
RETENTION:
a) Record copy. 1 year after termination, retirement, or separation of employment.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TRAINING RECORDS: BREATH ALCOHOL Item# 308
This record series consists of the documentation related to the education and training of breath alcohol technicians (BAT), screening
test technicians, supervisors, and drivers in the regulations, rights, and responsibilities of the Federal Department of Transportation's
controlled substances and alcohol use and testing program as defined in 49 CFR 382 and 40. The documentation may include, but is
not limited to: certification that any training conducted under this part complies with federal requirements, certification of compliance with
49 CFR 382.601 including the driver's signed receipt for educational materials, copies of employer's policies regarding alcohol and
controlled substance misuse. In addition, this documentation should demonstrate that supervisors were educated on determining the
need for testing based 00 reasonable suspicion. Refer to 49 CFR 382.401. and 49 CFR 40.83.
RETENTION:
a) Record copy. 2 years after ceasing to perform those functions which required training.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
TRANSITORY MESSAGES Item# 146
This record series consists of those records created primarily for the communication of information, as opposed to communications
designed for the perpetuation of knowledge. Transitory messages do not set policy, establish guidelines or procedures, certify a
transaction, or become a receipt. The informal tone of transitory messages might be compared to the communication that might take
place during a telephone conversation or a conversation in an office
hallway. Transitory messages would include, but are not limited to: 6-mail messages with short-lived, or no administrative value, voice
mail, self-sticking notes, and telephone messages.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
UNCLAIMED PROPERTY RECORDS Item# 309
This record series consists of the forms required by the State Comptroller's Office for the registration of unclaimed or abandoned
tangible or intangible property held by another public agency. These forms are required by s. 717.1311(1), F.S. The agency holding
the unclaimed or abandoned property is required to maintain a list of the specific type of property, amount, name, and last known
address of the owner.
RETENTION:
a) Record copy. 5 calendar years after the property becomes reportable.
b) Duplicate. Retain until obsolete, superseded, or administrative value is lost
UNEMPLOYMENT COMPENSATION RECORDS ltem# 149
This record series consists of reports submitted to the State on a quarteny basis stating name of each employee, employee number,
amount of wages paid during the quarter subject to unemployment benefits, social security number, number of weeks covered, and
other pertinent information which is retained by the State for determination of unemployment benefits due to applicants for same. It also
includes receipts and statements of charges.
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
UTILITY CUSTOMER RECORDS ltem# 170
This record series consists of individual account records, meter cards and readings, payment receipts and deposit records for utility
services. See also "ACCOUNTS PAYABLE! RECEIVABLE SUMMARY RECORDS," and/or "ACCOUNTS RECEIVABLE RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
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Records Management Plan
VEHICLE MAINTENANCE! USAGE RECORDS Itern# 53
This record series consists of, but is not limited to, all records/logs/activity pertaining to vehicle maintenance and usage for gas, tires,
repairs, fuel reports, vehicle usage activity, etc. used for agency cars. See also 'VEHICLE RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
VEHICLE RECORDS ltern# 154
This record series consists of all records pertaining to each vehicle owned by the agency. The series includes the vehicle registration
papers, title, contracts, warranties, inspection information, maintenance agreements, credit card information, confidential tag issuance
information and any other documentation relating to the vehicle. See also 'VEHICLE MAINTENANCE! USAGE RECORDS."
RETENTION:
a) Record copy. 1 year after disposition of vehicle provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
VERIFICATION RECORDS: ATTENDANCE! EMPLOYMENT/ ENROLLMENT Itern# 243
This record series consists of written replies created in respo nse to requests made to public agencies for verification of employment at
an agency or of enrollmenVattendance at an educational institution. The record series may also apply to logs that are created in order
to record the number of telephone inquiries for such verification and responses that are made verbally over the telephone.
RETENTION:
a) Record copy. 90 days.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
W-2 FORMS Item# 157
This record series consists of information reported from employer to employee concerning total wages paid during previous year. The
information includes name, address, social security number, gross income, amount of federal tax and social security withheld. The
retention period for the record copy was established pursuant to Section 26 CFR
31.6001-1(2). See also 'W-4 FORMS," 'W9 FORMS," "941-E FORMS," "1096 REPORTS," "1099 FORMS," and/or "1099 REPORTS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
W-4 FORMS Item# 158
This record series consists of information reported from employee to employer conceming dependent deductions claimed. The
information includes name, address, social security number, marital status, and number of dependents claimed. The retention period for
the record copy was established pursuant to Section 26 CFR 31.6001-1 (2). See also 'W-2 FORMS,'''W9 FORMS," "941-E FORMS,"
"1096 REPORTS," "1099 FORMS," and/or "1099 REPORTS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
W-9 FORMS Itern# 178
This record series consists of the information used in creating the 1099 report that is given to the customer and the Internal Revenue
Service (IRS). The customer certifies backup withholding status and reporting number. See also 'W2 FORMS," "W4 FORMS," "941-E
FORMS," "1096 REPORTS," "1099 FORMS," and/or "1099 REPORTS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
WORK ORDERS ltern# 141
This record series consists of information reflecting the individual history of major or minor maintenance or services requiring a work
. order request. Work order includes dates, locations, cost of labor, hours worked, equipment cost per hour, material used and cost, and
pertinent details. This item does not include equipment maintenance records. See also "EQUIPMENT t\..1I\INTENANCE! USAGE
RECORDS."
RETENTION:
a) Record copy. 3 fiscal years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Page 34
WORKERS' COMPENSATION RECORDS Itern# 55
This record series consists of the first report of injury and the employer's supplemental reports including, if used, OSHA Form No. 200
as well as its predecessor forms NO.1 00 and 102 and OSHA Form NO.1 01. These records are created pursuant to s. 440.09, F.S. and
OSHA standards 1904.2, 1904.4, and 1904.5. See also "INJURY RECORDS."
RETENTION:
a) Record copy. 5 calendar years.
@ Florida League of Cities, Inc.
All rights reserved.
Page 144 .
August 16, 2004
.
.
.
-
... ... Fu=m,I.....\J:.arnrCtTD'~ISt:
Winter Springs, Florida
Records Management Plan
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
ZONING VARIANCE RECORDS Itern# 312
This record series consists of the zoning variance request, a copy of the final disposition and all other supporting documents such as
determining records for zoning variances.
RETENTION:
a) Record copy. Permanent.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
941-E FORMS Itern# 161
This record series consists of reports submitted to the Department of Treasury- Internal Revenue Service (IRS). See also 'W-2
FORMS," 'W-4 FORMS," 'W9 FORMS," "1096 REPORTS," "1099 FORMS," and/or "1099 REPORTS."
RETENTION:
a) Record copy. 4 calendar years provided applicable audits have been released.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
1096 REPORTS Itern# 314
This record series consists of the annual report an agency files with the Department of Treasury - Internal Revenue Service (IRS) for
previous year's interest income paid to recipients. See also 'W2 FORMS," 'W4 FORMS," 'W9 FORMS," "941-E FORMS," "1099
FORMS," "1099 REPORTS," and/or "1 09S-INT FORMS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
1099 FORMS . Item# 159
This record series consists of a form required to be filled out and sent to the Department of Treasury - Internal Revenue Service (IRS)
for an over collection of employer tax, under Section 31.01, C.F.R The retention period for the record copy is pursuant to Section 26
CFR 31.6001-1. See also 'W-2 FORMS," 'W-4 FORMS," "W-9 FORMS," "941-E FORMS," "1096 REPORTS," "1099 REPORTS,"
and/or "1 099-INT FORMS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
1099 REPORTS Itern# 160
This record series consists of the employer filing an annual report to the Department of Treasury- Internal Revenue Service (IRS) for
previous year's refund of employees. The retention period for the record copy was established pursuant to Section 26 CFR 31.6001-1.
See also 'W-2 FORMS," 'W-4 FORMS," 'W9 FORMS," "941-E FORMS," "1099 FORMS," and/or "1099-INT FORMS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
1099-INT FORMS Itern# 315
This record series consists of information reported from the agency to recipients concerning total interest income paid during the
previous year. The information includes name, address, recipient's identification of social security number and total interest income
paid to recipient. See also "1099 FORMS," and/or "1099 REPORTS."
RETENTION:
a) Record copy. 4 calendar years.
b) Duplicates. Retain until obsolete, superseded or administrative value is lost.
Page 35
@ Florida League of Cities, Inc.
All rights reserved.
Page 145
August 16,2004
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Winter Springs, Florida
Records Management Plan
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.8
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00 IOOl.LR:ntlWREOOPDS'RI:CEIPMI Rr
CHECI\lI: CNeCl!l.!l) 890.91.05~093. SFY 891 SfY 9
t1 111 0"12 "91 SFYA 11
'2 CM1lCI<.S: IItEGlSlatS 1m 3FtA "92 HV.... 0
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Winter Springs, Florida
Records Management Plan
State of Florida - Records Management Self-Evaluation Guide
State of Florida
RECORDS MANAGEMENT
SELF-EVALUATION GUIDE
Published September 1999
Division of Library and Information Services
Bureau of Archil.es and Records Management
The Capitol
Tallahassee, Florida 32399-0250
(850)487-2180 Suncom 277-2180
Introduction
The Bureau of Archives and Records Management developed this self-evaluation guide for
State and local governmental agencies to use as an overview ofthe basic components of a
records management program. Using this guide will assist agencies in making a preliminary
assessment of the status of their records management programs and in identifying major
problems and setting priorities for program improvements.
There are various publications available that provide additional details regarding records
creations, maintenance, and disposition policies and procedures. An order form is included.
The Bureau of Archives and Records Management provides professional assistance and
training to state and local government agencies in managing the records and information
required to take care of the business of government. The Bureau strives for a records
management program, which has a clear definition of program objectives, responsibilities,
and authorities. As public records and information managers, the staff makes every effort to
remain educated and informed so decisions are made intelligently and appropriately.
@ Florida League of Cities, Inc.
All rights reserved.
Page 161
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Winter Springs, Florida
Records Management Plan
Section I
Chapter 257(5)(a), Florida Statutes, identifies the term "agency" as meaning any state,
county, or municipal officer, department, division, bureau, board, commission, or other
separate unit of government created or established by law. Within the law, it is stated that it
is the duty of each agency to designate a records management liaison officer (RMLO). The
RMLO assists in establishing and maintaining an active and continuing records management
program within the agency.
Comply? Compliance Evidence
Guideline Yes/No
A. PROGRAM AUTHORIZA TION &
ORGANIZA TION
Your agency has formally designated a Records
Management Liaison Officer
(RMLO) for coordinating a records management
pro,gram.
Records management responsibilities are included
in the position description for the RMLO.
The agency RMLO routinely communicates with
the Bureau of Archives and
Records Management analysts.
Employees are informed of the identity and role of
the RMLO servin,g their offices.
The agency RMLO is involved in the transfer of
archival records to the Florida State Archives.
The agency RMLO participates in planning for
new electronic information systems and in major
modifications to existing systems to ensure
incorporation of record keeping requirements and
records disposition procedures.
The agency RMLO is involved in the
develoDment of micrographic applications,
The agency RMLO is involved in the
development of electronic record keeping systems,
includin,g procurement of computer equipment.
The agency RMLO is involved in the
development of document imaging systems.
@ Florida League of Cities, Inc,
All rights reserved.
Page 162
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i~f~ f'''':'m.t..'.......''rCntt...''''''_
Winter Springs, Florida
Records Management Plan
Comply? Compliance Evidence
Guideline YeslNo
B. GVIDANACE and TRAINING
The agency RMLO has received training in State
records management regulations, policies, and
procedures.
Agency RMLOs, secretaries, file clerks, and
others with regular records duties receive training
in records maintenance and filing procedures and
records disposition.
The agency RMLOs brief senior officials and
program administrators on the importance of
records management and records handling
responsibilities.
The State of Florida electronic records
regulations (Rule 18-26.003, F AC) and guidance
have been distributed to all employees who are
responsible for managing electronic information
and record keeping systems.
C. INTERNAL EV ALVA nONS
Internal evaluations are conducted by the agency
RMLO on a regular basis to ensure that all records
are scheduled and disposed of in a timely manner.
Records shall include paper documents as well as
electronic documents.
The agency RMLO periodically evaluates records
management practices
These evaluations include electronic records.
Written evaluation reports are prepared.
Evaluated offices are required to respond to the
evaluation reports promptly.
The agency RMLO follows up to determine if
offices implement necessary corrective action or
recommendations for improvements.
@ Florida League of Cities, Inc.
All rights reserved.
Page 163
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Winter Springs, Florida
Records Management Plan
Comply? Compliance Evidence
Guideline Y es/N 0
D. Creation of Records/Adequacy of
Documentation
The agency has provided guidance for all
employees on the definition of
State/local records and nonrecord materials,
including those created using office automation,
and the ways in which they must be mana!!ed.
Each agency has written guidance on what
records, including electronic records, are to be
created and maintained and the format of the
official copv.
The agency has issued guidance and instructions
for documenting policies and decisions, especially
those arrived at orallv.
The agency has issued guidance on the record
status of working papers/files and drafts pursuant
to Chapter 119, Florida Statutes.
Agency procedures require creation of finding
aids such as captions and indexes to facilitate
access to individual files, including electronic files
or record items when appropriate.
@ Florida League of Cities, Inc.
All rights reserved.
Page 164
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Winter Springs, Florida
Records Management Plan
Section II - RECORDS MAINTENANCE
The proper management of records guarantees that complete records are maintained. There is also the guarantee
that records can be located when needed, when records and non-record materials and personal papers are
maintained separately and when the identification and retention of permanent records are simplified. The
benefits to be obtained from an effective records and information management program are many. Some of the
things records management can assist in doing are compliance with legal retention requirements, faster retrieval
of information, space savings, fewer lost or misfiled records, and a reduction of expenditures for records.
Special records require additional standards for maintenance.
Comply? Compliance Evidence
Guideline YesfNo
A. GENERAL
The agency has established standards and
procedures for classifying, indexing, filing, and
retrieving records and made them available to all
employees.
Access to all records, regardless of media, is
limited to authorized personnel.
Retention periods are clearly defined and
imolemented for each record series.
Permanent record series are identified and
maintained separately from records with shorter
retention periods.
The agency has established and Implemented
regulations or procedures for the storage of
securitv-c1assified and other restricted records.
Comply? Compliance Evidence
Guideline YesfNo
B. PAPER-BASED RECORDS
Each agency has designated official file locations
(file stations)?
A file plan for each series of records maintained is
at each file station.
Each office has procedures for filing, charging
out, and refiling its records.
File drawers and folders are labeled correctly.
@ Florida League of Cities, Inc,
All rights reserved.
Page 165
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j~~j,l
&::.i..!I.!Il Fucm,I..t.:;v.ur.or(:""",,,.,Xl:
Winter Springs, Florida
Records Management Plan
Chapter IB-26.002], Florida Administrative Code, provides 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. Chapter] B-26.003, Florida Administrative Code
provides standards for public records, which have a retention value of more than ten years,
which will be recorded and stored on electronic media.
Comply? Compliance Evidence
Guideline YeslNo
C. ELECTRONIC RECORDS
Records within the agency electronic information
systems are readily identifiable.
Electronic recordkeeping systems that maintain
the official copy of text documents on electronic
media provide indexing or text search capabilit ies.
Electronic recordkeeping systems require user
identification codes or passwords to control access
and ensure integrity of the documents.
The agency regularly backs up electronic records
to safeguard against loss of information due to
equipment Imlfunction or human error.
The agency avoids the use of diskettes for the
exclusive long-term storage of permanent, long
term or unscheduled records.
The agency maintains complete and up-to-date
technical documentation for each electronic
infonnation system.
The agency safeguards and maintains all software
and hardware required to read electronic records
throughout their lives.
Procedural controls are in place for all electronic
recordkeeping systems (magnetic and imaging) to
protect the integrity of the records and their legal
admissibilitv under Florida law.
The agency has implemented a standard procedure
for extemallabeling of the contents of diskettes,
disks, and magnetic tape reels or cartridges.
All long term and permanent backup/security
electronic recording media are maintained in a
storage facility either on-site or off-site with
temoerature and humidity controls.
A statistical sample of all electronic media
containing long-term or permanent records is read
annually to identify any loss of information and to
discover and correct the cause of data loss.
Tapes used for permanent, long term and
unscheduled records are copied before they are 10
years old onto tested and verified new tapes.
@ Florida League of Cities, Inc.
All rights reserved.
Page 166
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;~1t~
'\;-,. F..n::t[lnl.J:.\.r.lJr.nrCnt7~I~_
Winter Springs, Florida
Records Management Plan
Magnetic Media
Comply? Com plianceEvidence
Guideline YeslNo
Magnetic media containing permanent, long term
or unscheduled records are stored under
recommended temperature and humidity
conditions, and the media is protected from
potential exposure to magnetic fields.
Agency employees using personal computers have
received training and guidance in determining
record status of documents that they create with
office automation applications.
The agency implemented procedures for
maintaining State records created using personal
computers in an official file (hard copy or
electronic recordkeeping system).
All agency staff who use computers have been
trained in procedures to avoid the unintentional
loss of records, including techniques for backing
UP files and for handling diskettes.
Optical Imaging Systems
Comply? Compliance Evidence
Guideline YeslNo
Optical imaging systems used to store permanent
or long term records meet
State transfer requirements.
@ Florida League of Cities, Inc.
All rights reserved.
Page 167
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j~.,.~.
~ Fu=nn.\'..i'~\G1u::orCn'til.,I~
Winter Springs, Florida
Records Management Plan
Audiovisual Records
Comply? Compliance Evidence
Guideline Yes/No
Original and use copies of audiovisual records are
maintained separately.
Finding aids such as indexes, captions, lists of
captions, data sheets, shot lists, continuities,
review sheets, and catalogs (published or
unpublished) are maintained for all audiovisual
records.
Cross-references to closely related textual records
are maintained with audiovisual records.
The agency has instituted procedures to ensure
that information on permanent or long-term
magnetic sound or video media is not erased or
overwritten.
The agency retains original photographic images
created electronically (dis:1ital nhotollranhy).
The agency maintains originals of permanent,
long term or unscheduled photographs scanned
into electronic format.
The agency stores permanent audiovisual records;
particularly color films and photographs in
environmentally controlled snace.
CARTOGRAPHIC AND ARCHITECTURAL RECORDS
Comply? Compliance Evidence
Guideline Yes/No
Maps and drawings are stored flat in shallow-
drawer map cases rather than folded or rolled.
Permanent and long-term maps and drawings are
stored in acid-free folders.
Large, heavy atlases and other bound volumes of
maps or drawings are stored flat, preferably on
roller shelves to facilitate moving them without
damage.
Adequate finding aids such, as indexes exist for
cartographic and architectural records.
Cross-references for closely related textual
records are maintained with cartographic and
architectural records.
@ Florida League of Cities, Inc.
All rights reserved,
Page 168
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~ f~l.tJ:n[nl.JJ.:.\r..lfr.Of'~f"",-I~".
Winter Springs, Florida
. Records Management Plan
MICROGRAPHIC RECORDS
Com ply? Compliance Evidence
Guideline YeslNo
Records on microfilm are arranged and indexed to
permit ready retrieval of individual documents.
Microfilms contain a title header or initial target
oage that identifies the records.
Boxes containing microfilm are individually
labeled with the record series and date span of the
records, and they are sequentially numbered.
Permanent records are filmed separately from
records with shorter retention periods.
Silver gelatin and nonsilver microfilm are filed
separately.
Silver gelatin master microfilm of permanent or
long term records are inspected every 2 years
while these records are in storage.
Section III
RECORDS DISPOSITION
The records disposition program enables agencies to dispose ofrecords that are no longer
needed so that only those active records needed for current business are maintained in costly
office space. Under records schedule provisions, agencies may destroy specified records,
transfer eligible records to records centers or storage areas, or transfer permanent records to
the Bureau of Archives and Records Management. The Bureau of Archives and Records
Management issues General Records Schedules (GS) for records common to most agencies.
Because these schedules provide disposition requirements, agencies do not have to schedule
those records individually, unless a variation from the GS disposition standard is needed.
Agencies may request authority to establish a disposition standard different from that in the
OS by submitting Form 105, Records Retention Schedule. However, agencies must schedule
all other records they create or receive which are not found in the OS. Records schedules for
state agencies, local government agencies and various other agencies records, must be
approved by the Bureau of Archives and Records Management before implementation, and
once approved, they are mandatory.
@ Florida League of Cities, Inc,
All rights reserved.
Page 169
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Winter Springs, Florida
Records Management Plan
RECORDS DISPOSITION SCHEDULE DEVELOPMENT
Comply? Compliance Evidence
Guideline Yes/No
Records schedules are based on inventories.
Inventories are updated periodically to reflect new
records series or electronic information systems,
changes in recordkeeping practices, or changes in
programs resulting from legislative or regulatory
chane:es.
Records schedules contain a clear and complete
description of records series that reflects the
content and arrangement of the files.
Schedules contain a clear and concise description
of electronic recordkeeping systems that reflects
the purpose, content, sources of information, and
outouts.
Disposition instructions include provisions for
cutoff, instructions for retiring appropriate hard
copy records to storage facilities, and specific
retention periods before final disposition of all
records, as well as instructions for transferal of
records to the Florida State Archives.
Agency program officials review proposed
records schedules relating to their offices or
functions.
Proposed schedules for records are reviewed by
the agency's Office of the General Counsel.
The agency has distributed all pertinent
information containing records disposition
policies and procedures as well as the Bureau of
Archives and Records Management approved
ae:ency records schedules.
Records disposition reviews are periodically
conducted to identify new records series and
information systems that should be scheduled and
changes in recordkeeping practices that require
records schedule revision.
@ Florida League of Cities, Inc.
All rights reserved.
Page 170
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"l.t'&. fUl:lallli IA~U'..ur. nrCnU'''-Isr.,.
Winter Springs, Florida
Records Management Plan
RECORDS DISPOSITION SCHEDULE IMPLEMENTATION
Comply? Compliance Evidence
Guideline Yes/No
The agency RMLO monitors implementation of
the records schedule, both in headquarters and
field facilities.
The agency RMLO provides copies of all
approved records schedules to all relevant offices,
both in headquarters and in the field.
Records are destroyed only in accordance with
approved records schedules.
File custodians take prompt action to cut off files,
destroy records whose retention periods have
expired, and retire eligible records to a records
center in accordance with schedule provisions.
Section IV
VITAL RECORDS
The vital records program is intended to assist agencies in identifying and
protecting those records essential to continuing their operations under other
than normal business conditions.
Comply? Compliance Evidence
Guideline Y eslN 0
The agency has assessed potential risks to the
agency's records.
The agency has established a vital records
program specifying the responsibilities of various
agency officials.
The agency has designated a vital records
manager, which can be the RMLO, to coordinate
the orogram.
The agency identified its vital records, i.e., its
emergency operating records and legal and
financial records.
The agency periodically reviews its vital records
plan and updates it as necessary.
Special media records, such as electronic or
microfilm records, designated as vital records,
provision have been made for access to the
equipment needed to use the records in case of
emergenc\' .
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Appendix 8 - Imaging Software Survey
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Winter Springs, Florida
Records Management Plan
II'~----'------ --- ------ ,'_____,1 U!I s<ll"ll <?~,s~-eLo:T'agl!'9 ,s 9ftv.ra-r'T -. _ __ __'----. _ _____ _ _ _ ___ _ ___" _j
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-._~_' !~I--..;.;_B_';.t~~:~.._IIl'-B~....;~.h.--..-iAdvt'\~~ed r,oc:ening S. Imeging i; ~I;~~ie.w -- -~_.. "'-' -.---.--...-....-
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I 22 jl1911rY Counly iMC'C'i 1 !L_9,'Fi",he
,.., IHYfllllllnll lMc:c:1 h a:-;I:....lt:I..:
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I ~!,.~.!burg_ -f--- ____ ---------i--- N.()~______, looking ot L09..rrich.e ____ ___
[20 : LOllgboat "<;9)' I I NOlle :
..1'1 .MlIrhUI C'UHtly I I I )1I1.1Irrlllu....,. ,
_:'~'2_ M!!.~'1_~::!l~I!!!Y,_:r~_l";nl!..R.:.:~_._IM~t~!i~-'!lr~"!!.':'.I)_?l'cqt'.:'r!l~., !!)!',---._..L-_ .~~t.~~~.. .___.__,.........______ _..___ .____.__...____..__
!~~~~i~m!._.._, i Lou.ric:hoe. : 1"',1 ot ,p.!2jeC:ltl , M~Y'ot'1l offic.., c:lty....!~r!<.."__.".___...._..
I.. ~t~=:::,___i:==:==-'""_"""''- __ l~;r:;~~ __!UU'UOU"U"~~CC'("'."'u;;..:~U'"")
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Winter Springs, Florida
Records Management Plan
Jurisdiction Survey of Imaging Software
.--i~u'kdl"".~l' ~-~.~!P_"""___ I ~ ~ 1- ..,'w.o. I;..,;;,...", .="~r.;;-:;"',(;.":~"'D"'---- ...
37 ;North r'ort ,I ,Image One lso,utions. Oldsmar, FI
r:?,8 ;O~kla"d PMk I r--rFil& Magic [Roel)l"dng with l.,";;;:;:lch.------
L2..~--.!.Q~~I~____._____!~!'..~nceo:tfLal_~y~'ef'!l...L______L,___ ..,ttiummif,l9bir(jo........_____J._.__...___ .."'_.',
I~; I~=:: :~~~~-- -- - ---I--!!::;~l;:: ------1- "---- --- -----1
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h';:,Y lI~.!~.. !Tuw", SUnW"!" ~_ITRIM cJ!.fJ~_+_______.._...____..._-____.__.._ ___.______.._o.__~_~
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1_l;:i.:,l_,W"~LJy)~!~l_!.l!!t!..~____ !M'(:aJ.!y.!L?'l.!.I.:.'!_'"_~ir!R_~l!!!~!_li!!1_l Ol!!!Yi"'~..!oQfJliSI'.y.L!.~_I_ ---- -.------ --:--1
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Records Management Plan
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Appendix C - Winter Springs Public Records Policy Resolution No. 2000-1
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Records Management Plan
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RESOLUTION NO, 2000-01
A RESOLUI'ION OF TIm CI1'Y COMMISSION OF nm CITV Olt'
WIN1'Im SPRINGS, nmtmA. ESfABIJSHING TIIE PUBLIC RECORDS
POLlCY OF THE CITY OF WlN'I'n SPRINGS; PROVIDING FOR
REPEAL OF ..lUOR INCONSISTENT RESOLUI'IONS OR MOTIONS;
PROVIDING FOR SEVERABILITV; AND l'ROVIDING FOR AN
EFFEC'lTVE DATE.
WlIEREAS. tile City Commlssion deems It is in !he best inu:n:sts of public health, safety.
and welfare: of the ciU7.tc1$ of Winu:r Springs to est:lblish a public: n:cords policy to provide the
public wi~i access to public records while at the same time safeguarding the public records 3lld
insuring !he orderfy t'unction of the City of Winter Springs. Florida.
NOW, TlIEREFORE. 11m FOLLOWING PUBLIC RECORD .POUCf IS
IlE.RE8Y ESTABUSllED BY 11IE CITY COMMISSION:
Section t, Establisbed - Publlt: R.ec:onls Polky of tile City of Winter Sp~. Florida.
A) mORT TITLE This rt:SOJurion and any amendments or roodifieations thereto
$ball be known and ciled :as "11le Public: Records Policy of the City of Winter Springs, 1<1orida."
.
B) APPLICATION This policy sball urnfonnly apply co all requestS for public
records made to the City and itS depanmenlS and personnel.
Co) ~S.E TheJlUf'POSe of this poliay is to comply with the.public.recordslaw of
the State off1orida and to $Ct forth policy IIl\d prooedutes .for providing publicaocessibi1ity to . public .
records while at tlu: same time safeguarding the public TCCOrdS from alteration, dnma,ge, theft. or
destn1ction.
D) POLlCY
It is the policy of the City orWintel' Springs that all public records, except those exempted
by law, sbaJ.lllt atl times be ope:n for persolUll inspeetion. c:xamina.tion, or oopying by any petWn in
accordance with Chapter It!). Florida Statutes and thc public records policy of the City of WllIter
Springs. The City will endeavor to prod~lce all public records requested regardlcss of the number
of doeuments involved or possible inconvenience 10 tbe City.
E) DEFINmOtfS
ascribed below:
The following words used herein shall have the meaning
1. "Actual Cost ofDuplie:llion" mcam the cost or tile material lIlId supplies used to
duplicate the public reoord, but does not il1dude lhe labor cost or overhead cost t\$Sociatcd wilh such
rage I of 8
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duplication.
2. "CustOdian" fI1ean$ any pct$OIl who IIllS $Upccvislon and control over 8 public record
or legll.1 responsibility for il$ C4n:, I(<<:ping or guordianship includins. but riot limited to. the City Cle:1'k
MId the department custOdian requj~ berein. .
J. .Public R.eeortls. means all documents. papers. letters. maps, books, tapes.
photographs. films, sound recordings. data processing soflware:. or other materials, regardless of'
physical fonn, characteristics, or means of ltansmlssion made or reeeiwd pursuanl to law or
ordilUlnCe or in connection with the transaction of official bU$ine.'iS by the City ofWinlcr Spring;s,
Il) GEN~RALCJJlDEL~
I. AD Custodians shall permit the inspection and examination of public records by aay
person desiring to do so, It any ll:.II.$OJloble time. under reasonable conditions, and under $Upervisicn
of tile Custodian of the public m:ord ar the Custodi:rn's desiguco,
.
(a) Reiuonable Time. A.rlllUtomaliodclay in pRKIueing public records sIuU.I not
be imposed before aJlowulg access to.public records. However, the Cu.~odian shall be allowed a
teilSol:Iable lime to retrieve tbe public records lItld delete those poltiolU of the record the Custodian
asserts lite ClCempllTom public rclIlOfds di:n::lowre. If satWYins the request immediately wou.Id unduly
interfere with the operation of lite department, ho~r, the Custodian willll1Tllllge a nultU8.lly
slIti.sfhctoty time for fulLfilling the request, This will vary (\CC<lrding to the cin:urnstanoes of the
request for public fC()()rds inclUdinli:. .but 110t Jimited to, thcnumbu,of records requested and
reviewed, the number of }'C8IS of public recon:b requested lUld reviewed. the depAltmenl', 6fin8
system, storage ofrecords, and My other 1iletaraffilctin.g the retrievallUld cOpying of pub lie record$.
Upon fCiCl'lest by an individuaJ or 11$ deemed appropriate by the Custodian, a written receipt may be
provided which will aclcnowlcdge the pulltic records roquest, the date end time of such request., end
the epproxil1tate date and time Ihe individual can piclc up the public reeotds requested,
(b) Ras;)l14ble Condltloll$. The Custodian shall neither prohibit the i.nspecttoo
and copying ofpubfic I'I:lCXIIds nor create burdensome ~ designed to preclude SUM inspoction
and copyina. Notwithstanding, the CwrtodUw wn. as circumstances dictate, take appropriate and
reasonable 5ICp3 that would permit the Custodian to protect public records &om aJterntion, dflmll8O,
theft or dc:rtnJc:.tion.
2. Cuslodillns $bould be familiar with die foUow!ng'requiremenu, of the Florida Public"
Rtoords law w!ten II public record, request is mad.e to iCUpecl or copy II record and the Custodian
should advise the public of the ~ame wbcn appropriate:
(a) Individuals are not requited to identify themselves or make the request in
ell)' of Winrct 5ptia!;!l
Mltic Il<<ords ~ity
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person, ItI writing or My other particular format, nor give a f'ClI.SOn for SUcll request;
(b) Iltdividuals may not be denied 800C$$ to public re<:otds due to the lack of
specifics oCthe record they wi~b to inspect or Copy;
(e) Computeriz:od public records llfe l,tOyerned by the same rule as written
documents Md othet public records. Information stAffed on a computer is as much a public record
as a written page ora tabulation in a file $tored in alile cabinet.
(d) Custodians are not requirocl to verbally give out infOrmation contained in a
public rcoord. The Custodian's obligation is to provide acocss to. or copies of, the public records
being mquCSled.
(c) Cust<xlia.ns are IlDt requirtld to produce records in a ptllticulat Conn or format
as demanded by the requestor, nor taibrod to the requestor' $ specific needs. II a panicu!at form or..
format of 11 public record docs not exist because it is /'lOt ordinarily etellted. filed, produecd,
maintained, or wed in that form by the City, a Custodian is not required. upon request, to create that
public record in suclI form Of fannal.
.
(1) If any attorney f'lXjlle$t$ to inspect or copy public reconfl; re8llrdin.g a pending
.Iawsuit which the City it: a party, the City Attorney shall Ix: promptly contacted and advised of the
request, The City AttQ~ wiU dctennine tlte City's response to the request.
(g) A special serviGe chargl; Of fee may not be imposed for the mere inspcc:rion and.
examination of public nx:ol'lb by f11e gooeraI public unless the nature or volume of the public recordJ
to be inspccto:l is such lIS to require extensive USiC of information technology resources or extensive
clerical or supervisory &llslstatl.ee, A4 set forth in .section r of this public records policy, a ~
servi~ ebarge or fee sbalJ be required when extensive use of information technology resources or
extensive clerical or supervisory assistance is n::quircd to locate, review for confidential infonnation,
copy and re.-file n::que.stod public records,
(h) Custodians should advise those i.ndividual.~ requcstin,g oopie.s of public f'CCQrds
. that may be copyrightod that copying such records may be subject to fedetnJ copyright laws and
penalties.
3. IIa public records request is lnsuJIiaentlQ idcntiJYdie record" sought, the Custodian shall
prOtnptly flOril)' the requt.'itOr that more infonnation is nccdod in order to produce the records.
G) J>ES[GNA1"EQ~STODIA~S
I. The City Oerie is hereby designated the supervisor of publicrec:ords tbr the City of Winter
Springs. To that extent, the City Clerk sban have fulllluthority to m81Ulge and coordinate the
Cityol'Whuer Spnn/:ll
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ins~on and copying of public rtlCOrds requested by Ihe general public con.c;istent witb this Policy,
The City Clerk shall be the Custodian of public roooAls genemed and received by the Mayor and Cicy
Commission and insol'aras practicable, the CusLOdian of vital, pcnnnnent, or archival recol'ds of the
City.
2. Each department <fired<< of/he City is hereby designated Ol5todil1t\ of public records for
their n:spective dep8ltmenu ami the director may designate l1t\ assistanl within their department for
purposes ofimplcmenting this Policy. The Cuaodiati will be responsible ror handling. in c:oordinatioQ
with, IlIld at the direction of, the City Cleft, requests for public rcoords which are relevant to the
depaltmeot. whether the request is mnde directly to the dqllttmellt, to Ihe CtCY Clerk, or any other
City persolUlel.
H) PROCF:omU:
I. All requests to i.nspcct 8.lId copy public records shnll be managed by, and coordinated
through, the City Ocrlc in a.ecordance wiIh this public rooords policy. The Cily Clerk will create and
maintaiJlll public CCCOTd's log for noting requesu made for public rcoords. the date llJtd time of tho '
requC$t, the wonnation requested, the date and time the r(lQucst was completod. fees and special
service c::l:wgcs (if any), and any othet infol1llttion deemed pertinent by the City Cleric to efficiently
manage public records rcquCSl$.
.
2. ShoUld any pel'$Oll request publie recxmls directly &om any department (other lhan the City
Clerk and the Police and Fire Departments), the department's Custodian sha1J promptly notify the
City Clerk of the request. ~ Oty Clerk will immediately log the request and coordinate with the
department's ~ and My other depaltnleDt wbidl may !lave a public record being ,requested.
the retrieval and/or copying of the publie records. "'he Cicy Clerk llJtd the department's Custod.ian
will ensurc that the Inspection and oopying of the publie reeords request Iw been completed and
ddi~ to the requestor.
J. Should MY person request public ceco.tds dircc:tly from the Police or Fire department. and
the public records 8l'Q on file with the police or fire department, tile dep4rtment's Custodian 5hall
batldle the request for public records. Public records not on file with the fire or police department.
sbalJ be cool\iinatcd with, and hand1ed by, the at)' aerie. The police and tire departments shall ead1
keep a pubaic nlClOJ'd's log of n:quom made to the department in a fonn provided by the City Cleric.
Copies of the log dWl be provided to the City Clerk for trackiJlg pwpoSCS.
4, The City Cleric shall handle all requests for public records on file with the City Cleric.
5. Should the City Clertc receive 4 ~uest Cor public records which are 1101 on file with the
City CIrdc. the City Clerk shall forward said request to cbe alfCcted department and the department's
Custodiat1 shall be rapoasibte for rwieving Mdlor copying the public records and forwarding them
to the City Clen: in accordarIQC with this public reoords policy.
Clly~Winl<< Springs
Pubtic RcooI\U Polley
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6. To the ex.tent fcasibkl Md in ordor to 8V()id di$lllpting the day-lo-day operations ot"City
business, the City Manager shall estllblish a des~ted (ICe.! or ll~ III City Hall, the Police
1)cpJ,llimcnt and File Station 24, for the purpose of ~rl':eulltding public records froHl ulteration,
damage, then, or destruction and nllowillg the genetal public the opportunity to inspect public
rcoords.
7. Should any person malting II requcst fur public records from any depanmc:nt oftbe City
fccl that the department has l'e$tricted Of circumvented their right to inspect public records, said
person shall make their request to the City Oed: for resolution.
8. '1111: MayorlCity Commission, City Mangtr, and Ciiy Attorney will be advised immcdij\tely
of any formal citizen or news media complaints and law$Uit$ filed againSt the City regtlrdjn~ a~
to public records.
1) EXEMpT AND ~EN1'IAL Rf.cORQS
1. f<lorida law provides that some pubUc records at c confidential and exempt from
public records <lisdoS\lte, It is the policy of the City of Winter Springs tbat exempt and oonfidential
public records shall not be disclosed to the public. All Custoilians shall lake rCllsonab(\l steps to
ensure thatexcmpt Btld confidential recoll1s are not improperly released to the publio
.
2, Any Custodiatt who has a question regarding whether a cc:rtain public record,
or ponion lhereoI; is c:.umpt or confidential should address the mattcr with their department dJrcotor.
If the department dinxtor can DOt determine whether the public record is exempt or confidential. the
City Clerk' should be contllctedto address the matter. If the Cil)' Clerk can not make such II
dctcrrilinarion. the City Attorney shall be contacted to determine whether II plJblic record sholJld be
declarcd by the City to be exenlpt from public records disclO$Ure or confidential. A record mem:d
to lhe City AltomI})' for revicw shall not be llUlde public until the City Attorney has made a final
determination of the legal questions presented. The City Attorney shall review all P'lblic rewrds
requc:sts which JlJ'C$ent a legal question as to whether a rct:()rd oontaUls infol'tnll.t.ion which is
con1identiaJ or exempt
J. If the Custodian wens that a record. or part ofa recoro, is exempt from
public records disclosure, the CWtOOian shall den)' the public records request and state to the
requestor the basis of the exemption which the Olstodillll believes is appli<:able to the record,
including the $l&lutoty eital.lon to the exemption. Additionally, upon request b)' the requestor, the
Custodian $baIl Sll1le in writing and wilh particularity the reasons for asserting the e7(emption and
denying the publio rccordstequesl.
4, If the C-\tstodlMl ISSettI that only II portion of a record is exempt or
COOfidelltiat, the Custodian sha.II det= or rcdac:t the exempt or confide:ttiaJ portion of tho rcc;.ord and
produce: thc l"lllTIlIinder of tlM: record which;$ not exempt or confidential. A Custodian may oomply
Cil)' of Winler Sprio;s
Public It~ I'I)lic:y
rage S of 8
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with this subsection by using llfIY reasonable tMthodwfUch maintains lIJId docs not destroy the
exempted portion while allowin8 public inspection of the nom::xempt portioll.
S. Any public r~rd rdatcdtoa ~ agency which contains infom\atiot\ that
is suspected of being confidential, and said record b deemed public: and open fOf inspection and
copying by Florida law. $ll(luld be elClllllined to detennitlc whether a federal statute (i.e. The Freedom
oflnfonnation Act, V.S.C. Section 5S2) requires the pal'ticular ioronnation to be exempt from public
di$CloS\lre.
J) I::tES
1.
Arry JlCIWIl n:xtucsting copies of public rcc:ords shall be charged a copying fee,
as follows:
(a) Fee for DupliClllion ofPllbllc Record~'
.
14 "x8-1f2" or le.ss . one sided
14"JC8..1f2" or less. two sided
II"ld7"
14-7i8"xll" (grccnbar,oomputer)
Nl other printed copies
T llpeslI>iskl
(b) Crrtified lltlW'
In ~ddition to the'aCtuul cost of duplicatiOn, a $1.00 fee sltau be charged for each
certified copy of a public record,
SO.IS
SO.20
SO.2S
SO.25
Actual cost of duplication
Actual ClOst of duplication
(c) File for El'.1CMive Clerical or S~~(y As!ristanee'
If the: nature or volume of public records requested to be iNPCCled, ClClI.lIIined. or
copied is sueb as to require extensive use of in1bnnatiOtl technology rcsouCCC$ or e~c derical
or supavisory assiSWlCC by personnel ofthc dcpl1l1meftt. City Cletlc. or City Attorney involved, in
addilion to the a<;(UaJ cost of dUp!iealiOll. II spcciaI sc:nice chatge may be itnpOSOO. The Ilotua.l charge
shall be reasonable and based upon the labor CO$t.S nctual.Iy incurr~ or attributable to the City for tho
clerieat and supervisory 8Ssistll.m:c n:quired of such persOMc:l providing the service.
The amoont to be: charged shall n:Oec:t the actual hourly rote of the individual
pto\liding the $ervi~ In keeping with the City ofWmter Spring's commitment to provide open
1Ie<:ess to pubic records, there win be no spccial semcc ebargc for requests rcquirin,g thitty (30)
minutes or 1= in a.clullllabor. .However. whco a penon reQUCSlS public record, wtUch require more
than thirty nunutes in actual service to locate, review (or confidential in1bnmtion., eopyand rl>-fiIe
City of Wiater Sptins.1
Public RcconU Pbucy
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<..
\
;
~led public n:eords. the penon will be charged for all timc expended above thirty minutes.
Oased upon the lelt~h of lime estimated to provide the service 4I1d the cost of copying. a reasonable
deposIt Ilia}' be collected prior 10 the cost actually beins incun'Cd Monies collected exceeding the
actulll COSI of <lSsistllll<:e and copying soall be returned 10 the pef$On requesting the publk records.
2. Nothing hezeUl shall pr~t the Cily from providing &ex: copies of public records to
the news media. govetnment agencies, and public service chllritable groups fot purpo~ of
disseminating informatiM to the public, such lU, copies of City nCW$lenens, City Commission and
other City board agendas, and press releases.
K) DESTROCl'lON OJ? PUBLIC JU;L"'QW!S
Pursl18nt to the requin:menu of .section 119,041, ~'Iorida Statutes. the City Clerk shall
systematically dispose uf public records tlO ronger needed by the City, subject to the consent of the
records and infonnatiotl management program of the Division ofLibmry and Information Sct'\lices
of the Department ofStRte.
L) IU;(A TlONSKfP IO FLORID~ AND FEDF.RAI. PUQI,..,lC RF.cORQS J.A. W.$
.
Nuthing herein is mtended in anyway to conflict with or abro,gatc chapter 119, Florida
StatutC$, or any other applicable Horicfu orfedcraJ laws, In the event of any conflict between this
Policy and lI11yFlorida or fedemllaw, the con1lictins provision ofthc Florida or fedetallaw sbaU
prevail and apply.
Sediol1 ]... ReciWs. The foregoing rociuds ate fu:rcby fliIJy illCOtpOl'l\tcd berein by this reference
and arc deemed a material part of this Resolution.
~.n.1. RtpeaJ of Prior InCOD$UCeIlC Resolution, (IT MotiolU. AU resolutions and motions
or parts of resolutions and motions in conflict herewith are hereby repealed to the extent of the
conflict ,
~1Li. Sevtrubility. Ifan)' soctioll, subsection, scntenC\l. clause, phrase:, word, or portion
of this resolution is for any reason hdd invalid or unconstitutional b)' any court ot competent
jurisdietion, such portion shall be deemed 4 scpmte, distinct and independent provision and such
holding shall notllrrec1 the validity of the remaining portioil hercto,
City or Wiltla Sprin&B
f'ut!ti.. Records Polt;)'
P~ge 7 of 8
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S~tion S. Effective date:. This'Resolution shaJl become effective immediately upon adoption
by the City Councilor the City or Winter Springs, Florida.
ADOPTED this ~ day of Jll1IUllI)'. 2000 by the City Commission orthe City of Winrer
Springs.
PauIPartyka.~.yor
A Tl'EST:
~.L .~
ndrea Lore a t$, City Clerk
.
Ci\y or WIRier Sprillgl
"'blit Rroords Poliq
Page 8 of 8
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Appendix D - Florida Statutes and Department of State Policies
.
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Florida Statutes - Chapter 92 - Photographic or Electronic Copies
The 2003 Florida Statutes
Title VII
EVIDENCE
ChaDter 92
WITNESSES, RECORDS, AND DOCUMENTS
View Entire ChaDter
92.29 Photographic or electronic copieS.--Photographic reproductions or
reproductions through electronic record keeping 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.
.
History.--s. 1, ch. 20866,1941; s. 7, ch. 94-348.
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Department Of State - Electronic Mail Opinion
TO:
FROM:
DATE:
RE:
Department of State Memorandum
Office of the General Counsel
Jim Berberich, Bureau of Archives & Records Management
Donald L. Bell, General Counsel
November 9,1995
81-DS-L
Electronic Mail and Transitory Messages
Ch. 1B-24, F.A.C.; Ch.119, Fla. Stat. (1993); and 36 C.F.R. ~~
1220 et aI.(1995)
This is in response to your recent inquiry regarding electronic mail (e-mail).
BACKGROUND
Many state agencies, including the Department of State (DOS), are now capable of
sending and receiving e-mail. As the agency responsible for establishing record retention
standards, DOS has received numerous inquiries from other agencies and from the
public with regard to whether e-mail is subject to the retention requirements for public
records and. if so, howe-mail should be processed for retention. You have asked me to
address certain legal issues relating to this topic.
.
ISSUES
1. Are e-mail messages public records within the meaning of Chapter 119, Florida
Statutes?
2. If e-mail messages are public records, are they subject to DOS's existing record
retention requirements and standards?
3. If e-mail messages are public records, should DOS develop new rules for
administration of e-mail systems?
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SHORT ANSWER
Some e-mail messages are public records within the meaning of Chapter 119, Florida
Statutes; other messages are not. E-mail messages that are not public records need not
be retained. E-mail messages that are public records should be retained in accordance
with DOS rules. DOS's record retention standards are not based on the method by which
a record is created. Rather, retention periods are established based on the legal, fiscal,
administrative or historical value of the information contained in the records. Therefore,
the application of DOS retention periods would not change simply because a record is
transmitted electronically. For example, DOS schedules require the retention of certain
memoranda and correspondence for specified time periods. Transmitting such records
electronically would not alter the obligation to retain these records, nor would it alter their
corresponding retention periods.
.
In most instances, the existing schedules for retention of public records adequately
address issues that might arise relating to e-mail. However, in addition to retention
periods, DOS has often established rules and offered advice to agencies regarding such
matters as public access and retention and storage methods. Unless DOS dictates
specific methods for retention, e-mail messages that are public records may be stored
and retained by any means that assures safe maintenance and public accessibility
throughout the appropriate retention period. This could mean storage on a magnetic disk
or hard drive, or by printing the messages and filing them in a traditional filing system. We
recommend that DOS refrain from creating additional rules to specify retention methods.
The nature of e-mail and computer systems may vary greatly from one agency to the
next, and agencies should be free to make their own decisions regarding the most
suitable means of retention. However, given that there is some confusion on this subject,
DOS should consider whether e-mail is of such a unique nature that agencies would
benefit from additional guidance. Consistent with recent policy decisions that favor
agency discretion over rule-making, if you determine that DOS should offer some
additional guidance in these areas, we recommend that advisory information be made
available through non-rule guidelines.
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Finally, in reviewing recent legal developments relating to non-traditional communications
such as e-mail, we note that courts and other authorities have begun to recognize the
existence of "transitory" communications. Largely a by-product of the electronic age,
transitory messages have some administrative value. These messages are created
without any intention to perpetuate or formalize knowledge. They have only
communicative value which is lost as soon as the communication is received. Despite the
fact that they have only limited administrative value, transitory communications must be
considered public records under Florida law and must be treated as such.
DOS has recognized that requiring permission to dispose of certain records with limited
retention value would impose an unreasonable economic and administrative burden on
persons or entities that are subject to the public records law. Therefore, DOS has
permitted disposition of records that have an "obsolete, superseded, or administrative
value is lost" (OSA) retention schedule without further approval from DOS. DOS should
establish a new record series that covers "transitory messages" with a retention value of
OSA, just as it has done for record (Master) copies and duplicate records in Rule 18-
24.010(3), Florida Administrative Code.
.
DISCUSSION
Official business and non-business e-mail:
In examining its own use of e-mail, the Supreme Court of Florida has established that
official business e-mail transmissions must be treated just like any other type of official
communication," and that "official business communicated bye-mail transmissions is a
matter of public record." In re: Amendments to Rule of Judicial Administration 2.051 -
Public Access to Judicial Records, 651 So. 2d 1185 (Fla. 1995). However, the court has
also recognized that e-mail messages may include transmissions that are not official
business and which, consequently, are not public records." id. at 1187. Thus, the
Supreme Court has already given us some guidance in this area. Non-business e-mail
messages are not public records and need not be retained. id. All other e-mail messages
are public records.
Public policy and e-mail public records:
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In addressing retention requirements for public records transmitted bye-mail, we must
consider the underlying public policy considerations that cause us to require the retention
of public records, the reasons for using e-mail, and the natural inclinations of the people
who use e-mail systems. The underlying purpose for retaining public records is to assure
"agency policies, functions, transactions, and decisions are properly documented." 36
C.F.R. Part 1220 et al. (Electronic E-Mail Systems) (..E-Mail Comments"), Federal
Register On-line, Comment NO.8 at 44637. While retention requirements must serve this
basic function, failure to comply with record retention requirements may constitute a
criminal violation. ~ 119.02, Fla. Stat. (1993). Thus, we must be certain that we do not
impose unreasonable or unrealistic standards that might cause natural or unintentional
behavior to be characterized as unlawful.
.
In considering appropriate retention periods, DOS must also be cautious that it does not
have "a chilling effect that would limit the use and usefulness of e-mail." E-Mail
Comments, Comment NO.4 at 44636. Many users of e-mail believe that the "informal
nature of e-mail messages is the main attraction of the system." id. Many, if not most, e-
mail messages are "casual and routine communications similar to telephone
conversations." See General Letter No. 95-1, from Eunice G. DiBella, Connecticut Public
Records Administrator, E-Mail Guidelines for Public Officials (June 1, 1995) (hereinafter
"Connecticut E-Mail Policy"). The Supreme Court of Florida has noted that e-mail is often
used as a modern "substitute for telephonic and printed communications, as well as a
substitute for direct oral communications." In re: Amendments to Rule of Judicial
Administration 2.051, 651 So. 2d at 1186.
Experience in our office indicates that many e-mail messages consist of one or two lines
dashed off electronically because, at any given time, it may be the most expedient means
of communicating a simple message: "your meeting is at 2:00, don't be late"; "remember
to order a new copier cartridge this afternoon"; "please let me know when you will have
the project finished." These communications are the electronic equivalent of
communications that under different circumstances would take place verbally -- either by
telephone or directly. E-mail is used to substitute for a shout down the hallway when the
distance is too great to shout without disturbing others or when a shout would be
considered rude; for communicating with a colleague who may be temporarily
preoccupied; or, for dashing off a quick thought to someone before the thought escapes
our attention. In contrast to the traditional practice, which is to reduce important thoughts
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to writing, messages are often communicated bye-mail because they are of lesser
importance. Information of greater importance is formalized into letters or memoranda.
As noted, e-mail users are attracted to this form of communication due to expediency and
informality. E-Mail Comments, Comment No.4 at 44636. By unnecessarily imposing
rules that are designed for more formal records, we would "inappropriately formalize the
communications and, in this way, inhibit usage." id. We would also "place unreasonable
burdens on staff, would reduce productivity, and would destroy rapid communication, the
most important feature of e-mail." id.
.
"[E]-mail has a major role in the efficiency of communications." E-Mail Comments,
Comment No. 1 at 44635. We must exercise caution in applying our rules so as to avoid
destroying that efficiency. In modern society we have perfected the ability to generate
. huge amounts of information. We must be careful that we do not inhibit the public's ability
to access valuable information by immersing it in a sea of otherwise meaningless
information. If DOS rules are applied too stringently, then "too many e-mail messages
would be determined to be public records, . . . clogging. . . system[s] with unimportant
messages." E-Mail Comments, Comment NO.2 at 44635. See Endnote 1. That result
should be avoided.
Under DOS rules, retention periods for public records are based on the content of the
record, not on the method by which a record is transmitted. See generally, Fla. Admin.
Code Ch. 1 B-24. Current DOS rules allow for the disposition of records when the records
have lost their legal, fiscal, administrative or historical value. See Fla. Admin. Code R.
18-24.004(1); see, e.g., General Records Retention Schedule For State Agencies A-1,
February 1, 1993, Department of State, Division of Library and Information Services
("General Records Retention Schedule"). Consistent with that policy, the Supreme Court
of Florida has established a definition of "public records" that is based on the three basic
administrative purposes for which records are maintained. These purposes are the
perpetuation, communication or formalization of knowledge. Shevin v. Byron, et al., 379
So. 2d 633, 640 (Fla. 1980) ("a public record is any material prepared in connection with
official agency business which is intended to perpetuate, communicate or formalize
knowledge of some type.").
Public policy dictates that DOS protect public records with legal, fiscal, administrative or
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historical value from destruction while assuring, for all of the reasons described above,
that the use of e--mail and public access to e--mail are not inhibited by a policy that is
overly protective of records with little or no value.
Records not intended to perpetuate or formalize knowledge:
As previously noted, many e--mail messages are "not prepared in connection with official
agency business." Shevin, 379 So. 2d at 640. These messages do not fall within the
Florida Supreme Court's definition of public records and need not be retained. Other
messages are not intended to serve the administrative purposes of "perpetuating" or
"formalizing" knowledge. See id. Of the three types of value identified by the Supreme
Court of Florida, many e-mail messages seem to have only communicative value. In the
absence of an intention to perpetuate or formalize knowledge, these messages lose their
administrative value as soon as the communication takes place. Therefore, there is no
logical reason to retain an e-mail message that was created without an intention to
perpetuate or formalize knowledge. DOS's individual and general records schedules
should allow for the disposal of such messages as soon as they have been received.
.
Existing agency policies:
Some agencies have already begun to follow this approach. The University of Florida's
recently published Policy On Public Records Law and E-Mail ("UF Policy"), which
governs records created by University of Florida personnel, explains that most e--mail falls
within two categories: (1) "routine announcements and information including notices of
seminars or workshops, queries regarding processes or ideas and general information
regarding programs; reference files that are general-information files used in daily
functions of the administrative area; and meeting notices, minutes, statistical records,
reading files, and recipients' inter-department memoranda; and (2) general
correspondence, sender's inter-department memoranda, and most fiscal and budget
records." Consistent with DOS rules, the UF Policy allows for the disposal of items listed
in category (1) "as soon as their administrative purpose is served." Items included in
category (2) must be "retained for three fiscal years."
The policy goes on to note that "retention schedules are based on a record's
informational content, not its format. E-mail that falls into the category of 'retain until
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administrative purpose is served' may be deleted on a daily basis." The State of
Connecticut has recently established a policy for e-mail messages that calls for
messages of greater substance to be retained under existing guidelines. Other
messages, "including copies posted to several persons and casual and routine
communications similar to telephone conversations" are treated as "transitory non-record
communications." (See Connecticut E-mail Policy.) Under the Connecticut policy,
employees may delete these messages immediately without obtaining further approval.
.
Transitory e-mail messages under Florida law; recommendations:
While messages of the type described in the Connecticut rule cannot be considered
"non-records" under the definition established by the Supreme Court of Florida in Shevin,
such messages are "transitory." These messages have only communicative value, and
they lose that value upon receipt by the addressee. See Endnote 2. While e-mail
messages intended to formalize or perpetuate knowledge must be retained for the time
periods prescribed under current DOS rules, we should not require that records with only
communicative value be retained after that value is lost. Requiring further retention of
such records would be inconsistent with DOS policy that allows destruction of records
that can be characterized as "obsolete, superseded or administrative value is lost." It
would lead to the unnecessary retention of useless information, inhibit the use and
manageability of e-mail, and limit the public's ability to access useful public records.
For these reasons, DOS should amend its general and individual records schedules by
adding an additional record series called "transitory messages." This will allow agencies
to dispose of transitory e-mail messages and other transitory messages without further
authorization from DOS.
CONCLUSIONS
Your questions are answered in the order in which they were asked as follows:
1. Some e-mail messages are public records.
2. The disposition of e-mail messages that are public records is governed by existing
DOS rules.
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3. Retention periods for e-mail messages that contain traditional information such as
memoranda and correspondence are adequately covered by existing records
retention schedules. However, DOS should amend these schedules to facilitate the
disposition of transitory communications. DOS may also want to offer some form of
non-rule guidance to other agencies and the public with regard to methods of
retaining e-mail and providing public access. The UF Policy is attached as an
appendix to this opinion as an example of how guidelines might be made available to
agencies and the public without extensive rulemaking. See Endnote 3.
Our office proposes the following definition of "transitory messages" for your
review and consideration.
.
TRANSITORY MESSAGES (Item # 146)
This record series consists of those records that are created primarily for the
communication of information, as opposed to the perpetuation or formalization of
knowledge. 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.
RECOMMENDED RETENTION:
Retain until obsolete, superseded, or administrative value is lost.
ENDNOTES:
Endnote 1 - The comments to the Federal Rules also expressed concern that
stringent requirements could "violate the spirit and intent of the President's National
Performance Review initiative to streamline government and reduce regulations." E-
Mail Comments, Comment No.1 at 44635. In Florida, we are operationg under
similar directives from Secretary of State Mortham and the Florida Cabinet to
eliminate unnecessary rules and streamline those that remain.
Endnote 2 - In many instances where e-mail users wish to convey substantive
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information or other significant thoughts, they do so by attaching a document or
memorandum ("attachments") to an e-mail message. Where an e-mail user takes the
additional steps necessary to create an original document or memorandum and send
it as an attachment, there is a strong likelihood that the sender intended to
"formalize" or "perpetuate" knowledge. Thus, attachments are less likely to be
considered "transitory."
Endnote 3 - While the UF Policy generally offers good quidance, it does not reflect
the most recent revisions to the DOS rules. Therefore, the policy may be misleading
on some points.
.
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Florida Attorney General Opinion 85-87 Machine Readable Files as Public Records
Florida Attorney General
Advisory Legal Opinion
Number: AGO 85-87
Date: October 25, 1985
Subject: Machine readable files, public records
The Honorable George Firestone
Secretary of State
The Capitol
Tallahassee, Florida 32301
.
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
INTERMEDIATE 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 context, 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) 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 large computer installation or on the floppy disk of a personal computer or word
processor and their contents are rarely if ever reviewed by any person. By their nature,
.
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intermediate files do not lend themselves to the scheduling and dispositioning 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." For purposes of Ch. 119, F.S., s. 119.011 (1), supplies the following 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 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
.
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119.011 (1), is any material prepared in connection 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 constitute 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 prepa red 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 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,
.
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Jim Smith
Attorney General
Prepared by:
Kent L. Weissinger
Assistant Attorney General
.
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General Records - Transitory Messages Item 146 -Issued July 2001
GENERAL RECORDS SCHEDULE GS1-L FOR
LOCALGOVERNMENTAGEN~ES
Issue Date: July 2001
FLORIDA DEPARTMENT OF STATE
GENERAL SCHEDULE FOR LOCAL GOVERNMENTS GS1-L
TRANSITORY MESSAGES Item# 146 Page 33
.
This record series consists of those records created primarily for the communication of
information, as opposed to communications designed for the perpetuation of knowledge.
Transitory messages do not set policy, establish guidelines or procedures certify a transaction, or
become a receipt. The informal tone of transitory messages might be compared to the
communication that might take place during a telephone conversation or a conversation in an
office hallway. Transitory messages would include, but are not limited to: E-mail messages with
short-lived, or no administrative value, voice mail, self-sticking notes, and telephone messages.
RETENTION:
a) Record copy. Retain until obsolete, superseded or administrative value is lost.
b) Duplicates. Retain until obsolete, superseded or administrative value
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Department of State - Internet and E-Mail Usage
Department of State - Information Technology Operating Procedure
Number IT006 - Internet and E-mail Usage 5 January 2001
Department of State - Information Technology Operating Procedure
Purpose: The purpose of this procedure is to delineate acceptable uses of e-mail and the
Internet/Intranet by employees and other authorized users of the Florida Department of
State (DOS) Network Services.
Authority: Sections 282.318, 282.3055 and 282.75, F.S.
Scope: This policy applies to all DOS employees and all other authorized users of the
electronic mail infrastructure made available by the DOS, including the Internet and
Intranet with the exception of State Public Library patrons.
Procedures:
.
(1) The Internet/Intranet is to be used as a business tool for reasons that are necessary
for the accomplishment of an employee's job assignments.
(a) Files downloaded from the Internet must be thoroughly scanned by anti-viral
software maintained by the Central Computing Facility (CCF). This anti-viral
software is not to be disabled by the user.
(b) In accordance with departmental policy, executable files/software can only be
downloaded by individuals whose job descriptions include the testing of software.
(c) Accessing, sending, storing, or displaying sensitive materials including, but not
limited to, gambling or other illegal activities, sexually explicit materials, or
materials that include profane, obscene, or discriminatory content is prohibited.
(d) Data and files on the Internet must be considered copyrighted material and may
not be distributed or published in any form without the written permission of the
originator.
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(e) In addition to work-related access, employees may briefly visit non-sensitive
Internet sites during non-work time, such as break, lunch, or before or after work
hours. Example s of acceptable sites are those dealing with health matters,
weather, news, business topics, community activities, career advancement, and
personal enrichment. It is imperative that common sense be used in viewing norr
work related sites and they must not result in any additional cost to the
Department.
(2) E-mail is to be used for official state business which includes communications with other
state departments. governmental entities and private sector entities. Although the
Department does not prohibit a II personal use of e- mail, a common sense
approach should be applied.
.
(a) Acceptable personal use of e-mail is where the communication is brief, does not
interfere with work, does not subject the Department to any additional cost, and is
consistent with the requirements contained in this policy.
(b) Prohibited uses of e-mail include:
1. Non-state sponsored solicitations, including, but not limited to such things as
advertising the sale of property or other commercial activities;
2. Sending copies of documents in violation of copyright laws or licensing
agreements;
3. Sending messages prohibited or restricted by government security laws
or regulations or any other communication, which may adversely affect
the Department's ability to carry out its mission. Messages which may
reflect unfavorably on the Department or the State, or which may be
perceived as representing the Department's official position on any matter
when authority to disseminate such information has not been expressly
granted are also prohibited;
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4. Sending confidential or proprietary information or data to persons not
authorized to receive it, either within or outside DOS;
5. Sending content that may constitute sexual harassment or be considered
discriminatory, obscene, derogatory or excessi..ely personal, whether intended to
be serious or humorous;
6. Sending communications reflecting or containing chain letters; illegal activity;
harassment; sensitive information including but not limited to gambling, or
materials that include profane, obscene, or inappropriate language, or racial,
ethnic or other discriminatory content;
7. Sending material promoting political positions or actions.
.
(c) DOS does not intend to routinely monitor the contents of e-mail messages.
However, users should expect that electronic mail messages may be accessed by
authorized supervisors or System Administrators with or without the permission
of the employee.
(d) Any requests for access to the contents of e-mail in order to respond to legal process,
such as subpoenas and public records law requests, or for purposes involving litigation,
investigation or claim must be immediately brought to the attention of the General
Counsel's office.
(e) Individual users are responsible for keeping and archiving their own businessrelated
e-mail. Retention of these files is subject to Florida State laws.
(3) All e-mail accounts must be established, terminated or transferred with a Computer
Access Change form. These forms must be submitted to the CCF by a Bureau Chief
or other designate::l manager.
APPROVED:
Dave Mann
Assistant Secretary of State
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Chapter 119 - Public Records
119.01 General state policy on public records.--
(1) It is the policy of this state that all state, county, and municipal records shall
be open for personal inspection by any person.
(2) The Legislature finds that, given advancements in technology, providing
access to public records by remote electronic means is an additional method of
access that agencies should strive to provide to the extent feasible. If an agency
provides access to public records by remote electronic means, then such access
should be provided in the most cost-effective and efficient manner available to
the agency providing the information.
.
(3) The Legislature finds that providing access to public records is a duty of each
agency and that automation of public records must not erode the right of access
to those records. As each agency increases its use of and dependence on
electronic recordkeeping, each agency must ensure reasonable access to
records electronically maintained.
(4) Each agency shall establish a program for the disposal of records that do not
have sufficient legal, fiscal, administrative, or archival value in accordance with
retention schedules established by the records and information management
program of the Division of Library and Information Services of the Department of
State.
History.-5. 1, ch. 5942, 1909; RGS 424; CGL 490; 5.1, ch. 73-98; s. 2, ch. 75-225; 5. 2, ch. 83-
286; 5. 4, ch. 86-163; 55.1,5, ch. 95-296.
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119.011 Definitions. --For the purpose of this chapter:
(1) "Public records" means all documents, papers, letters, maps, books, tapes,
photographs, films, sound recordings, data processing software, or other
material, regardless of the physical form, characteristics, or means of
transmission, made or received pursuant to law or ordinance or in connection
with the transaction of official business by any agency.
(2) "Agency" means any state, county, district, authority, or municipal officer,
department, division, board, bureau, commission, or other separate unit of
government created or established by law including, for the purposes of this
chapter, the Commission on Ethics, the Public Service Commission, and the
Office of Public Counsel, and any other public or private agency, person,
partnership, corporation, or business entity acting on behalf of any public agency.
.
(3)(a) "Criminal intelligence information" means information with respect to an
identifiable person or group of persons collected by a criminal justice agency in
an effort to anticipate, prevent, or monitor possible criminal activity.
(b) "Criminal investigative information" means information with respect to an
identifiable person or group of persons compiled by a criminal justice agency in
the course of conducting a criminal investigation of a specific act or omission,
including, but not limited to, information derived from laboratory tests, reports of
investigators or informants, or any type of surveillance.
(c) "Criminal intelligence information" and "criminal investigative information"
shall not include:
1. The time, date, location, and nature of a reported crime.
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2. The name, sex, age, and address of a person arrested or of the victim of a
crime except as provided in s. 119.07(3)(f).
3. The time, date, and location of the incident and of the arrest.
4. The crime charged.
5. Documents given or required by law or agency rule to be given to the person
arrested, except as provided in s. 119.07(3)(f), and, except that the court in a
criminal case may order that certain information required by law or agency rule to
be given to the person arrested be maintained in a confidential manner and
exempt from the provisions of s. 119.07(1) until released at trial if it is found that
the release of such information would:
.
a. Be defamatory to the good name of a victim or witness or would jeopardize
the safety of such victim or witness; and
b. Impair the ability of a state attorney to locate or prosecute a codefendant.
6. Informations and indictments except as provided in s. 905.26.
(d) The word "active" shall have the following meaning:
1. Criminal intelligence information shall be considered "active" as long as it is
related to intelligence gathering conducted with a reasonable, good faith belief
that it will lead to detection of ongoing or reasonably anticipated criminal
activities.
2. Criminal investigative information shall be considered "active" as long as it is
related to an ongoing investigation which is continuing with a reasonable, good
faith anticipation of securing an arrest or prosecution in the foreseeable future.
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In addition, criminal intelligence and criminal investigative information shall be
considered "active" while such information is directly related to pending
prosecutions or appeals. The word "active" shall not apply to information in cases
which are barred from prosecution under the provisions of s. 775.15 or other
statute of limitation.
.
(4) "Criminal justice agency" means any law enforcement agency, court, or
prosecutor, The term also includes any other agency charged by law with
criminal law enforcement duties, or any agency having custody of criminal
intelligence information or criminal investigative information for the purpose of
assisting such law enforcement agencies in the conduct of active criminal
investigation or prosecution or for the purpose of litigating civil actions under the
Racketeer Influenced and Corrupt Organization Act, during the time that such
agencies are in possession of criminal intelligence information or criminal
investigative information pursuant to their criminal law enforcement duties. The
term also includes the Department of Corrections.
History.-s. 1, ch. 67-125; s. 2, ch. 73-98; s. 3, ch. 75-225; ss. 1,2, ch. 79-187; s. 8, ch. 85-53; s.
1, ch. 88-188; s. 5, ch. 93-404; s. 5, ch. 93-405; s. 5, ch. 95-207; s. 6, ch. 95-296; s. 10, ch. 95-
398; s. 40, ch. 96-406; s. 2, ch. 97-90.
119.0115 Videotapes and video signals; exemption from chapter.--Any
videotape or video signal which, under an agreement with an agency, is
produced, made, or received by, or is in the custody of, a federally licensed radio
or television station or its agent is exempt from this chapter.
History.-s. 1, ch. 80-1.
119.012 Records made public by public fund use.--If public funds are expended
by an agency defined in s. 119.011 (2) in payment of dues or membership
contributions to any person, corporation, foundation, trust, association, group, or
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other organization, then all the financial, business, and membership records
pertaining to the public agency from which or on whose behalf the payments are
made, of the person, corporation, foundation, trust, association, group, or
organization to whom such payments are made shall be public records and
subject to the provisions of s. 119.07.
History.-s. 3, ch. 75-225; s. 3, ch. 93-405.
119.02 Penalty.--A public officer who knowingly violates the provisions of s.
119,07(1) is subject to suspension and removal or impeachment and, in addition,
is guilty of a misdemeanor ofthe first degree, punishable as provided in s.
775.082 or s. 775.083.
History.-s. 2, ch. 5942,1909; RGS 425; CGL 491; s. 1, ch. 17173, 1935; CGL 1936 Supp.
7520(6); s. 73, ch. 71-136; s. 6, ch. 75-225; s. 4, ch. 84-298.
.
119.021 Custodian designated.--The elected or appointed state, county, or
municipal officer charged with the responsibility of maintaining the office having
public records, or his or her designee, shall be the custodian thereof.
History.-s. 2, ch. 67-125; s. 3, ch. 83-286; s. 753, ch. 95-147.
119.031 Keeping records in safe places; copying or repairing certified copies.-
Insofar as practicable, custodians of vital, permanent, or archival records shall
keep them in fireproof and waterproof safes, vaults, or rooms fitted with
noncombustible materials and in such arrangement as to be easily accessible for
convenient use. All public records should be kept in the buildings in which they
are ordinarily used. Record books should be copied or repaired, renovated, or
rebound if worn, mutilated, damaged, or difficult to read. Whenever any state,
county, or municipal records are in need of repair, restoration, or rebinding, the
head of such state agency, department, board, or commission, the board of
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county commissioners of such county, or the governing body of such municipality
may authorize that such records be removed from the building or office in which
such records are ordinarily kept for the length of time required to repair, restore,
or rebind them. Any public official who causes a record book to be copied shall
attest it and certify on oath that it is an accurate copy of the original book. The
copy shall then have the force and effect of the original.
History.-s. 3, ch. 67-125; s. 4, ch. 83-286.
119.041 Destruction of records regulated.--
(1) Every public official shall systematically dispose of records no longer needed,
subject to the consent of the records and information management program of
the Division of Library and Information Services of the Department of State in
accordance with s. 257.36.
.
(2) Agency orders that comprise final agency action and that must be indexed or
listed pursuant to s. 120.53 have continuing legal significance; therefore,
notwithstanding any other provision of this chapter or any provision of chapter
257, each agency shall permanently maintain records of such orders pursuant to
the applicable rules and guidelines of the Department of State.
History.-s. 4, ch. 67-125; SS. 10,35, ch. 69-106; s. 5, ch. 83-286; s. 5, ch. 86-163; s. 1, ch. 91-30;
s. 1, ch. 91-191; s. 17, ch. 96-410.
119.05 Disposition of records at end of official's term.--Whoever has the custody
of any public records shall, at the expiration of his or her term of office, deliver to
his or her successor or, if there be none, to the records and information
management program of the Division of Library and Information Services of the
Department of State all records, books, writings, letters, and documents kept or
received by him or her in the transaction of official business.
.
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History.-s. 5, ch. 67-125; ss. 10,35, ch. 69-106; s. 6, ch. 86-163; s. 754, ch. 95-147.
119.06 Demanding custody.-Whoever is entitled to the custody of public
records shall demand them from any person having illegal possession of them,
who shall forthwith deliver the same to him or her. Any person unlawfully
possessing public records shall upon demand of any person and within 10 days
deliver such records to their lawful custodian unless just cause exists for failing to
deliver such records.
History.-s. 6, ch. 67-125; s. 755, ch. 95-147.
119.07 Inspection, examination, and duplication of records; exemptions.--
.
(1 )(a) 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 the custodian's designee. The custodian shall furnish a copy or a
certified copy of the record upon payment of the fee prescribed by law or, if a fee
is not prescribed by law, for duplicated copies of not more than 14 inches by 8112
inches, upon payment of not more than 15 cents per one-sided copy, and for all
other copies, upon payment of the actual cost of duplication of the record. An
agency may charge no more than an additional 5 cents for each two-sided
duplicated copy. For purposes of this section, duplicated copies shall mean new
copies produced by duplicating, as defined in s. 283.30. The phrase "actual cost
of duplication" means the cost of the material and supplies used to duplicate the
record, but it does not include the labor cost or overhead cost associated with
such duplication. However, the charge for copies of county maps or aerial
photographs supplied by county constitutional officers may also include a
reasonable charge for the labor and overhead associated with their duplication.
Unless otherwise provided by law, the fees to be charged for duplication of public
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records shall be collected, deposited, and accounted for in the manner
prescribed for other operating funds of the agency. An agency may charge up to
$1 per copy for a certified copy of a public record.
.
(b) If the nature or volume of public records requested to be inspected,
examined, or copied pursuant to this subsection is such as to require extensive
use of information technology resources or extensive clerical or supervisory
assistance by personnel of the agency involved, or both, the agency may charge,
in addition to the actual cost of duplication, a special service charge, which shall
be reasonable and shall be based on the cost incurred for such extensive use of
information technology resources or the labor cost of the personnel providing the
service that is actually incurred by the agency or attributable to the agency for the
clerical and supervisory assistance required, or both. "Information technology
resources" means data processing hardware and software and services,
communications, supplies, personnel, facility resources, maintenance, and
training.
(c) When ballots are produced under this section for inspection or examination,
no persons other than the supervisor of elections or the supervisor's employees
shall touch the ballots. The supervisor of elections shall make a reasonable effort
to notify all candidates by telephone or otherwise of the time and place of the
inspection or examination. All such candidates, or their representatives, shall be
allowed to be present during the inspection or examination.
(2)(a) A person who has custody of a public record and who asserts that an
exemption provided in subsection (3) or in a general or special law applies to a
particular public record or part of such record shall delete or excise from the
record only that portion of the record with respect to which an exemption has
been asserted and validly applies, and such person shall produce the remainder
of such record for inspection and examination. If the person who has custody of a
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public record contends that the record or part of it is exempt from inspection and
examination, he or she shall state the basis of the exemption which he or she
contends is applicable to the record, including the statutory citation to an
exemption created or afforded by statute, and, if requested by the person
seeking the right under this subsection to inspect, examine, or copy the record,
he or she shall state in writing and with particularity the reasons for the
conclusion that the record is exempt.
.
(b) In any civil action in which an exemption to subsection (1) is asserted, if the
exemption is alleged to exist under or by virtue of paragraph (c), paragraph (d),
paragraph (e), paragraph (k), paragraph (I), or paragraph (0) of subsection (3),
the public record or part thereof in question shall be submitted to the court for an
inspection in camera. If an exemption is alleged to exist under or by virtue of
paragraph (b) of subsection (3), an inspection in camera will be discretionary with
the court. If the court finds that the asserted exemption is not applicable. it shall
order the public record or part thereof in question to be immediately produced for
inspection, examination, or copying as requested by the person seeking such
access.
(c) Even if an assertion is made by the custodian of a public record that a
requested record is not a public record subject to public inspection and
examination under subsection (1), the requested record shall, nevertheless, not
be disposed of for a period of 30 days after the date on which a written request
requesting the right to inspect, examine, or copy the record was served on or
otherwise made to the custodian of the record by the person seeking access to
the record. 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.
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(d) The absence of a civil action instituted for the purpose stated in paragraph
(c) will not relieve the custodian of the duty to maintain the record as a public
record if the record is in fact a public record subject to public inspection and
examination under subsection (1) and will not otherwise excuse or exonerate the
custodian from any unauthorized or unlawful disposition of such record.
(3)(a) Examination questions and answer sheets of examinations administered
by a governmental agency for the purpose of licensure, certification, or
employment are exempt from the provisions of subsection (1) and s. 24(a), Art. I
of the State Constitution. A person who has taken such an examination shall
have the right to review his or her own completed examination.
(b)1. Active criminal intelligence information and active criminal investigative
information are exempt from the provisions of subsection (1) and s. 24(a), Art. I
of the State Constitution.
.
2. A request of a law enforcement agency to inspect or copy a public record that
is in the custody of another agency, the custodian's response to the request, and
any information that would identify the public record that was requested by the
law enforcement agency or provided by the custodian are exempt from the
requirements of subsection (1) and s. 24(a), Art. I of the State Constitution,
during the period in which the information constitutes criminal intelligence
information or criminal investigative information that is active. This exemption is
remedial in nature, and it is the intent of the Legislature that the exemption be
applied to requests for information received before, on, or after the effective date
of this subparagraph. The law enforcement agency shall give notice to the
custodial agency when the criminal intelligence information or criminal
investigative information is no longer active, so that the custodian's response to
the request and information that would identify the public record requested are
available to the public. This subparagraph is subject to the Open Government
.
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Sunset Review Act of 1995 in accordance with s. 119.15 and shall stand
repealed October 2,2007, unless reviewed and saved from repeal through
reenactment by the Legislature.
(c) Any information revealing the identity of a confidential informant or a
confidential source is exempt from the provisions of subsection (1) and s. 24(a),
Art. I of the State Constitution.
.
(d) Any information revealing surveillance techniques or procedures or
personnel is exempt from the provisions of subsection (1) and s. 24(a), Art. I of
the State Constitution. Any comprehensive inventory of state and local law
enforcement resources compiled pursuant to part I, chapter 23, and any
comprehensive policies or plans compiled by a criminal justice agency pertaining
to the mobilization, deployment, or tactical operations involved in responding to
emergencies, as defined in s. 252,34(3), are exempt from the provisions of
subsection (1) and s. 24(a), Art. I of the State Constitution and unavailable for
inspection, except by personnel authorized by a state or local law enforcement
agency, the office of the Governor, the Department of Legal Affairs, the
Department of Law Enforcement, or the Department of Community Affairs as
having an official need for access to the inventory or comprehensive policies or
plans.
(e) Any information revealing undercover personnel of any criminal justice
agency is exempt from the provisions of subsection (1) and s. 24(a), Art. I of the
State Constitution.
(f)1. Any criminal intelligence information or criminal investigative information
including the photograph, name, address, or other fact or information which
reveals the identity of the victim of the crime of sexual battery as defined in
chapter 794; the identity of the victim of a lewd or lascivious offense committed
.
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upon or in the presence of a person less than 16 years of age, as defined in
chapter 800; or the identity of the victim of the crime of child abuse as defined by
chapter 827 and any criminal intelligence information or criminal investigative
information or other criminal record, including those portions of court records and
court proceedings, which may reveal the identity of a person who is a victim of
any sexual offense, including a sexual offense proscribed in chapter 794, chapter
800, or chapter 827, is exempt from the provisions of subsection (1) and s. 24(a),
Art. I of the State Constitution.
.
12. In addition to subparagraph 1., any criminal intelligence information or
criminal investigative information which is a photograph, videotape, or image of
any part of the body of the victim of a sexual offense prohibited under chapter
794, chapter 800, or chapter 827, regardless of whether the photograph,
videotape, or image identifies the victim, is confidential and exempt from
subsection (1) and s. 24(a), Art. I of the State Constitution. This exemption
applies to photographs, videotapes, or images held as criminal intelligence
information or criminal investigative information before, on, or after the effective
date of the exemption.
(g) Any criminal intelligence information or criminal investigative information
which reveals the personal assets of the victim of a crime, other than property
stolen or destroyed during the commission of the crime, is exempt from the
provisions of subsection (1) and s. 24(a), Art. I of the State Constitution.
(h) All criminal intelligence and criminal investigative information received by a
criminal justice agency prior to January 25, 1979, is exempt from the provisions
of subsection (1) and s. 24(a), Art. I of the State Constitution.
(i)1. The home addresses, telephone numbers, social security numbers, and
photographs of active or former law enforcement personnel, including
.
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.
correctional and correctional probation officers, personnel of the Department of
Children and Family Services whose duties include the investigation of abuse,
neglect, exploitation, fraud, theft, or other criminal activities, personnel of the
Department of Health whose duties are to support the investigation of child
abuse or neglect, and personnel of the Department of Revenue or local
governments whose responsibilities include revenue collection and enforcement
or child support enforcement; the home addresses, telephone numbers, social
security numbers, photographs, and places of employment of the spouses and
children of such personnel; and the names and locations of schools and day care
facilities attended by the children of such personnel are exempt from the
provisions of subsection (1). The home addresses, telephone numbers, and
photographs of firefighters certified in compliance with s. 633.35; the home
addresses, telephone numbers, photographs, and places of employment of the
spouses and children of such firefighters; and the names and locations of
schools and day care facilities attended by the children of such firefighters are
exempt from subsection (1). The home addresses and telephone numbers of
justices of the Supreme Court, district court of appeal judges, circuit court judges,
and county court judges; the home addresses, telephone numbers, and places of
employment of the spouses and children of justices and judges; and the names
and locations of schools and day care facilities attended by the children of
justices and judges are exempt from the provisions of subsection (1). The home
addresses, telephone numbers, social security numbers, and photographs of
current or former state attorneys, assistant state attorneys, statewide
prosecutors, or assistant statewide prosecutors; the home addresses, telephone
numbers, social security numbers, photographs, and places of employment of
the spouses and children of current or former state attorneys, assistant state
attorneys, statewide prosecutors, or assistant statewide prosecutors; and the
names and locations of schools and day care facilities attended by the children of
current or former state attorneys, assistant state attorneys, statewide
.
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prosecutors, or ass istant statewide prosecutors are exempt from subsection (1)
and s. 24(a), Art. I of the State Constitution.
.
2. The home addresses, telephone numbers, social security numbers, and
photographs of current or former human resource, labor relations, or employee
relations directors, assistant directors, managers, or assistant managers of any
local government agency or water management district whose duties include
hiring and firing employees, labor contract negotiation, administration, or other
personnel-related duties; the names, home addresses, telephone numbers,
social security numbers, photographs, and places of employment of the spouses
and children of such personnel; and the names and locations of schools and day
care facilities attended by the children of such personnel are exempt from
subsection (1) and s. 24(a), Art. I of the State Constitution. This subparagraph is
subject to the Open Government Sunset Review Act of 1995 in accordance with
s. 119.15, and shall stand repealed on October 2, 2006, unless reviewed and
saved from repeal through reenactment by the Legislature.
3. The home addresses, telephone numbers, social security numbers, and
photographs of current or former code enforcement officers; the names, home
addresses, telephone numbers, social security numbers, photographs, and
places of employment of the spouses and children of such persons; and the
names and locations of schools and day care facilities attended by the children of
such persons are exempt from subsection (1) and s. 24(a), Art. I of the State
Constitution. This subparagraph is subject to the Open Government Sunset
Review Act of 1995 in accordance with s. 119.15, and shall stand repealed on
October 2, 2006, unless reviewed and saved from repeal through reenactment by
the Legislature.
4. An agency that is the custodian of the personal information specified in
subparagraph 1., subparagraph 2., or subparagraph 3. and that is not the
.
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employer of the officer, employee, justice, judge, or other person specified in
subparagraph 1., subparagraph 2., or subparagraph 3. shall maintain the
confidentiality of the personal information only if the officer, employee, justice,
judge, other person, or employing agency of the designated employee submits a
written request for confidentiality to the custodial agency.
0) Any information provided to an agency of state government or to an agency of
a political subdivision of the state for the purpose of forming ridesharing
arrangements, which information reveals the identity of an individual who has
provided his or her name for ridesharing, as defined in s. 341.031, is exempt
from the provisions of subsection (1) and s. 24(a), Art. I of the State Constitution.
.
(k) Any information revealing the substance of a confession of a person arrested
is exempt from the provisions of subsection (1) and s. 24(a), Art. I of the State
Constitution, until such time as the criminal case is finally determined by
adjudication, dismissal, or other final disposition.
(1)1. A public record which was prepared by an agency attorney (including an
attorney employed or retained by the agency or employed or retained by another
public officer or agency to protect or represent the interests of the agency having
custody of the record) or prepared at the attorney's express direction, which
reflects a mental impression, conclusion, litigation strategy, or legal theory of the
attorney or the agency, and which was prepared exclusively for civil or criminal
litigation or for adversarial administrative proceedings, or which was prepared in
anticipation of imminent civil or criminal litigation or imminent adversarial
administrative proceedings, is exempt from the provisions of subsection (1) and
s. 24(a), Art. I of the State Constitution until the conclusion of the litigation or
adversarial administrative proceedings. For purposes of capital collateral
litigation as set forth in s. 27.7001, the Attorney General's office is entitled to
claim this exemption for those public records prepared for direct appeal as well
.
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as for all capital collateral litigation after direct appeal until execution of sentence
or imposition of a life sentence.
2. This exemption is not waived by the release of such public record to another
public employee or officer of the same agency or any person consulted by the
agency attorney. When asserting the right to withhold a public record pursuant to
this paragraph, the agency shall identify the potential parties to any such criminal
or civil litigation or adversarial administrative proceedings. If a court finds that the
document or other record has been improperly withheld under this paragraph, the
party seeking access to such document or record shall be awarded reasonable
attorney's fees and costs in addition to any other remedy ordered by the court.
.
(m) Sealed bids or proposals received by an agency pursuant to invitations to
bid or requests for proposals are exempt from the provisions of subsection (1)
and s. 24(a), Art. I of the State Constitution until such time as the agency
provides notice of a decision or intended decision pursuant to s. 120.57(3)(a) or
within 10 days after bid or proposal opening, whichever is earlier.
(n) When an agency of the executive branch of state government seeks to
acquire real property by purchase or through the exercise of the power of
eminent domain all appraisals, other reports relating to value, offers, and
counteroffers must be in writing and are exempt from the provisions of
subsection (1) and s. 24(a), Art. I of the State Constitution until execution of a
valid option contract or a written offer to sell that has been conditionally accepted
by the agency, at which time the exemption shall expire. The agency shall not
finally accept the offer for a period of 30 days in order to allow public review of
the transaction. The agency may give conditional acceptance to any option or
offer subject only to final acceptance by the agency after the 30-day review
period. If a valid option contract is not executed, or if a written offer to sell is not
conditionally accepted by the agency, then the exemption from the provisions of
.
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this chapter shall expire at the conclusion of the condemnation litigation of the
subject property. An agency of the executive branch may exempt title
information, including names and addresses of property owners whose property
is subject to acquisition by purchase or through the exercise of the power of
eminent domain, from the provisions of subsection (1) and s, 24(a), Art. I of the
State Constitution to the same extent as appraisals, other reports relating to
value, offers, and counteroffers. For the purpose of this paragraph, "option
contract" means an agreement of an agency of the executive branch of state
government to purchase real property subject to final agency approval. This
paragraph shall have no application to other exemptions from the provisions of
subsection (1) which are contained in other provisions of law and shall not be
construed to be an express or implied repeal thereof.
.
(0) Data processing software obtained by an agency under a licensing
agreement which prohibits its disclosure and which software is a trade secret, as
defined in s. 812.081, and agency-produced data processing software which is
sensitive are exempt from the provisions of subsection (1) and s, 24(a), Art. I of
the State Constitution. The designation of agency-produced software as sensitive
shall not prohibit an agency head from sharing or exchanging such software with
another public agency. As used in this paragraph:
1. "Data processing software" means the programs and routines used to employ
and control the capabilities of data processing hardware, including, but not
limited to, operating systems, compilers, assemblers, utilities, library routines,
maintenance routines, applications, and computer networking programs.
2. "Sensitive" means only those portions of data processing software, including
the specifications and documentation, used to:
.
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a. Collect, process, store, and retrieve information which is exempt from the
provisions of subsection (1);
b. Collect, process, store, and retrieve financial management information of the
agency, such as payroll and accounting records; or
c. Control and direct access authorizations and security measures for automated
systems.
.
(p) All complaints and other records in the custody of any unit of local
government which relate to a complaint of discrimination relating to race, color,
religion, sex, national origin, age, handicap, marital status, sale or rental of
housing, the provision of brokerage services, or the financing of housing are
exempt from the provisions of subsection (1) and s. 24(a), Art. I of the State
Constitution until a finding is made relating to probable cause, the investigation of
the complaint becomes inactive, or the complaint or other record is made part of
the official record of any hearing or court proceeding. This provision shall not
affect any function or activity of the Florida Commission on Human Relations.
Any state or federal agency which is authorized to have access to such
complaints or records by any provision of law shall be granted such access in the
furtherance of such agency's statutory duties, notwithstanding the provisions of
this section. This paragraph shall not be construed to modify or repeal any
special or local act.
(q) All complaints and other records in the custody of any agency in the
executive branch of state government which relate to a complaint of
discrimination relating to race, color, religion, sex, national origin, age, handicap,
or marital status in connection with hiring practices, position classifications,
salary, benefits, discipline, discharge, employee performance, evaluation, or
other related activities are exempt from the provisions of subsection (1) and s.
.
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24(a), Art. I of the State Constitution until a finding is made relating to probable
cause, the investigation of the complaint becomes inactive, or the complaint or
other record is made part of the official record of any hearing or court proceeding.
This provision shall not affect any function or activity of the Florida Commission
on Human Relations. Any state or federal agency which is authorized to have
access to such complaints or records by any provision of law shall be granted
such access in the furtherance of such agency's statutory duties, notwithstanding
the provisions of this section.
(r) All records supplied by a telecommunications company, as defined by s.
364.02, to a state or local governmental agency which contain the name,
address, and telephone number of subscribers are confidential and exempt from
the provisions of subsection (1) and s. 24(a), Art. I of the State Constitution.
.
(s)1. Any document that reveals the identity, home or employment telephone
number, home or employment address, or personal assets of the victim of a
crime and identifies that person as the victim of a crime, which document is
received by any agency that regularly receives information from or concerning
the victims of crime, is exempt from the provisions of subsection (1) and s, 24(a),
Art. I of the State Constitution. Any information not otherwise held confidential or
exempt from the provisions of subsection (1) which reveals the home or
employment telephone number, home or employment address, or personal
assets of a person who has been the victim of sexual battery, aggravated child
abuse, aggravated stalking, harassment, aggravated battery, or domestic
violence is exempt from the provisions of subsection (1) and s. 24(a), Art. I of the
State Constitution, upon written request by the victim, which must include official
verification that an applicable crime has occurred. Such information shall cease
to be exempt 5 years after the receipt of the written request. Any state or federal
agency that is authorized to have access to such documents by any provision of
.
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law shall be granted such access in the furtherance of such agency's statutory
duties, notwithstanding the provisions of this section.
.
2.a. Any information in a videotaped statement of a minor who is alleged to be or
who is a victim of sexual battery, lewd acts, or other sexual misconduct
proscribed in chapter 800 or in s. 794.011, s. 827.071, s. 847.012, s. 847.0125,
s. 847.013, s. 847.0133, or s. 847.0145, which reveals that minor's identity,
including, but not limited to, the minor's face; the minor's home, school, church,
or employment telephone number; the minor's home, school, church, or
employment address; the name of the minor's school, church, or place of
employment; or the personal assets of the minor; and which identifies that minor
as the victim of a crime described in this subparagraph, held by a law
enforcement agency, is confidential and exempt from subsection (1) and s. 24(a),
Art. I of the State Constitution. Any governmental agency that is authorized to
have access to such statements by any provision of law shall be granted such
access in the furtherance of the agency's statutory duties, notwithstanding the
provisions of this section.
b. A public employee or officer who has access to a videotaped statement of a
minor who is alleged to be or who is a victim of sexual battery, lewd acts, or other
sexual misconduct proscribed in chapter 800 or in s. 794.011, s. 827.071, s.
847.012, s. 847.0125, s. 847.013, s. 847.0133, or s. 847.0145, may not willfully
and knowingly disclose videotaped information that reveals the minor's identity to
a person who is not assisting in the investigation or prosecution of the alleged
offense or to any person other than the defendant, the defendant's attorney, or a
person specified in an order entered by the court having jurisdiction of the
alleged offense. A person who violates this provision commits a misdemeanor of
the first degree, punishable as provided in s. 775.082 or s. 775.083.
.
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(t) Any financial statement which an agency requires a prospective bidder to
submit in order to prequalify for bidding or for responding to a proposal for a road
or any other public works project is exempt from the provisions of subsection (1)
and s. 24(a), Art. I of the State Constitution.
(u) Where the alleged victim chooses not to file a complaint and requests that
records of the complaint remain confidential, all records relating to an allegation
of employment discrimination are confidential and exempt from the provisions of
subsection (1) and s. 24(a), Art. I of the State Constitution.
.
(v) Medical information pertaining to a prospective, current, or former officer or
employee of an agency which, if disclosed, would identify that officer or
employee is exempt from the provisions of subsection (1) and s. 24(a), Art. I of
the State Constitution. However, such information may be disclosed if the person
to whom the information pertains or the person's legal representative provides
written permission or pursuant to court order.
(w)1, If certified pursuant to subparagraph 2., an investigatory record of the
Chief Inspector General within the Executive Office of the Governor or of the
employee designated by an agency head as the agency inspector general under
s. 112.3189 is exempt from the provisions of subsection (1) and s. 24(a), Art. I of
the State Constitution until th e investigation ceases to be active, or a report
detailing the investigation is provided to the Governor or the agency head, or 60
days from the inception of the investigation for which the record was made or
received, whichever first occurs. Investigatory records are those records which
are related to the investigation of an alleged, specific act or omission or other
wrongdoing, with respect to an identifiable person or group of persons, based on
information compiled by the Chief Inspector General or by an agency inspector
general, as named under the provisions of s. 112.3189, in the course of an
.
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investigation. An investigation is active if it is continuing with a reasonable, good
faith anticipation of resolution and with reasonable dispatch.
2. The Governor, in the case of the Chief Inspector General, or agency head, in
the case of an employee designated as the agency inspector general under s.
112.3189, may certify such investigatory records require an exemption to protect
the integrity of the investigation or avoid unwarranted damage to an individual's
good name or reputation. The certification shall specify the nature and purpose of
the investigation and shall be kept with the exempt records and made public
when the records are made public.
3. The provisions of this paragraph do not apply to whistle-blower investigations
conducted pursuant to the provisions of ss. 112.3187, 112.3188, 112.3189, and
112.31895.
.
(x) The social security numbers of all current and former agency employees
which numbers are contained in agency employment records are exempt from
subsection (1) and exempt from s. 24(a), Art. I of the State Constitution. As used
in this paragraph, the term "agency" means an agency as defined in s. 119.011.
(y) The audit report of an internal auditor prepared for or on behalf of a unit of
local government becomes a public record when the audit becomes final. As
used in this paragraph, "unit of local government" means a county, municipality,
special district, local agency, authority, consolidated city-county government, or
any other local governmental body or public body corporate or politic authorized
or created by general or special law. An audit becomes final when the audit
report is presented to the unit of local government. Audit workpapers and notes
related to such audit report are confidential and exempt from the provisions of
subsection (1) and s. 24(a), Art. I of the State Constitution until the audit is
completed and the audit report becomes final.
.
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(z) Any data, record, or document used directly or solely by a municipally owned
utility to prepare and submit a bid relative to the sale, distribution, or use of any
service, commodity, or tangible personal property to any customer or prospective
customer shall be exempt from the provisions of subsection (1) and s. 24(a), Art.
I of the State Constitution. This exemption commences when a municipal utility
identifies in writing a specific bid to which it intends to respond. This exemption
no longer applies when the contract for sale, distribution, or use of the service,
commodity, or tangible personal property is executed, a decision is made not to
execute such contract, or the project is no longer under active consideration. The
exemption in this paragraph includes the bid documents actually furnished in
response to the request for bids. However, the exemption for the bid documents
submitted no longer applies after the bids are opened by the customer or
prospective customer.
.
(aa) Upon a request made in a form designated by the Department of Highway
Safety and Motor Vehicles, personal information contained in a motor vehicle
record that identifies the requester is exempt from subsection (1) and s. 24(a),
Art. I of the State Constitution except as provided in this paragraph. Personal
information includes, but is not limited to, the requester's social security number,
driver identification number, name, address, telephone number, and medical or
disability information. For purposes of this paragraph, personal information does
not include information relating to vehicular crashes, driving violations, and
driver's status. Such request may be made only by the person who is the subject
of the motor vehicle record. For purposes of this paragraph, "motor vehicle
record" means any record that pertains to a motor vehicle operator's permit,
motor vehicle title, motor vehicle registration, or identification card issued by the
Department of Highway Safety and Motor Vehicles. Personal information
contained in motor vehicle records exempted by an individual's request pursuant
.
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to this paragraph shall be released by the department for any of the following
uses:
1. For use in connection with matters of motor vehicle or driver safety and theft;
motor vehicle emissions; motor vehicle product alterations, recalls, or advisories;
performance monitoring of motor vehicles and dealers by motor vehicle
manufacturers; and removal of nonowner records from the original owner records
of motor vehicle manufacturers, to carry out the purposes of the Automobile
Information Disclosure Act, the Motor Vehicle Information and Cost Saving Act,
the National Traffic and Motor Vehicle Safety Act of 1966, the Anti-Car Theft Act
of 1992, and the Clean Air Act.
.
2. For use by any government agency, including any court or law enforcement
agency, in carrying out its functions, or any private person or entity acting on
behalf of a federal, state, or local agency in carrying out its functions.
3. For use in connection with matters of motor vehicle or driver safety and theft;
motor vehicle emissions; motor vehicle product alterations, recalls, or advisories;
performance monitoring of motor vehicles, motor vehicle parts, and dealers;
motor vehicle market research activities, including survey research; and removal
of nonowner records from the original owner records of motor vehicle
manufacturers.
4. For use in the normal course of business by a legitimate business or its
agents, employees, or contractors, but only:
a. To verify the accuracy of personal information submitted by the individual to
the business or its agents, employees, or contractors; and
b. If such information as so submitted is not correct or is no longer correct, to
obtain the correct information, but only for the purposes of preventing fraud by,
.
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pursuing legal remedies against, or recovering on a debt or security interest
against, the individual.
5. For use in connection with any civil, criminal, administrative, or arbitral
proceeding in any court or agency or before any self-regulatory body for:
a. Service of process by any certified process server, special process server, or
other person authorized to serve process in this state.
b. Investigation in anticipation of litigation by an attorney licensed to practice law
in this state or the agent of the attorney.
c. Investigation by any person in connection with any filed proceeding.
d. Execution or enforcement of judgments and orders.
.
e. Compliance with an order of any court.
6. For use in research activities and for use in producing statistical reports, so
long as the personal information is not published, redisClosed, or used to contact
individuals.
7. For use by any insurer or insurance support organization, or by a self-insured
entity, or its agents, employees, or contractors, in connection with claims
investigation activities, anti-fraud activities, rating, or underwriting.
8. For use in providing notice to the owners of towed or impounded vehicles.
9. For use by any licensed private investigative agency or licensed security
service for any purpose permitted under this paragraph. Personal information
obtained based on an exempt driver's record may not be provided to a client who
.
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cannot demonstrate a need based on a police report, court order, or a business
or personal relationship with the subject of the investigation.
10. For use by an employer or its agent or insurer to obtain or verify information
relating to a holder of a commercial driver's license that is required under the
Commercial Motor Vehicle Safety Act of 1986, 49 U.S.C. App. 2710 et seq.
11. For use in connection with the operation of private toll transportation
facilities.
12. For bulk distribution for surveys, marketing, or solicitations when the
department has implemented methods and procedures to ensure that:
a. Individuals are provided an opportunity, in a clear and conspicuous manner,
to prohibit such uses; and
.
b. The information will be used, rented, or sold solely for bulk distribution for
survey, marketing, and solicitations, and that surveys, marketing, and
solicitations will not be directed at those individuals who have timely requested
that they not be directed at them.
13. For any use if the requesting person demonstrates that he or she has
obtained the written consent of the person who is the subject of the motor vehicle
record.
14. For any other use specifically authorized by state law, if such use is related
to the operation of a motor vehicle or public safety.
Personal information exempted from public disclosure according to this
paragraph may be disclosed by the Department of Highway Safety and Motor
Vehicles to an individual, firm, corporation, or similar business entity whose
.
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.
primary business interest is to resell or redisclose the personal information to
persons who are authorized to receive such information. Prior to the
department's disclosure of personal information, such individual, firm,
corporation, or similar business entity must first enter into a contract with the
department regarding the care, custody, and control of the personal information
to ensure compliance with the federal Driver's Privacy Protection Act of 1994 and
applicable state laws. An authorized recipient of personal information contained
in a motor vehicle record, except a recipient under subparagraph 12., may
contract with the Department of Highway Safety and Motor Vehicles to resell or
redisclose the information for any use permitted under this paragraph. However,
only authorized recipients of personal information under subparagraph 12. may
resell or redisclose personal information pursuant to subparagraph 12. Any
authorized recipient who resells or rediscloses personal information shall
maintain, for a period of 5 years, records identifying each person or entity that
receives the personal information and the permitted purpose for which it will be
used. Such records shall be made available for inspection upon request by the
department. The department shall adopt rules to carry out the purposes of this
paragraph and the federal Driver's Privacy Protection Act of 1994, Title XXX,
Pub. L. NO.1 03-322. Rules adopted by the department shall provide for the
payment of applicable fees and, prior to the disclosure of personal information
pursuant to this paragraph, shall require the meeting of conditions by the
requesting person for the purposes of obtaini1g reasonable assurance
concerning the identity of such requesting person, and, to the extent required,
assurance that the use will be only as authorized or that the consent of the
person who is the subject of the personal information has been obtained. Such
conditions may include, but need not be limited to, the making and filing of a
written application in such form and containing such information and certification
requirements as the department requires.
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(bb) Medical history records and information related to health or property
insurance provided to the Department of Community Affairs, the Florida Housing
Finance Corporation, a county, a municipality, or a local housing finance agency
by an applicant for or a participant in a federal, state, or local housing assistance
program are confidential and exempt from the provisions of subsection (1) and s.
24(a), Art. I of the State Constitution. Governmental entities or their agents shall
have access to such confidential and exempt records and information for the
purpose of auditing federal, state, or local housing programs or housing
assistance programs. Such confidential and exempt records and information may
be used in any administrative or judicial proceeding, provided such records are
kept confidential and exempt unless otherwise ordered by a court.
.
(cc) All personal identifying information; bank account numbers; and debit,
charge, and credit card numbers contained in records relating to an individual's
personal health or eligibility for health -related services made or received by the
Department of Health or its service providers are confidential and exempt from
the provisions of subsection (1) and s. 24(a), Art. I of the State Constitution,
except as otherwise provided in this paragraph. Information made confidential
and exempt by this paragraph shall be disclosed:
1. With the express written consent of the individual or the individual's legally
authorized representative.
2. In a medical emergency, but only to the extent necessary to protect the health
or life of the individual.
3. By court order upon a showing of good cause.
4. To a health research entity, if the entity seeks the records or data pursuant to
a research protocol approved by the department, maintains the records or data in
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accordance with the approved protocol, and enters into a purchase and data -use
agreement with the department, the fee provisions of which are consistent with
paragraph (1 )(a). The department may deny a request for records or data if the
protocol provides for intrusive follow-back contacts, has not been approved by a
human studies institutional review board, does not plan for the destruction of
confidential records after the research is concluded, is administratively
burdensome, or does not have scientific merit. The agreement must restrict the
release of any information, which would permit the identification of persons, limit
the use of records or data to the approved research protocol, and prohibit any
other use of the records or data. Copies of records or data issued pursuant to
this subparagraph remain the property of the department.
.
This paragraph is subject to the Open Government Sunset Review Act of. 1995,
in accordance with s. 119.15, and shall stand repealed on October 2, 2006,
unless reviewed and saved from repeal through reenactment by the Legislature.
(dd) Bank account numbers and debit, charge, and credit card numbers held by
an agency are exempt from subsection (1) and s. 24(a), Art. I of the State
Constitution. This exemption applies to bank account numbers and debit, charge,
and credit card numbers held by an agency before, on, or after the effective date
of this exemption. This paragraph is subject to the Open Government Sunset
Review Act of 1995 in accordance with s. 119.15, and shall stand repealed on
October 2,2007, unless reviewed and saved from repeal through reenactment by
the Legislature.
(ee) Building plans, blueprints, schematic drawings, and diagrams, including
draft, preliminary, and final formats, which depict the internal layout and structural
elements of a building, arena, stadium, water treatment facility, or other structure
owned or operated by an agency as defined in s. 119.011 are exempt from the
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provisions of subsection (1) and s. 24(a), Art. I of the State Constitution. This
exemption applies to building plans, blueprints, schematic drawings, and
diagrams, including draft, preliminary, and final formats, which depict the internal
layout and structural elements of a building, arena, stadium, water treatment
facility, or other structure owned or operated by an agency before, on, or after the
effective date of this act. Information made exempt by this paragraph may be
disclosed to another governmental entity if disclosure is necessary for the
receiving entity to perform its duties and responsibilities; to a licensed architect,
engineer, or contractor who is performing work on or related to the building,
arena, stadium, water treatment facility, or other structure owned or operated by
an agency; or upon a showing of good cause before a court of competent
jurisdiction. The entities or persons receiving such information shall maintain the
exempt status of the information. This paragraph is subject to the Open
Government Sunset Review Act of 1995 in accordance with s. 119.15, and shall
stand repealed on October 2, 2007, unless reviewed and reenacted by the
Legislature.
(ff)1. Until January 1,2006, if a social security number, made confidential and
exempt pursuant to s. 119.0721, created pursuant to s. 1, ch. 2002-256, passed
during the 2002 regular legislative session, or a complete bank account, debit,
charge, or credit card number made exempt pursuant to paragraph (dd), created
pursuant to s. 1, ch. 2002-257, passed during the 2002 regular legislative
session, is or has been included in a court file, such number may be included as
part of the court record available for public inspection and copying unless
redaction is requested by the holder of such number, or by the holder's attorney
or legal guardian, in a signed, legibly written request specifying the case name,
case number, document heading, and page number. The request must be
delivered by mail, facsimile, electronic transmission, or in person to the clerk of
the court. The clerk of the court does not have a duty to inquire beyond the
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written request to verify the identity of a person requesting redaction. A fee may
not be charged for the redaction of a social security number or a bank account,
debit, charge, or credit card number pursuant to such request.
.
2. Any person who prepares or files a document to be recorded in the official
records by the county recorder as provided in chapter 28 may not include a
person's social security number or complete bank account, debit, charge, or
credit card number in that document unless otherwise expressly required by law.
Until January 1, 2006, if a social security number or a complete bank account,
debit, charge or credit card number is or has been included in a document
presented to the county recorder for recording in the official records of the
county, such number may be made available as part of the official record
available for public inspection and copying. Any person, or his or her attorney or
legal guardian, may request that a county recorder remove from an image or
copy of an official record placed on a county recorder's publicly available Internet
website, or a publicly available Internet website used by a county recorder to
display public records outside the office or otherwise made electronically
available outside the county recorder's office to the general public, his or her
social security number or complete account, debit, charge, or credit card number
contained in that official record. Such request must be legibly written, signed by
the requester, and delivered by mail, facsimile, electronic transmission, or in
person to the county recorder. The request must specify the identification page
number of the document that contains the number to be redacted. The county
recorder does not have a duty to inquire beyond the written request to verify the
identity of a person requesting redaction. A fee may not be charged for redacting
such numbers.
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3. Upon the effective date of this act, subsections (3) and (4) of s. 119.0721, do
not apply to the clerks of the court or the county recorder with respect to court
records and official records.
4. On January 1, 2006, and thereafter, the clerk of the court and the county
recorder must keep complete bank account, debit, charge, and credit card
numbers exempt as provided for in paragraph (dd), and must keep social security
numbers confidential and exempt as provided for in s. 119.0721, without any
person having to request redaction.
.
2(gg) All personal identifying information contained in records relating to a
person's health held by local governmental entities or their service providers for
the purpose of determining eligibility for paratransit services under Title" of the
Americans with Disabilities Act or eligibility for the transportation disadvantaged
program as provided in part I of chapter 427 is confidential and exempt from the
provisions of subsection (1) and s. 24(a), Art. I of the State Constitution, except
as otherwise provided herein. This exemption applies to personal identifying
information contained in such records held by local governmenta I entities or their
service providers before, on, or after the effective date of this exemption.
Information made confidential and exempt by this paragraph shall be disclosed:
1. With the express written consent of the individual or the individual's legally
authorized representative;
2. In a medical emergency, but only to the extent necessary to protect the health
or life of the individual;
3. By court order upon a showing of good cause; or
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4. For the purpose of determining eligibility for paratransit services if the
individual or the individual's legally authorized representative has filed an appeal
or petition before an administrative body of a local government or a court.
(4) Nothing in this section shall be construed to exemptfrom subsection (1) a
public record which was made a part of a court file and which is not specifically
closed by order of court, except as provided in paragraphs (c), (d), (e), (k), (I),
and (0) of subsection (3) and except information or records which may reveal the
identity of a person who is a victim of a sexual offense as provided in paragraph
(f) of subsection (3).
(5) An exemption from this section does not imply an exemption from or
exception to s. 286.011. The exemption from or exception to s. 286.011 must be
expressly provided.
.
(6) Nothing in subsection (3) or any other general or special law shall limit the
access of the Auditor General, the Office of Program Policy Analysis and
Government Accountability, or any state, county, municipal, university, board of
community college, school district, or special district internal auditor to public
records when such person states in writing that such records are needed for a
properly authorized audit, examination, or investigation. Such person shall
maintain the confidentiality of any public records that are confidential or exempt
from the provisions of subsection (1) and shall be subject to the same penalties
as the custodians of those public records for violating confidentiality.
(7)(a) Any person or organization, including the Department of Children and
Family Services, may petition the court for an order making public the records of
the Department of Children and Family Services that pertain to investigations of
alleged abuse, neglect, abandonment, or exploitation of a child or a vulnerable
adult. The court shall determine if good cause exists for public access to the
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records sought or a portion thereof. In making this determination, the court shall
balance the best interest of the vulnerable adult or child who is the focus of the
investigation, and in the case of the child, the interest of that child's siblings,
together with the privacy right of other persons identified in the reports against
the public interest. The public interest in access to such records is reflected in s.
119.01 (1), and includes the need for citizens to know of and adequately evaluate
the actions of the Department of Children and Family Services and the court
system in providing vulnerable adults and children of this state with the
protections enumerated in ss. 39.001 and 415.101. However, this subsection
does not contravene ss. 39.202 and 415.107, which protect the name of any
person reporting the abuse, neglect, or exploitation of a child or a vulnerable
adult.
.
(b) In cases involving serious bodily injury to a child or a vulnerable adult, the
Department of Children and Family Services may petition the court for an order
for the immediate public release of records of the department which pertain to the
protective investigation. The petition must be personally served upon the child or
vulnerable adult, the child's parents or guardian, the legal guardian of that
person, if any, and any person named as an alleged perpetrator in the report of
abuse, neglect, abandonment, or exploitation. The court must determine if good
cause exists for the public release of the records sought no later than 24 hours,
excluding Saturdays, Sundays, and legal holidays, after the date the department
filed the petition with the court. If the court has neither granted nor denied the
petition within the 24-hour time period, the department may release to the public
summary information including:
1. A confirmation that an investigation has been conducted concerning the
alleged victim.
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2. The dates and brief description of procedural activities undertaken during the
department's investigation.
3. The date of each judicial proceeding, a summary of each participant's
recommendations made at the judicial proceedings, and the rulings of the court.
.
The summary information may not include the name of, or other identifying
information with respect to, any person identified in any investigation. In making a
determination to release confidential information, the court shall balance the best
interests of the vulnerable adult or child who is the focus of the investigation and,
in the case of the child, the interests of that child's siblings, together with the
privacy rights of other persons identified in the reports against the public interest
for access to public records. However, this paragraph does not contravene ss,
39.202 and 415.107, which protect the name of any person reporting abuse,
neglect, or exploitation of a child or a vulnerable adult.
(c) When the court determines that good cause for public access exists, the
court shall direct that the department redact the name of and other identifying
information with respect to any person identified in any protective investigation
report until such time as the court finds that there is probable cause to believe
that the person identified committed an act of alleged abuse, neglect, or
abandonment.
(8) The provisions of this section are not intended to expand or limit the
provisions of Rule 3.220, Florida Rules of Criminal Procedure, regarding the right
and extent of discovery by the state or by a defendant in a criminal prosecution
or in collateral postconviction proceedings. This section may not be used by any
inmate as the basis for failing to timely litigate any postconviction action.
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.
History.-s. 7, ch. 67-125; s. 4, ch. 75-225; s. 2, ch. 77-60; s. 2, ch. 77-75; s. 2, ch. 77-94; s. 2, ch.
77-156; s. 2, ch. 78-81; ss. 2, 4,6, ch. 79-187; s. 2, ch. 80-273; s. 1, ch. 81-245; s. 1, ch. 82-95;
s. 36, ch. 82-243; s. 6, ch. 83-215; s. 2, ch. 83-269; s. 1, ch. 83-286; s. 5, ch. 84-298; s. 1, ch. 85-
18; s. 1, ch. 85-45; s. 1, ch. 85-73; s. 1, ch. 85-86; s. 7, ch. 85-152; s. 1, ch. 85-177; s. 4, ch. 85-
301; s. 2, ch. 86-11; s. 1, ch. 86-21; s. 1, ch. 86-109; s. 2, ch. 87-399; s. 2, ch. 88-188; s. 1, ch.
88-384; s. 1, ch. 89-29; s. 7, ch. 89-55; s. 1, ch. 89-80; s. 1, ch. 89-275; s. 2, ch. 89-283; s. 2, ch.
89-350; s. 1, ch. 89-531; s. 1, ch. 90-43; s. 63, ch. 90-136; s. 2, ch. 90-196; s. 4, ch. 90-211; s.
24, ch. 90-306; SS. 22, 26, ch. 90-344; s. 116, ch. 90-360; s. 78, ch. 91-45; s. 11, ch. 91-57; s. 1,
ch. 91-71; s. 1, ch. 91-96; s. 1, ch. 91-130; s. 1, ch. 91-149; s. 1, ch. 91-219; s. 1, ch. 91-288; SS.
43,45, ch. 92-58; s. 90, ch. 92-152; s. 59, ch. 92-289; s. 217, ch. 92-303; s. 1, ch. 93-87; s. 2, ch.
93-232; s. 3, ch. 93-404; s. 4, ch. 93-405; s. 4, ch. 94-73; s. 1, ch. 94-128; s. 3, ch. 94-130; s. 67,
ch. 94-164; s. 1, ch. 94-176; s. 1419, ch. 95-147; SS. 1,3, ch. 95-170; s. 4, ch. 95-207; s. 1, ch.
95-320; SS. 1,2,3,5,6,7,8,9,11,12,14,15,16,18,19,20,22,23,24, 25, 26, 29, 30, 31, 32,
33,34,35,36, ch. 95-398; s. 1, ch. 95-399; s. 121, ch. 95-418; s. 3, ch. 96-178; s. 1, ch. 96-230;
s. 5, ch. 96-268; s. 4, ch. 96-290; s. 41, ch. 96-406; s. 18, ch. 96-410; s. 1, ch. 97-185; s. 1, ch.
98-9; s. 7, ch. 98-137; s. 1, ch. 98-255; s. 1, ch. 98-259; s. 128, ch. 98-403; s. 2, ch. 99-201; s.
27, ch. 2000-164; s. 54, ch. 2000-349; s. 1, ch. 2001-87;s. 1, ch, 2001-108; s. 1, ch. 2001-249; s.
29, ch. 2001-261; s. 33, ch. 2001-266; s. 1, ch. 2001-364; s. 1, ch. 2002-67; ss. 1,3, ch. 2002-
257;s. 2, ch. 2002-391; s. 11, ch. 2003-1; s. 1, ch. 2003-100;ss. 1,2, ch. 2003-110; s. 1, ch.
2003-137; ss. 1,2, ch. 2003-157.
'Note. -Section 2, ch. 2003-157, provides that "[s]ubparagraph 2. of paragraph (f) of subsection
(3) of section 119.07, Florida Statutes, is subject to the Open Government Sunset Review Act of
1995 in accordance with s. 119.15, Florida Statutes, and shall stand repealed on October 2,
2008, unless reviewed and saved from repeal through reenactment by the Legislature."
2Note. -Section 2, ch. 2003-110, provides that "[p]aragraph (gg) of subsection (3) of section
119.07, Florida Statutes, is subject to the Open Government Sunset Review Act of 1995 in
accordance with s. 119.15, Florida Statutes, and shall stand repealed on October 2,2008, unless
reviewed and saved from repeal through reenactment by the Legislature."
Note. -Additional exemptions from the application of this section appear in the General Index to
the Florida Statutes under the heading "Public Records."
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119.071 General exemptions from inspection or copying of public records.-A
security system plan or portion thereof for:
(1) Any property owned by or leased to the state or any of its political
subdivisions; or
(2) Any privately owned or leased property
.
which plan or portion thereof is held by any agency, as defined in s. 119.011, is
confidential and exempt from the provisions of s. 119.07(1) and s. 24(a), Art. I of
the State Constitution. As used in this section, the term a "security system plan"
includes all records, information, photographs, audio and visual presentations,
schematic diagrams, surveys, recommendations, or consultations or portions
thereof relating directly to the physical security of the facility or revealing security
systems; threat assessments conducted by any agency as defined in s. 119.011
or any private entity; threat response plans; emergency evacuation plans;
sheltering arrangements; or manuals for security personnel, emergency
equipment, or security training. This exemption is remedial in nature and it is the
intent of the Legislature that this exemption be applied to security system plans
held by an agency before, on, or after the effective date of this section.
Information made confidential and exempt by this section may be disclosed by
the custodial agency to the property owner or leaseholder; or such information
may be disclosed by the custodial agency to another state or federal agency to
prevent, detect, guard against, respond to, investigate, or manage the
consequences of any attempted or actual act of terrorism, or to prosecute those
persons who are responsible for such attempts or acts, and the confidential and
exempt status of such information shall be retained while in the possession of the
receiving agency. This section is subject to the Open Government Sunset
Review Act of 1995, in accordance with s. 119.15, and shall stand repealed on
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October 2,2006, unless reviewed and saved from repeal through reenactment by
the Legislature.
History.-s. 1, ch. 2001-361; s. 1, ch. 2003-16.
119.072 Criminal intelligence or investigative information obtained from out-of-
state agencies.--Whenever criminal intelligence information or criminal
investigative information held by a non-Florida criminal justice agency is available
to a Florida criminal justice agency only on a confidential or similarly restricted
basis, the Florida criminal justice agency may obtain and use such information in
accordance with the conditions imposed by the providing agency.
History.-s. 3, ch. 79-187.
119.0721 Social security number exemption.--
.
(1) Effective October 1, 2002, all social security numbers held by an agency or
its agents, employees, or contractors are confidential and exempt from s.
119.07(1) and s. 24(a), Art. I of the State Constitution. This exemption applies to
all social security numbers held by an agency and its agents, employees, or
contractors before, on, or after the effective date of this exemption.
(2) Social security numbers may be disclosed to another governmental entity or
its agents, employees, or contractors if disclosure is necessary for the receiving
entity to perform its duties and responsibilities. The receiving governmental entity
and its agents, employees, and contractors shall maintain the confidential and
exempt status of such numbers.
(3) An agency shall not deny a commercial entity engaged in the performance of
a commercial activity as defined in s. 14.203 or its agents, employees, or
contractors access to social security numbers, provided the social security
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numbers will be used only in the normal course of business for legitimate
business purposes, and provided the commercial entity makes a written request
for social security numbers, verified as provided in s. 92.525, legibly signed by an
authorized officer, employee, or agent of the commercial entity. The verified
written request must contain the commercial entity's name, business mailing and
location addresses, business telephone number, and a statement of the specific
purposes for which it needs the socia I security numbers and how the social
security numbers will be used in the normal course of business for legitimate
business purposes. The aggregate of these requests shall serve as the basis for
the agency report required in subsection (7). An agency may request any other
information as may be reasonably necessary to verify the identity of the entity
requesting the social security numbers and the specific purposes for which such
numbers will be used; however, an agency has no duty to inquire beyond the
information contained in the verified written request. A legitimate business
purpose includes verification of the accuracy of personal information received by
a commercial entity in the normal course of its business; use in a civil, criminal,
or administrative proceeding; use for insurance purposes; use in law
enforcement and investigation of crimes; use in identifying and preventing fraud;
use in matching, verifying, or retrieving information; and use in research
activities. A legitimate business purpose does not include the display or bulk sale
of social security numbers to the general public or the distribution of such
numbers to any customer that is not identifiable by the distributor.
(4) Any person who makes a false representation in order to obtain a social
security number pursuant to this section, or any person who willfully and
knowingly violates the provisions of this section, commits a felony of the third
degree, punishable as provided in s. 775.082 or s. 775.083. Any public officer
who violates any provision of this section is guilty of a noncriminal infraction,
punishable by a fine not exceeding $500. A commercial entity that provides
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access to public records containing social security numbers in accordance with
this section is not subject to the penalty provisions of this subsection.
(5)(a) On or after October 1, 2002, no person preparing or filing a document to
be recorded in the official records by the county recorder as provided for in
chapter 28 may include any person's social security number in that document,
unless otherwise expressly required by law. If a social security number is or has
been included in a document presented to the county recorder for recording in
the official records of the county before, on, or after October 1, 2002, it may be
made available as part of the official record available for public inspection and
copying.
.
(b) Any person, or his or her attorney or legal guardian, has the right to request
that a county recorder remove, from an image or copy of an official record placed
on a county recorder's publicly available Internet website or a publicly available
Internet website used by a county recorder to display public records or otherwise
made electronically available to the general public by such recorder, his or her
social security number contained in that official record. Such request must be
made in writing, legibly signed by the requester and delivered by mail, facsimile,
or electronic transmission, or delivered in person, to the county recorder. The
request must specify the identification page number that contains the social
security number to be redacted. The county recorder shall have no duty to
inquire beyond the written request to verify the identity of a person requesting
redaction. No fee will be charged for the redaction of a social security number
pursuant to such request.
(c) A county recorder shall immediately and conspicuously post signs throughout
his or her offices for public viewing; shall immediately and conspicuously post a
notice on any Internet website or remote electronic site made available by the
county recorder and used for the ordering or display of official records or images
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or copies of official records; and shall, prior to October 1, 2002, publish on two
separate dates in a newspaper of general circulation in the county where the
county recorder's office is located as provided for in chapter 50, a notice, stating,
in substantially similar form, the following:
1. On or after October 1, 2002, any person preparing or filing a document for
recordation in the official records may not include a social security number in
such document, unless required by law.
.
2. Any person has a right to request a county recorder to remove, from an image
or copy of an official record placed on a county recorder's publicly available
Internet website or on a publicly available Internet website used by a county
recorder to display public records or otherwise made electronically available to
the general public, any social security number contained in an official record.
Such request must be made in writing and delivered by mail, facsimile, or
electronic transmission, or delivered in person, to the county recorder. The
request must specify the identification page number that contains the social
security number to be redacted. No fee will be charged for the redaction of a
social security number pursuant to such a request.
(6) Beginning January 31,2004, and each January 31 thereafter, every agency
must file a report with the Secretary of State, the President of the Senate, and
the Speaker of the House of Representatives listing the identity of all commercial
entities that have requested social security numbers during the preceding
calendar year and the specific purpose or purposes stated by each commercial
entity regardilg its need for social security numbers. If no disclosure requests
were made, the agency shall so indicate.
(7) The Legislature acknowledges that the social security number was never
intended to be used for business purposes but was intended to be used solely for
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the administration of the federal Social Security System. The Legislature is
further aware that over time this unique numeric identifier has been used
extensively for identity verification purposes and other legitimate consensual
purposes. The Legislature is also cognizant of the fact that the social security
number can be used as a tool to perpetuate fraud against a person and to
acquire sensitive personal, financial, medical, and familial information, the
release of which could cause great financial or personal harm to an individual.
The Legislature intends to monitor the commercial use of social security numbers
held by state agencies in order to maintain a balanced public policy.
.
(8) An agency shall not collect an individual's social security number unless
authorized by law to do so or unless the collection of the social security number
is otherwise imperative for the performance of that agency's duties and
responsibilities as prescribed by law. Social security numbers collected by an
agency must be relevant to the purpose for which collected and shall not be
collected until and unless the need for social security numbers has been clearly
documented. An agency that collects social security numbers shall also
segregate that number on a separate page from the rest of the record, or as
otherwise appropriate, in order that the social security number be more easily
redacted, if required, pursuant to a public records request. An agency collecting a
person's social security number shall, upon that person's request, at the time of
or prior to the actual collection of the social security number by that agency,
provide that person with a statement of the purpose or purposes for which the
social security number is being collected and used. Social security numbers
collected by an agency shall not be used by that agency for any purpose other
than the purpose stated. Social security numbers collected by an agency prior to
May 13, 2002, shall be reviewed for compliance with this subsection. If the
collection of a social security number prior to May 13, 2002, is found to be
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unwarranted, the agency shall immediately discontinue the collection of social
security numbers for that purpose.
(9) Any affected person may petition the circuit court for an order directing
compliance with this section.
(10) The provisions of this section do not supersede any other applicable public
records exemptions existing prior to May 13, 2002, or created thereafter.
(11) This section is subject to the Open Government Sunset Review Act of 1995
in accordance with s. 119.15, and shall stand repealed October 2,2007, unless
reviewed and saved from repeal through reenactment by the Legislature.
History.-s. 1, ch, 2002-256; s. 3, ch. 2002-391.
119.08 Photographing public records.--
.
(1 )(a) In all cases where the public or any person interested has a right to
inspect or take extracts or make copies from any public record, instruments or
documents, any person shall hereafter have the right of access to said records,
documents or instruments for the purpose of making photographs of the same
while in the possession, custody and control of the lawful custodian thereof, or
his or her authorized deputy.
(b) This section applies to the making of photographs in the conventional sense
by utilization of a camera device to capture images of documents, paper, books,
receipts, paper photographs, and other similar media and excludes the
duplication of microfilm in the possession of the clerk of the circuit court where a
copy of the microfilm may be made available by the clerk.
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(2) Such work shall be done under the supervision of the lawful custodian of the
said records, who shall have the right to adopt and enforce reasonable rules
governing the said work. Said work shall, where possible, be done in the room
where the said records, documents or instruments are by law kept, but if the
same in the judgment of the lawful custodian of the said records, documents or
instruments be impossible or impracticable, then the said work shall be done in
such other room or place as nearly adjacent to the room where the said records,
documents and instruments are kept as determined by the lawful custodian
thereof.
.
(3) Where the providing of another room or place is necessary, the expense of
providing the same shall be paid by the person desiring to photograph the said
records, instruments or documents. While the said work hereinbefore mentioned
is in progress, the lawful custodian of said records may charge the person
desiring to make the said photographs for the services of a deputy of the lawful
custodian of said records, documents or instruments to supervise the same, or
for the services of the said lawful custodian of the same in so doing at a rate of
compensation to be agreed upon by the person desiring to make the said
photographs and the custodian of the said records, documents or instruments, or
in case the same fail to agree as to the said charge, then by the lawful custodian
thereof.
History.-s. 8, ch, 67-125; s. 1, ch, 89-57; s. 756, ch. 95-147.
119.084 Definitions; copyright of data processing software created by
governmental agencies; sale price and licensing fee; access to public records;
prohibited contracts.-
(1) As used in this section:
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(a) "Agency" has the same meaning as in s. 119.011 (2), except that the term
does not include any private agency, person, partnership, corporation, or
business entity.
(b) "Data processing software" means the programs and routines used to
employ and control the capabilities of data processing hardware, including, but
not limited to, operating systems, compilers, assemblers, utilities, library routines,
maintenance routines, applications, and computer networking programs.
(c) "Proprietary software" means data processing software that is protected by
copyright or trade secret laws.
.
(2) Any agency is authorized to acquire and hold copyrights for data processing
software created by the agency and to enforce its rights pertaining to such
copyrights, provided that the agency complies with the requirements of this
section.
(a) Any agency that has acquired a co"pyright for data processing software
created by the agency may sell or license the copyrighted data processing
software to any public agency or private person and may establish a price for the
sale and a license fee for the use of such data processing software. Proceeds
from the sale or licensing of copyrighted data processing software shall be
deposited by the agency into a trust fund for the agency's appropriate use for
authorized purposes. Counties, municipalities, and other political subdivisions of
the state may designate how such sale and licensing proceeds are to be used.
The price for the sale of and the fee for the licensing of copyrighted data
processing software may be based on market considerations. However, the
prices or fees for the sale or licensing of copyrighted data processing software to
an individual or entity solely for application to information maintained or
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generated by the agency that created the copyrighted data processing software
shall be determined pursuant to s. 119.07(1).
(b) The provisions of this subsection are supplemental to, and shall not supplant
or repeal, any other provision of law that authorizes an agency to acquire and
hold copyrights.
(3) Subject to the restrictions of copyright and trade secret laws and public
records exemptions, agency use of proprietary software must not diminish the
right of the public to inspect and copy a public record.
(4) An agency must consider when designing or acquiring an electronic
recordkeeping system that such system is capable of providing data in some
common format such as, but not limited to, the American Standard Code for
Information Interchange.
.
(5) Each agency that maintains a public record in an electronic recordkeeping
system shall provide to any person, pursuant to this chapter, a copy of any public
record in that system which is not exempted by law from public disclosure. An
agency must provide a copy of the record in the medium requested if the agency
maintains the record in that medium, and the agency may charge a fee which
shall be in accordance with this chapter. For the purpose of satisfying a public
records request, the fee to be charged by an agency if it elects to provide a copy
of a public record in a medium not routinely used by the agency, or if it elects to
compile information not routinely developed or maintained by the agency or that
requires a substantial amount of manipulation or programming, must be in
accordance with s. 119.07(1 )(b).
(6) An agency may not enter into a contract for the creation or maintenance of a
public records database if that contract impairs the ability of the public to inspect
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or copy the public records of that agency, including public records that are on-line
or stored in an electronic recordkeeping system used by the agency. Such
contract may not allow any impediment that as a practical matter makes it more
difficult for the public to inspect or copy the records than to inspect or copy the
agency's records. The fees and costs for the production of such records may not
be more than the fees or costs charged by the agency.
(7) This section is subject to the Open Government Sunset Review Act of 1995
in accordance with s. 119.15 and shall stand repealed on October 2, 2006,
unless reviewed and saved from repeal through reenactment by the Legislature.
History.-s. 1, ch, 2001-251.
.
119.085 Remote electronic access to public records.--As an additional means of
inspecting, examining, and copying public records of the executive branch,
judicia I branch, or any political subdivision of the state, public records custodians
may provide access to the records by remote electronic means. Unless otherwise
required by law, the custodian may charge a fee for remote electronic access,
granted under a contractual arrangement with a user, which fee may include the
direct and indirect costs of providing such access. Fees for remote electronic
access provided to the general public shall be in accordance with the provisions
of s. 119.07(1). The custodian shall provide safeguards to protect the contents of
public records from unauthorized remote electronic access or alteration and to
prevent the disclosure or modification of those portions of public records which
by general or special law are exempt from s. 119.07(1).
History.-s. 2, ch, 85-86; s. 1, ch, 90-94; s. 2, ch. 95-296.
119.09 Assistance of the Division of Library and Information Services, records
and information management program, of the Department of State.--The Division
of Library and Information Services, records and information management
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program, of the Department of State shall have the right to examine into the
condition of public records and shall give advice and assistance to public officials
in the solution of their problems of preserving, creating, filing, and making
available the public records in their custody. Public officials shall assist the
division by preparing an inclusive inventory of categories of public records in their
custody. The division shall establish a time period for the retention or disposal of
each series of records. Upon the completion of the inventory and schedule, the
division shall (subject to the availability of necessary space, staff, and other
facilities for such purposes) make space available in its records center for the
filing of semicurrent records so scheduled and in its archives for noncurrent
records of permanent value and shall render such other assistance as needed,
including the microfilming of records so scheduled.
History.-s. 9, ch. 67-125; ss. 10,35, ch, 69-106; s. 6, ch. 83-286; s. 7, ch. 86-163.
.
119.092 Registration by federal employer's registration number.--Each state
agency which registers or licenses corporations, partnerships, or other business
entities shall include, by July 1, 1978, within its numbering system, the federal
employer's identification number of each corporation, partnership, or other
business entity registered or licensed by it. Any state agency may maintain a
dual numbering system in which the federal employer's identification number or
the state agency's own number is the primary identification number; however, the
records of such state agency shall be designed in such a way that the record of
any business entity is subject to direct location by the federal employer's
identification number. The Department of State shall keep a registry of federal
employer's identification numbers of all business entities, registered with the
Division of Corporations, which registry of numbers may be used by all state
agencies.
History.-s. 1, ch, 77-148.
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119.10 Violation of chapter; penalties.--
(1) Any public officer who violates any provision of this chapter is guilty of a
noncriminal infraction, punishable by fine not exceeding $500.
(2) Any person willfully and knowingly violating any of the provisions of this
chapter is guilty of a misdemeanor of the first degree, punishable as provided in
s. 775.082 or s. 775.083.
(3) Any person who willfully and knowingly violates s. 119.105 commits a felony
of the third degree, punishable as provided in s. 775.082, s. 775.083, or s.
775.084.
History.-s. 10, ch. 67-125; s. 74, ch. 71-136; s. 5, ch. 85-301; s. 2, ch, 2001-271.
.
119.105 Protection of victims of crimes or accidents. --Police reports are public
records except as otherwise made exemptor confidential by general or special
law. Every person is allowed to examine nonexempt or nonconfidential police
reports. A person who comes into possession of exempt or confidential
information contained in police reports may not use that information for any
commercial solicitation of the victims or relatives of the victims of the reported
crimes or accidents and may not knowingly disclose such information to any third
party for the purpose of such solicitation during the period of time that information
remains exempt or confidential. This section does not prohibit the publication of
such information to the general public by any news media legally entitled to
possess that information or the use of such information for any other data
collection or analysis purposes by those entitled to possess that information.
History.-s. 1, ch, 90-280; s. 2, ch, 2003-411.
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119.11 Accelerated hearing; immediate compliance.--
(1) Whenever an action is filed to enforce the provisions of this chapter, the court
shall set an immediate hearing, giving the case priority over other pending cases.
(2) Whenever a court orders an agency to open its records for inspection in
accordance with this chapter, the agency shall comply with such order within 48
hours, unless otherwise provided by the court issuing such order, or unless the
appellate court issues a stay order within such 48-hour period.
(3) A stay order shall not be issued unless the court determines that there is a
substantial probability that opening the records for inspection will result in
significant damage.
.
(4) Upon service of a complaint, counterclaim, or cross-claim in a civil action
brought to enforce the provisions of this chapter, the custodian of the public
record that is the subject matter of such civil action shall not transfer custody,
alter, destroy, or otherwise dispose of the public record sought to be inspected
and examined, notwithstanding the applicability of an exemption or the assertion
that the requested record is not a public record subject to inspection and
examination under s. 119.07(1), until the court directs otherwise. The person who
has custody of such public record may, however, at any time permit inspection of
the requested record as provided in s. 119.07(1) and other provisions of law.
History.-s. 5, ch. 75-225; s. 2, ch. 83-214; s. 6, ch. 84-298.
119.12 Attorney's fees.--
(1) If a civil action is filed against an agency to enforce the provisions of this
chapter and if the court determines that such agency unlawfully refused to permit
a public record to be inspected, examined, or copied, the court shall assess and
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award, against the agency responsible, the reasonable costs of enforcement
including reasonable attorneys' fees.
(2) Whenever an agency appeals a court order requiring it to permit inspection of
records pursuant to this chapter and such order is affirmed, the court shall
assess a reasonable attorney's fee for the appeal against such agency.
History.-s. 5, ch. 75-225; s. 7, ch, 84-298.
119.15 Legislative review of exemptions from public meeting and public records
requirements. -
(1) This section may be cited as the "Open Government Sunset Review Act of
1995."
.
(2) This section provides for the automatic application of the policy of open
government as provided in ss. 119.01 and 286.011 to certain exemptions from
ss. 119.07(1) and 286.011. It is the intent of the Legislature that exemptions to
ss. 119.07(1) and 286.011 shall be created or maintained only if:
(a) The exempted record or meeting is of a sensitive, personal nature
concerning individuals;
(b) The exemption is necessary for the effective and efficient administration of a
governmental program; or
(c) The exemption affects confidential information concerning an entity.
Thus, the maintenance or creation of an exemption must be compelled as
measured by these criteria. Further, the Legislature finds that the public has a
right to have access to executive branch governmental meetings and records
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unless the criteria in this section for restricting such access to a public meeting or
public record are met and the criteria are considered during legislative review in
connection with the particular exemption to be significant enough to override the
strong public policy of open government. To strengthen the policy of open
government, the Legislature shall consider the criteria in this section before
enacting future exemptions.
(3)(a) In the 5th year after enactment of a new exemption or substantial
amendment of an existing exemption, the exemption shall repeal on October 2nd
of the 5th year, unless the Legislature acts to reenact the exemption. A law that
enacts a new exemption or substantially amends an existing exemption must
state that the exemption is repealed at the end of 5 years and that the exemption
must be reviewed by the Legislature before the scheduled repeal date.
.
(b) For purposes of this section, an exemption is substantially amended if the
amendment expands the scope of the exemption to include more records or
information or to include meetings as well as records. An exemption is not
substantially amended if the amendment narrows the scope of the exemption.
(c) This section is not intended to repeal an exemption that has been amended
following legislative review before the scheduled repeal of the exemption if the
exemption is not substantially amended as a result of the review.
(d) In the year before the repeal of an exemption under this section, the Division
of Statutory Revision of the Office of Legislative Services shall certify to the
President of the Senate and the Speaker of the House of Representatives, by
June 1, the language and statutory citation of each exemption scheduled for
repeal the following year which meets the criteria of an exemption as defined in
this section. Any exemption that is not identified and certified to the President of
the Senate and the Speaker of the House of Representatives is not subject to
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legislative review and repeal under this section. If the division fails to certify an
exemption that it subsequently determines should have been certified, it shall
include the exemption in the following year's certification after that determination.
(e) The term "exemption" means a provision of the Florida Statutes which
creates an exception to s. 119.07(1) or s. 286.011 and which applies to the
executive branch of state government or to local government, but it does not
include any provision of a special law or local law.
(f) An exemption that is required by federal law is not subject to repeal under this
section.
(g) An exemption that applies solely to the Legislature or the State Court System
is not subject to repeal under this section.
.
(4)(a) The Legislature shall review the exemption before its scheduled repeal
and consider as part of the review process the following:
1. What specific records or meetings are affected by the exemption?
2. Whom does the exemption uniquely affect, as opposed to the general public?
3. What is the identifiable public purpose or goal of the exemption?
4. Can the information contained in the records or discussed in the meeting be
readily obtained by alternative means? If so, how?
(b) An exemption may be created or maintained only if it serves an identifiable
public purpose and may be no broader than is necessary to meet the public
purpose it serves. An identifiable publiC purpose is served if the exemption meets
one of the following purposes and the Legislature finds that the purpose is
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sufficiently compelling to override the strong public policy of open government
and cannot be accomplished without the exemption:
1. Allows the state or its political subdivisions to effectively and efficiently
administer a governmental program, which administration would be significantly
impaired without the exemption;
2. Protects information of a sensitive personal nature concerning individuals, the
release of which information would be defamatory to such individuals or cause
unwarranted damage to the good name or reputation of such individuals or would
jeopardize the safety of such individuals. However, in exemptions under this
subparagraph, only information that would identify the individuals may be
exempted; or
.
3. Protects information of a confidential nature concerning entities, including, but
not limited to, a formula, pattern, device, combination of devices, or compilation
of information which is used to protect or further a business advantage over
those who do not know or use it, the disclosure of which information would injure
the affected entity in the marketplace.
(c) Records made before the date of a repeal of an exemption under this section
may not be made public unless otherwise provided by law. In deciding whether
the records shall be made public, the Legislature shall consider whether the
damage or loss to persons or entities uniquely affected by the exemption of the
type specified in subparagraph (b)2. or subparagraph (b)3. would occur if the
records were made public.
(d) An exemption that is created or revived and reenacted must contain uniform
language that clearly states the section in the Florida Statutes from which it is
exempt, s. 119.07(1) or s. 286.011. The uniform language must also provide for
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the maximum public access to the meetings and records as is consistent with the
purpose of the exemption. An exemption that is created or substantially amended
must state that the exemption is repealed at the end of 5 years and that the
exemption must be reviewed by the Legislature before the scheduled date of
repeal.
(e) Notwithstanding s. 768.28 or any other law, neither the stale or its political
subdivisions nor any other public body shall be made party to any suit in any
court or incur any liability for the repeal or revival and reenactment of an
exemption under this section. The failure of the Legislature to comply strictly with
this section does not invalidate an otherwise valid reenactment.
History.-s. 2, ch. 95-217; s. 25, ch, 98-136.
119.19 Capital postconviction public records production.-
.
(1) As used in this section, the term "trial court" means:
(a) The judge who entered the judgment and imposed the sentence of death; or
(b) If a motion for postconviction relief in a capital case has been filed and a
different judge has already been assigned to that motion, the judge who is
assigned to rule on that motion.
(2) The Secretary of State shall establish and maintain a records repository for
the purpose of archiving capital postconviction public records as provided for in
this section.
(3)(a) Upon imposition of a death sentence or upon the effective date of this act
with respect to any case in which a death sentence has been imposed but the
mandate has not yet been issued in an appeal affirming the sentence, the
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prosecuting attorney shall promptly provide written notification to each law
enforcement agency involved in the case and to the Department of Corrections. If
available, the written notification must include the defendant's date of birth, sex,
race, and police-case numbers included in the prosecuting attorney's case file.
(b) Within 60 days after receipt of notification, each law enforcement agency
involved in the case and the prosecuting attorney who prosecuted the case shall
copy, seal, and deliver to the repository all public records, except for those filed
in the trial court, which were produced in the investigation or prosecution of the
case or, if the records are confidential or exempt, to the clerk of the court in the
county in which the capital case was tried. Each agency shall bear the costs of its
own compliance.
.
(c) Within 60 days after notification, the Department of Corrections shall copy,
seal, and deliver to the repository or, if the records are confidential or exempt, to
the clerk of the court in the county in which the capital case was tried all public
records determined by the department to be relevant to the subject matter of a
capital postconviction claim of the person sentenced to death and where such
production would not be unduly burdensome for the department. The department
shall bear the costs.
(4)(a) The chief law enforcement officer of each law enforcement agency that
was involved in the case, whether through an investigation, arrest, prosecution,
or incarceration, shall notify the Attorney General upon compliance with
subsection (3) and shall certify that to the best of his or her knowledge and belief
all public records in possession of the agency or in possession of any employee
of the agency have been copied, indexed, and delivered to the records repository
or, if the records are confidential or exempt, to the clerk of the court in the county
in which the capital case was tried as required by this section.
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(b) The prosecuting attorney who prosecuted the case shall provide written
notification to the Attorney General upon compliance with subsection (3) and
shall certify that to the best of his or her knowledge and belief all public records in
his or her possession have been copied, indexed, and delivered to the records
repository or, if the records are confidential or exempt, to the clerk of the court in
the county in which the capital case was tried as required by this section.
(c) The Secretary of Corrections shall provide written notification to the Attorney
General upon compliance with paragraph (3)(c) and shall certify that to the best
of his or her knowledge and belief all public records in the department's
possession have been copied, indexed, and delivered to the records repository
or, if the records are confidential or exempt, to the clerk of the court in the county
in which the capital case was tried as required by this section.
.
(5)(a) Within 60 days after the imposition of a death sentence or upon the
effective date of this act with respect to any case in which a death sentence has
been imposed but the mandate has not yet been issued in an appeal affirming
the sentence, both the public defender or private counsel for the defendant and
the prosecuting attorney involved in the case shall provide written notification to
the Attorney General of the name and address of any person or agency in
addition to those persons and agencies listed in subsection (3) which may have
information pertinent to the case unless previously provided to the capital
collateral regional counselor postconviction private counsel. The Attorney
General shall promptly provide written notification to each identified person or
agency after receiving the information from the public defender, private counsel
for the defendant, or prosecuting attorney and shall request that all public records
in the possession of the person or agency which pertain to the case be copied,
sealed, and delivered to the records repository.
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(b) Within 60 days after receiving a request for public records under paragraph
(a), the person or agency shall provide written notification to the Attorney General
of compliance with this subsection and shall certify that to the best of his or her
knowledge and belief all public records requested have been copied, indexed,
and delivered to the records repository or, if the records are confidential or
exempt, to the clerk of the court in the county in which the capital case was tried.
.
(6)(a) Any public record under this section which is confidential or exempt from
the requirements of s. 119.07(1) and s. 24(a), Art. I of the State Constitution must
be separately boxed, without being redacted, and sealed. The box must be
delivered to the clerk of court in the county in which the capital case was tried.
The outside of the box must clearly identify the public records as exempt, and the
seal may not be broken without an order of the trial court. The outside of the box
must identify the nature of the public records and the legal basis under which the
public records are exempt.
(b) Such a box may be opened only for an inspection by the trial court in camera
and only after notice giving the agency the option to have a representative
present at the unsealing by the court.
(7)(a) Within 180 days after a capital collateral regional counselor private
counsel is appointed to represent a defendant sentenced to death, or within 30
days after issuance of the Florida Supreme Court's mandate affirming a death
sentence, whichever is later, the regional counsel, private counsel, or other
counsel who is a member of The Florida Bar and is authorized by such counsel
representing a defendant may send a written demand for additional public
records to each person or agency submitting public records under subsection (3)
and to each person or agency identified as having information pertinent to the
case under subsection (5). Should the written demand include requests for
records associated with particular named individuals, the written demand shall
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also include a brief statement describing each named person's role in the case
and relationship to the defendant. Race, sex, and date of birth shall also be
included in the demand if the public defender, private counsel, or capital
collateral regional counsel has such information. Each person or agency notified
under this subsection shall, within 60 days after receipt of the written demand,
deliver to the records repository or, if the records are confidential or exempt, to
the clerk of the court in the county in which the capital case was tried any
additional public records in the possession of the person or agency which pertain
to the case and shall certify that to the best of his or her knowledge and belief all
additional public records have been delivered or, if no additional public records
are found, shall recertify that the public records previously delivered are
complete.
.
(b) Within 25 days after receiving the written demand, the agency or person may
file an objection in the trial court alleging that the request is overly broad or
unduly burdensome. Within 30 days after the filing of an objection, the trial court
shall hold a hearing and order an agency or person to produce additional public
records if it finds each of the following:
1. The regional counselor private counsel has made a timely and diligent search
as provided in this section.
2. The regional or private counsel's written demand identifies, with specificity,
those additional public records that are not at the repository.
3. The additional public records sought are relevant to the subject matter of a
capital postconviction relief or appear reasonably calculated to lead to the
discovery of admissible evidence in prosecuting such claim.
4. The additional public records request is not overbroad or unduly burdensome.
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(c) This statute shall not be a basis for renewing requests that have been
initiated previously or for relitigating issues pertaining to production of public
records upon which a court has ruled.
.
(d) If, on October 1, 1998, the defendant had a Rule 3.850 motion denied and no
Rule 3.850 motion was pending, no additional requests shall be made by capital
collateral regional counselor contracted private counsel until a death warrant is
signed by the Governor and an execution is scheduled. Within 10 days of the
signing of the death warrant, capital collateral regional counselor contracted
private counsel may request of a person or agency that the defendant has
previously requested to produce records any records previously requested to
which no objection was raised or sustained, but which the agency has received
or produced since the previous request or which for any reason the agency has
in its possession and did not produce within 10 days of the receipt of the previous
notice or such shorter time period ordered by the court to comply with the time for
the scheduled execution. The person or agency shall produce the record or shall
file in the trial court an affidavit stating that it does not have the requested record
or that the record has been produced previously.
(8)(a) After production of additional public records or recertification as provided
in subsection (7), the regional counselor the private counsel is prohibited from
making any further public records requests under this chapter. An agency is not
required to produce additional public records except by court order as provided in
this subsection.
(b) In order to obtain additional public records beyond those provided under
subsection (7), the regional counsel, private counsel, or other counsel who is a
member of The Florida Bar and is authorized by the regional counselor private
counsel shall file an affidavit in the trial court which attests that he or she has
made a timely and diligent search of the records repository and specifically
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identifies those additional public records that are not at the repository and are
relevant to the subject matter of a capital postconviction claim or are reasonably
calculated to lead to the discovery of admissible evidence in the prosecution of
such claim. The affiant shall provide a copy of the affidavit to all affected
agencies upon the filing of such affidavit in the trial court.
(c) Within 15 days after the filing of an affidavit, the trial court shall order an
agency to produce additional public records only if it finds each of the following:
1. The regional counselor private counsel has made a timely and diligent search
as provided in this section.
2. The regional or private counsel's affidavit identifies, with specificity, those
additional public records that are not at the repository.
.
3. The additional public records sought are relevant to the subject matter of a
claim for capital postconviction relief or appear reasonably calculated to lead to
the discovery of admissible evidence in prosecuting such claim.
4. The additional public records request is not overbroad or unduly burdensome.
(9) The Secretary of State shall provide the personnel, supplies, and any
necessary equipment used by the capital collateral regional counselor private
counsel to copy records held at the records repository.
(10) The trial court shall resolve any dispute that arises under this section,
unless the appellate court has exclusive jurisdiction.
(11) The capital collateral regional counselor private counsel shall not solicit
another person to make a request for public records on behalf of the regional
counselor private counsel. The trial court shall impose appropriate sanctions
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against any regional counselor private counsel found in violation of this
subsection.
(12) Sixty days after a capital sentence is carried out, 60 days after a defendant
is released from incarceration following the granting of a pardon or reversal of the
sentence, or 60 days after the defendant has been resentenced to a term of
years, the Attorney General shall provide written notification to the Secretary of
State, who may then destroy the records held by the records repository which
pertain to that case.
.
(13) This section pertains only to the production of records for capital
postconviction defendants and does not change or alter any time limitations
provided by law governing capital postconviction claims and actions.
Furthermore, this section does not affect, expand, or limit the production of public
records for any purposes other than use in a capital postconviction proceeding.
Nothing in this section constitutes grounds to expand the time limitations or allow
any pleading in violation of chapter 924 or to stay an execution or death warrant.
History. --so 1, ch. 98-198; s. 3, ch. 2000-3
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Chapter] B-24, Florida Administrative Code - Public Records Scheduling & Disposition
18-24.001 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.
.
(3) For the purpose of this chapter:
(a) "Agency" means any state, county, or municipal officer, department, district, division,
board, bureau, commission or other separate unit of government created or established
by law.
(b) "Custodian" means 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.
(c) "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.
(d) "Division" means the Division of Library and Information Services of the Department of
State.
(e) "Florida State Archives" means the program 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.
(1) "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.
(g) "Electronic Records" means any information that is recorded in machine-readable form.
(h) "Public Records" are those as defined in section 119.0 II, Florida Statutes.
(i) "Record (Master) Copy" means public records specifically designated by the custodian as the
official record.
U) "Duplicate (or Convenience) Records" means reproductions of record (master) copies, prepared
simultaneously or separately, which are designated as not being the official copy.
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(k) "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.
(I) "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.
(m) "Records Management Liaison Officer" means an individual designated by the agency that
serves as a contact person to the Division and is assigned responsibilities by the Custodian.
(n) "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 themselves, public records, which must be retained. Intermediate
records only 2 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.
(0) "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.
(p) "Drafts" are materials, which constitute precursors of governmental "records" and are not, in
thems elves, 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 257.14.257.36(6), FS. Law Implemented 257.36 FS. History-New J -8-80, Formerly
IA-24.01, IA- 24.001, Repromulgated 3-23-93, amended 2-20-01.
18-24.003 Records Retention Scheduling and Dispositioning.
(1) Each agency shall submit to the Division a request for records retention on Department of State Form
LS5E I 05REff.I-OI, "Records Retention Schedule" which is hereby incorporated by reference and made
part of this rule, for all records series. A copy of Form LS5E I 05REff.l-0 I, effective, January 200 I, 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. Form LS5E
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I 05REff.I-O I is to be signed by the custodian of the records, or his or her designee, and submitted to the
Division for determination of official retention requirements.
(2) Retention and scheduling of intermediate files are not feasible due to their transitory nature, and do not
require submission of Form LS5E 1 05REff.I-OI "Records Retention Schedule".
(3) Each 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.
(4) In addition, the 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.
.
(5) In the event that records are of archival value, an indication is made on the Records Retention Schedule
that such historical records are to be transferred to the Florida State Archives as part of the retention
requirements.
(6) 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.
(7) The Division, with information submitted on Form LS5E 1 05REff.I-OI, "Records Retention Schedule"
and its own research into the legal, fiscal, historical and administrative value of the record series shall
create an official "Records Retention Schedule". Once approved by the Division, the Records Retention
Schedule becomes the official retention for the record series of the submitting agency.
(8) After an agency has established an approved Records Retention Schedule in accordance with the
foregoing procedures, it may become 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. The approved Records Retention Schedule shall receive the next
consecutive number.
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(9) 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 comp ly with the provisions of
Rule 18-24.003(1) F.A.C. of this chapter.
(10) Prior to records disposition, an agency must ensure that retention requirements have been satisfied.
The minimum requirements for each records disposition is the identification and documentation of the
following:
(a) Schedule number;
(b) Item number;
(c) Record series title;
(d) The inclusive dates; and
(e) The volume in cubic feet.
A public record may be destroyed or otherwise disposed of only in accordance with retention schedules
established by the Division. Photographic reproductions or reproductions through electronic recordkeeping
systems may substitute for the original or paper copy, per section 92.29,F.S. Minimum standards for image
reproduction shall be in accordance with ru les 18-26.0021 and 18-26.003, Florida Administrative Code.
.
(11) Each agency shall submit to the Division, once a year, a signed statement attesting to the agency's
compliance with records disposition laws, rules, and procedures.
(12) Any record series identified, by either a General Records Schedule or approved Records Retention
Schedule, indicating archival value cannot be destroyed without the approval of the Florida State Archives.
(13) The Division shall compile ail annual summary of agency records scheduling and disposition activities
to inform the Governor and the Legislature on statewide records management practices and program
compliance.
Specific Authority 257.36, F.S. Law Implemented 257.36, F.s. History-New 2-20-01.
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Chapter 18-24.010 Records Disposition
RULES OF THE FLORIDA STATE ARCHIVES
DEPARTMENT OF STATE
DIVISION OF LIBRARY AND INFORMATION SERVICES
CHAPTER 1B-24 - PUBLIC RECORDS SCHEDULING AND DISPOSITlONING
1B-24.010 Records Disposition
(I) 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 I B-24.01 0(3).
.
(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 LS5E
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 257.14 FS. Law Implemented 257.36 FS. History - New 1-8-80, Amended 1-4-84,
Formerly IA-24.10, Transferred from IA-24.01 0, Amended 1-7-88,3 -23-93, Proposed Effective Date 7-1-
95.
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Chapter 18-26 Florida Administrative Code - Electronic Record Keeping
RECORDS MANAGEMENT - STANDARDS AND REQUIREMENTS
IB-26.003 Electronic Recordkeeping.
(1) PURPOSE. These rules provide standards for record (master) copies of public records, which reside in
electronic recordkeeping systems. Record keeping 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.
.
(3) SCOPE.
(a) 1. 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 ensure 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 18-26.0021, 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
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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 record keeping system" means an automated information system for the
organized col/ection, 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 specifical/y 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.
(j) "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 shal/:
(a) Develop and implement a program for the management of electronic records.
(b) Ensure that aI/ 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 shal/ be considered on
an individual basis by the Division of Library and Information Services in establishing this
retention period. See subsection 1 B -24.001 (3), FAC., for the definition of a record series.
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(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 record keeping 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 shal/ provide, to any person making a request pursuant to Chapter
119, F .S., a copy of any data in such records whic h is not specifical/y exempt. Said copy
shal/ 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 shal/ be in accordance with the provisions of
Sections 119.07(1 )(a) and (b), F.S.
2. STANDARD. Except as otherwise provided by law, no agency shal/ 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 shal/ ensure that current and proposed electronic
record keeping 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 record keeping systems meet
requirements for public access to public records, agencies shal/ 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.
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Documentation for electronic records systems shal/ meet the fol/owing standards:
1. STANDARD. Each agency shal/ identify aI/ inputs and outputs of the system; define
the organization and contents of the files and records; define policies on access and use;
define the purpos e 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 18-24, F AC.
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
record keeping systems to facilitate disposition.
.
(7) DOCUMENTATION STANDARDS.
(a) STANDARD. Agencies shal/ maintain adequate and up-to-date technical documentation
for each electronic recordkeeping system. Documentation for electronic records systems
shal/ 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 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 USE OF ELECTRONIC RECORDS AS RECORD (MASTER) COPIES.
Electronic recordkeeping systems that maintain record (master) copies of public records on
electronic media shal/ meet the fol/owing minimum requirements:
(a) 1. Provide a method for aI/ authorized users of the system to retrieve desired records;
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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 aI/ systems that generate and use official file copies of records.
Hashing algorithms and digital signatures should be considered for aI/ 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/fip180-1.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.
(b) STANDARD. Before a record (master) copy is created on an electronic record keeping
system, the record shal/ be uniquely identified to enable authorized personnel to retrieve,
protect, and carry out the disposition of records in the system. Agencies shal/ ensure that
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records maintained in such systems can be correlated with any existing related records
on paper, microfilm, or other media.
(9) LEGAL AUTHENTICATION. Agencies shal/ implement the fol/owing 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 shal/, 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 shal/ select
appropriate media and systems, which meet the fol/owing 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 fol/owing factors are to be considered before selecting a storage media or converting
from one media to another:
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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 shal/ maintain aI/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 shal/ 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 shal/ annual/y read a statistical sample of aI/ 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 aI/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 shal/ be played continuously from end to
end to ensure even packing. Tapes shall be stored so that the tape is aI/ on one reel or hub.
(e) STANDARD. Agencies shal/ 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 shal/ 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;
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3. Special security requirements or restrictions on access, if any; and
4. Software in use at the time of creation.
(g) STANDARD. For each electronic records series, agencies shal/ 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 intel/ectual control over, the series. Additional/y, the
fol/owing 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 shal/ 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 shal/ not be stored in metal
containers unless the metal is non-magnetic. Storage containers shal/ be resistant to impact,
dust intrusion and moisture. Compact disks shal/ be stored in hard cases, and not in
cardboard, paper or flimsy sleeves.
U) STANDARD. Agencies shal/ 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 shal/ not use floppy disks, audiocassettes, or VHS- format
videocassettes for the storage of record (master) copies of long-term or ~rmanent 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 shal/ use only one-quarter inch open-reel
tapes at three and three-quarters or seven and one half inches per second, ful/ 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.
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(I) Agencies shal/ establish and adopt procedures for external labeling of the contents of
diskettes, disks, tapes, or optical disks so that aI/ authorized users can identify and retrieve
the stored information.
(m) Agencies shal/ 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 shal/ be
transferred to new media as needed to prevent loss of information due to changing
technology or deterioration of storage media.
(n) Agencies shal/ 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 shal/ be maintained in storage areas located in buildings separate from
the location of the records that have been copied.
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(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 shal/ include provisions for:
(a) STANDARD. Scheduling the retention and disposition of aI/ electronic records, as wel/ as
related access documentation and indexes, in accordance with the provisions of Chapter 1 B-
24, FAC.
(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 1 B-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;
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(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.
Histo~New 8-16-92, Amended 5-13-03.
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Florida Statutes 257.36 Records and Information Management
The 2003 Florida Statutes
PUBLIC LANDS AND
PROPERTY
Chapter 257
PUBLIC LIBRARIES AND STATE
ARCHIVES
257.36 Records and information management.--
(1) There is created within the Division of Library and Information Services of the
Department of State a records and information management program. It is the duty
and responsibility of the divis ion to:
(a) 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.
.
(b) Establish and operate a records center or centers primarily for the storage,
processing, servicing, and security of public records that must be retained for
varying periods of time but need not be retained in an agency's office equipment or
space.
(c) Analyze, develop, establish, and coordinate standards, procedures, and
techniques of recordmaking and recordkeeping.
(d) Ensure the maintenance and security of records which are deemed appropriate
for preservation.
(e) Establish safeguards against unauthorized or unlawful removal or loss of
records.
(f) Initiate appropriate action to recover records removed unlawfully or without
authorization.
(g) Institute and maintain a training and information program in:
1. All phases of records and information management to bring approved and current
practices, methods, procedures, and devices for the efficient and economical
management of records to the attention of all agencies.
2. The requirements relating to access to public records under chapter 119.
(h) Provide a centralized program of microfilming for the benefit of all agencies.
(i) Make continuous surveys of recordkeeping operations.
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(j) Recommend improvements in current records management practices, including
the use of space, equipment, supplies, and personnel in creating, maintaining, and
servicing records.
(k) Establish and maintain a program in cooperation with each agency for the
selection and preservation of records considered essential to the operation of
government and to the protection of the rights and privileges of citizens.
(I) Make, or have made, preservation duplicates, or designate existing copies as
preservation duplicates, to be preserved in the place and manner of safekeeping as
prescribed by the division.
(2)(a) All records tra nsferred to the division may be held by it in a records center or
centers, to be designated by it, for such time as in its judgment retention therein is
deemed necessary. At such time as it is established by the division, such records as
are determined by it as having historical or other value warranting continued
preservation shall be transferred to the Florida State Archives.
(b) Title to any record detained in any records center shall remain in the agency
transferring such record to the division.
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(c) When a record held in a records center is eligible for destruction, the division
shall notify, in writing, by certified mail, the agency which transferred the record.
The agency shall have 90 days from receipt of that notice to respond requesting
continued retention or authorizing destruction or disposal of the record. If the agency
does not respond within that time, title to the record shall pass to the division.
(3) The division may charge fees for supplies and services, including, but not limited
to, shipping containers, pickup, delivery, reference, and storage. Fees shall be based
upon the actual cost of the supplies and services and shall be deposited in the
Records Management Trust Fund.
(4) Any preservation duplicate of any record made pursuant to this chapter shall
have the same force and effect for all purposes as the original record. A transcript,
exemplification, or certified copy of such preservation duplicate shall be deemed, for
all purposes, to be a transcript, exemplification, or certified copy of the original
record.
(5) For the purposes of this section, the term "agency" shall mean any state,
county, district, or municipal officer, department, division, bureau, board,
commission, or other separate unit of government created or established by law. 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.
(b) Establish and maintain an active and continuing program for the economical and
efficient management of records.
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(6) A public record may be destroyed or otherwise disposed of only in accordance
with retention schedules established by the division. The division shall adopt
reasonable rules not inconsistent with this chapter which shall be binding on all
agencies relating to the destruction and disposition of records. Such rules shall
provide, but not be limited to:
(a) Procedures for complying and submitting to the division records-retention
schedules.
(b) Procedures for the physical destruction or other disposal of records.
(c) Standards for the reproduction of records for security or with a view to the
disposal of the original record.
History.--s. 5, ch. 67-50; ss. 10,35, ch. 69-106; s. 4, ch. 81-173; s. 24, ch, 83-339; s. 46, ch. 86-163; s. 8,
ch. 95-296; s. 34, ch. 2000-258.
Note.--Former s. 267.051.
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Florida Statutes Chapter 282.318 Security of Data & Information Technology Resources
282.318 Security of data and information technology resources.--
(I) This section may be cited as the "Security of Data and Information Technology Resources Act."
(2)(a) The State Technology Office, in consultation with each agency head, is responsible and accountable
for assuring an adequate level of security for all data and information technology resources of each agency
and, to carry out this responsibility, shall, at a minimum:
1. Designate an information security manager who shall administer the security program of each agency
for its data and information technology resources.
2. Conduct, and periodically update, a comprehensive risk analysis to determine the security threats to the
data and information technology resources of each agency. The risk analysis information is confidential and
exempt from the provisions of s. 119.07(1), except that such information shall be available to the Auditor
General in performing his or her postauditing duties.
3. Develop, and periodically update, written internal policies and procedures to assure the security of the
data and information technology resources of each agency. The internal policies and procedures which, if
disclosed, could facilitate the unauthorized modification, disclosure, or destruction of data or information
technology resources are confidential information and exempt from the provisions of s. 119.07(1), except
that such information shall be available to the Auditor General in performing his or her postauditing duties.
.
4. Implement appropriate cost-effective safeguards to reduce, eliminate, or recover from the identified
risks to the data and information technology resources of each agency.
5. Ensure that periodic internal audits and evaluations of each security program for the data and
information technology resources of the agency are conducted. The results of such internal audits and
evaluations are confidential information and exempt from the provisions of s. 119.07( I), except that such
information shall be available to the Auditor General in performing his or her postauditing duties.
6. Include appropriate security requirements, as determined by the State Technology Office, in
consultation with each agency head, in the written specifications for the solicitation of information
technology resources.
(b) In those instances in which the State Technology Office develops state contracts for use by state
agencies, the office shall include appropriate security requirements in the specifications for the solicitation
for state contracts for procuring information technology resources.
History.--ss. 1,2,3, ch. 84-236; s. 28, ch, 87-137; s. I, ch. 89-14; s. 7, ch. 90-160; s. 13, ch, 91-171; s. 234,
ch, 92-279; s. 55, ch, 92-326; s. 22, ch. 94-340; s. 863, ch. 95-148; s. 131, ch. 96-406; s. 15, ch. 97-286; s.
25, ch, 2000-164; s. 26, ch, 2001-261.
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Bureau of Archives and Records Management FAQs
Frequently Asked Questions
about Records Management and the Public Records Laws
Q. What is the definition of a Public Record?
A. Section 119.011(1), F. S., defines "public records" as "aI/ 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.
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Q. How long must an agency keep a Public Record?
A. Section 119.09, F .S., states that the Division of Library and Information Services of the Florida
Department of State "shal/ establish a time period for the retention or disposal of each record
series." Only the Bureau of Archives and Records Management under the direction of the
Division has this authority. Public agencies should consult the Bureau's publications to determine
the retention period for specijc public records.
The Division of Library and Information Services publishes General Records Schedules
applicable to various governmental entities or functions. There are schedules for most
professions including medical providers, educators, and law enforcement officers. There are also
schedules for elected officials including supervisors of election, tax col/ectors, clerks of the court,
and property appraisers. The Division has also created a schedule for use by every public agency
that addresses the retention periods for common records such as payrol/ and personnel. These
schedules feature the names, descriptions, and retention periods for hundreds of different records
series.
Q. How can my agency obtain copies of the General Records Schedules?
A. These publications can be acquired by cal/ing the Bureau of Archives and Records
Management at (850) 487-2180 or by faxing a written request to (850) 488-1388. Go to the
General Records Schedules page.
Q. I have reviewed the General Records Schedules which pertain to my agency and cannot
find a particular record. What do I do?
A. Since each agency uses different terminology in classifying or naming its records, the Division
has had to standardize the titles with the General Records Schedules. The first step in locating a
particular record would be to check under any closely related titles. For example, if you are
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searching for the retention period of hiring records, check under such similar terms as
"employment," "personnel," "human resources," "applications," and "selection process." If you
are confident that the record is not represented in a General Records Schedule, then your
agency's Records Management Liaison Officer wil/ need to submit a Records Retention Schedule
(Form LS5E105REff.1-01) to the Division of Library and Information Services.
Q. What is a Records Management Liaison Officer?
A. Section 257.36(5)(a), F.S., requires that each public agency appoint a Records Management
Liaison Officer to work in conjunction with the Division of Library and Information Services. This
lengthy title is usual/y abbreviated and referred to as an RMLO. Each public agency should notify
the Division,in writing, when the RMLO's name, address, or telephone number changes. Please
contact the Bureau at (850)487-2180 or e-mail tobarm@dos.state.f1.us for the additional
information on your agency's RMLO.
.
Q. What are the RMLO's responsibilities?
A. Florida law does not require that RMLO be a ful/ time employee nor does the. law define the
scope of the RMLO's responsibilities. Florida Statutes Chapter 257 simply states that "public
agencies must establish and maintain an active and continuing program for the economical and
efficient management of records." To ensure that this requirement is met, the Division has
developed a minimum set of responsibilities for the RMLO. The RMLO's primary task is to
manage the flow of paperwork from his or her agency to the Bureau. In addition, the RMLO
should expect to train other agency personnel, provide guidance on using the General Records
Schedules, and participate in the decision-making process for issues such as microfilming,
imaging, storage, and disposal. Furthermore the Bureau may refer telephone cal/ers to an
agency's RMLO. In these instances, the public is general/y seeking clarification on internal
matters which an outsider, such as the Division, cannot answer.
Q. Does the Division offer training seminars or publish "how-to" manuals?
A. Yes, the Bureau does offer annual training seminars and specialty workshops around the
state. Notice of each seminar is sent to the agency RMLO, although any member of the staff is
welcome to attend. In addition to these workshops, the Bureau wil/ gladly send a representative to
an agency's office for compliance level training or consulting services. See the Records
Manaament WorkshoDs page or contact the Division at (850)487 -2180 or e-mail us at
barm@mail.dlis.dos.state.f1.us.
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The Division also publishes handbooks on records management related topics such as file
maintenance, microfilming, vital records, and electronic record-keeping. Go to the Publications
and Forms page.
.
Q. How does an agency go about destroying public records? Is there a preferred method
of destruction?
A. Public records can be destroyed or otherwise disposed of only in accordance with retention
schedules established by the division. Your agency may proceed with disposition provided that aI/
outstanding audit issues and litigation have been resolved and that no public records requests
were received for those records in the last 30 days. If these conditions have not been met, your
agency wil/ need to hold the records until aI/ issues are satisfied. Records may not be destroyed
until 30 days after the last public records request.
No. Florida law does not specify an "approved" method for the destruction of public records. An
agency may choose to recycle, shred, incinerate, or bury these documents. Vendors are available
throughout the state to handle these functions on your behalf. The Bureau cannot recommend a
particular vendor and cautions aI/ public agencies to thoroughly investigate each option. It is
recommended, however, that special consideration be given to records of a sensitive,
confidential, or exempt nature. After al/, the public agency remains responsible for these
documents until their final destruction and may, therefore, be I.iable if confidential information is
leaked by a vendor. Many firms will provide you wil/ tours of their facilities, client references, and
contractual assurances which guarantee the security of the record until its final disposition. Some
firms, in addition, wil/ send certificate of destruction to your RMLO thus providing proof of the final
disposition. These certificates may be attached to your approved Records Disposition Request as
back-up or supporting material.
Q. What are the penalties for non-compliance with Chapters 119 & 257 of the Florida
Statutes?
A. Section 119.10(1), F.S., states that "any public officer who violates any provision of this
chapter is guilty of a non-criminal infraction, punishable by a fine not exceeding $500.00."
Furthermore s. 119.10(2), F.S., states that "any person wil/ful/y and knowingly violates any
provisions of this chapter is guilty of a misdemeanor of the first degree, as provided in s. 775.082
or s. 775.083." First degree misdemeanors are punishable of a fine up to $1000 and/or up to a
year in prison with immediate termination, suspension, or impeachment.
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Q. What are the other possible problems associated with non-compliance?
A. The establishment of an active and continuing records and information management program
wil/ provide public agencies with substantial cost-saving thus aI/owing the agency to aI/ocate more
funds for critical service programs. If excess money is poured into managing records beyond their
retention period, then it stands to reason that fewer funds wil/ be available for other projects.
The proper scheduling and disposition of records, also, provides a professional audit trail that is
beneficial during litigation. Initial/y this paper trail demonstrates your knowledge of and dedication
to the protection of the public's Constitutional right of access. In fact, controversial documents are
more likely to be located by the opposing counsel when records are maintained longer than
necessary. In other scenarios, opposing counsels have been known to use a public agency's lack
of organization and management to their advantage. For example the case may be made that,
since a public agency chose not to practice appropriate methods of scheduling and disposition, it
cannot, therefore, be trusted to provide for the public's right of access or for the competent
storage and retrieval of records. This argument can be further extrapolated to make the point that
a public agency that cannot control its paper records probably cannot control its electronic
records either. These examples serve to il/ustrate the need for a quality records and information
management program.
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Lastly, government employees work in a highly scrutinized environment commonly referred to as
a "fishbowl." As you may have noticed, the press and public are quick to respond to al/egations of
fraud, abuse, and mismanagement in government. Public agencies have an opportunity to avoid
these or at least minimize these perils and pitfal/s by establishing a secure, wel/-managed records
program. In fact proper records and information management can create a positive environment
ripe with public relations opportunities
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Appendix E - Florida Supreme Court
.
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Supreme Court of Florida - e-Mail Ruling
Supreme Court of Florida
Nos. SC02-1694 & SC02-1753
STATE OF FLORIDA,
Petitioner,
VS.
CITY OF CLEARWATER,
Respondent.
.
TIMES PUBLISHING COMPANY,
Petitioner,
VS.
CITY OF CLEARWATER
Respondent.
[September 11, 2003]
PARIENTE, J.
We have for review a decision of the Second District Court of Appeal, which certified the
fol/owing question of great public importance:
WHETHER ALL E-MAILS TRANSMITTED OR RECEIVED BY
PUBLIC EMPLOYEES OF A GOVERNMENT AGENCY ARE
PUBLIC RECORDS PURSUANT TO SECTION 119.011 (1),
FLORIDA STATUTES (2000), AND ARTICLE I, SECTION 24(A),
OF THE FLORIDA CONSTITUTION BY VIRTUE OF THEIR
PLACEMENT ON A GOVERNMENT-OWNED COMPUTER
SYSTEM IF THE AGENCY HAS A WRITTEN POLICY THAT
INFORMS THE EMPLOYEES THAT THE AGENCY MAINTAINS
A RIGHT TO CUSTODY, CONTROL AND INSPECTION OF
E-MAILS?
Times Publishing Co. v. City of Clearwater, 830 So. 2d 844, 848-49 (Fla. 2d
DCA 2002). We have jurisdiction, see art. V, ~ 3(b)(4), Fla. Const, and
rephrase the certified question as follows:
WHETHER ALL E-MAILS TRANSMITTED OR RECEIVED BY
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PUBLIC EMPLOYEES OF A GOVERNMENT AGENCY ARE
PUBLIC RECORDS PURSUANT TO SECTION 119.011 (1),
FLORIDA STATUTES (2000), AND ARTICLE I, SECTION 24(A)
OF THE FLORIDA CONSTITUTION BY VIRTUE OF THEIR
PLACEMENT ON A GOVERNMENT-OWNED COMPUTER
SYSTEM.
For the reasons stated below, we answer the rephrased question in the
negative and approve the Second District's decision.
.
FACTS
The facts of this case are straightforward. In October 2000, a Times
Publishing Company reporter requested that the City of Clearwater
provide copies of all e-mails either sent from or received by two city
employees over the City's computer network between October 1, 1999,
and October 6, 2000. Pursuant to the City's procedures, the employees
reviewed their e-mails and sorted them into two categories, personal
and public. No one else reviewed the e-mails deemed by the employees
to be personal. The City copied the public e-mails and provided them to
Times Publishing.
Times Publishing filed an action in the circuit court to obtain the e-mails
the employees had designated as private. Times Publishing asserted
that it was entitled to all the e-mails generated by and stored on the
City's computers. The circuit court granted Times Publishing's request
for a temporary injunction and ordered the City to "make every
reasonable effort to retrieve, preserve and secure from destruction" all
e-mails sent or received by the employees in question between October
1, 1999, and October 6, 2000.
After a final hearing at which three of the City's employees testified, the
trial court issued a detailed and thorough order denying Times
Publishing's request for a writ of mandamus and permanent injunctive
relief. The Second District affirmed the trial court's order without
prejudice to Times Publishing seeking an in camera review of the
disputed e-mails. See Times PublishinQ, 830 So. 2d at 848. The
Second District concluded that "private" or "personal" e-mails fall
outside the current definition of public records because they are neither
"made or received pursuant to law or ordinance" nor "created or
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received 'in connection with official business' of the City or 'in
connection with the transaction of official business' by the City." Id. at
847. Because its decision affects how every state agency and
municipality maintains its electronic records and the public's access to
those records, the Second District certified the question of great public
importance to this Court. See id. at 848-49.1
ANAL YSIS
This case involves the narrow legal issue of whether personal e-mails
are considered public records by virtue of their placement on a
government-owned computer system. 2 "The determination of what
constitutes a public record is a question of law entitled to de novo
review." Media Gen. Convergence, Inc. v.
Chief Judge of the Thirteenth Judicial Circuit, 840 So. 2d 1008, 1013
(Fla. 2003).
.
Times Publishing argues that the placement of e-mails on the City's
computer system makes the e-mails public records, regardless of their
content or intended purpose. The State contends that the headers
created bye-mails when they are sent are akin to phone records or mail
logs, which the State asserts are clearly public records. We conclude
that both of these arguments are without merit.
Access to public records is currently guaranteed by article I, section 24
of the Florida Constitution, and chapter 119 Florida Statutes (2002).
Article I, section
24 provides in pertinent part:
(a) Every person has the right to inspect or copy any public record made or received in
connection with the official business of any public body, officer, or employee of the
state, or persons acting on their behalf, except with respect to records exempted
pursuant to this section or specifical/y made confidential by this Constitution. This
section specifical/y includes the legislative, executive and judicial branches of
government. . . .
(Emphasis supplied.) Chapter 119 defines public records as
all documents, papers, letters, maps, books, tapes, photographs,
films, sound recordings, data processing software, or other material,
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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.
9 119.011 (1), Fla. Stat. (2002) (emphasis supplied). Thus, both article I,
section 24 and chapter 119 specify that public records are those records
that are in some way connected to "official business."
A review of the history of Florida's public records law indicates that the
connection between public records and official business was
established well before the Legislature enacted the first public records
statute. In Bell v. Kendrick, 6 So. 868 (Fla. 1889), this Court considered
whether evidence of a certificate of a deed was admissible in an action
for ejectment when the deed was lost and had never been recorded.
The Court noted that records kept by persons in public office are
generally admissible, and explained:
.
[W]henever a written record of the transactions of a public officer
is a convenient and appropriate mode of discharging the duties of
his office, it is not only his right, but his duty, to keep that written
memorial, . . . and, when kept, it becomes a public document--a
public record--belonging to the office, and not to the officer.
Id. at 869 (emphasis supplied). The Court concluded that because "[i]t
was clearly the duty of the register of state lands to keep in his office a
register of sales and conveyances of land," a certified transcript of these
entries was admissible as evidence of the execution of the conveyance.
Id. at 870.
Twenty years after Bell, the Legislature enacted Florida's first public
records statute, which mandated that "all State, county and municipal
records" be open "for a personal inspection of any citizen of Florida, and
those in charge of such records shall not refuse this privilege to any
citizen." Ch. 5942, Laws of Fla. (1909). The statute did not provide a
definition of public records and this Court continued to apply the
"discharge of duty" analysis established in Bell. See Amos v. Gunn, 94
So. 615, 634 (Fla. 1922) ("A public record is one required by law to be
kept, or necessary to be kept in the discharge of a duty imposed by law,
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or directed by law to serve as a memorial and evidence of something
written, said, or done.").
In 1967 the Legislature first defined the term "public
records":
"Public Records" shall mean 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 or in connection with the transaction
of
official business by any aqency.
.
Ch. 67-125, 9 1(a) at 254, Laws of Fla. (emphasis supplied). This
definition, codified in section 119.011 (1), has remained essentially
unchanged. The most significant change to section 119.011 (1) occurred
in 1995 when the Legislature amended the definition of "public records"
to include "data processing software" and information regardless of
"means of transmission." See ch. 95-296, 9 6 at 2727, Laws of Fla.
Thus, electronic documents stored in a computer can be public records
provided they are "made or received pursuant to law or ordinance or in
connection with the transaction of official business." 9 119.011(1), Fla.
Stat. (2002).
"In construing a statute, we look first to the statute's plain meaning."
Moonlit
Waters Apartments. Inc. v. Cauley, 666 So. 2d 898, 900 (Fla. 1996).
Based on the plain language of section 119.011 (1), we agree with the
Second District's conclusion that "private" or "personal" e-mails "simply
fallD outside the current definition of public records." Times Publishing,
830 So. 2d at 847. As the Second District explained:
Such e-mail is not "made or received pursuant to law or
ordinance. "
Likewise, such e-mail by definition is not created or received "in
connection with the official business" of the City or "in connection
with the transaction of official business" by the City. Although
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digital in nature, there is little to distinguish such e-mail from
personal letters delivered to government workers via a
government post office box and stored in a government-owned
desk.
Id. This conclusion is supported by this Court's decision in In re
Amendments to Rule of Judicial Administration 2,051--Public Access to
Judicial Records, 651 So. 2d 1185 (Fla. 1995), in which we discussed
the public's right of access to the judicial branch's official business e-
mail:
Official business e-mail transmissions must be treated just like
any other type of official communication received and filed by the
judicial branch. . . . E-mail may include transmissions that are
clearly not official business and are, consequently, not required to
be recorded as a public record.
Id. at 1187 (emphasis supplied).
.
Although public access to records of the judicial branch is governed by
court rule rather than by chapter 119,3 we recently acknowledged that
the definition of "judicial records" contained in Florida Rule of Judicial
Administration 2.051 "is virtually identical to the legislative definition of
'public records' contained in section 119.011 (1) . . . insofar as section
119.011 (1) defines 'public records' as 'all documents. . . made or
received pursuant to law or ordinance or in connection with the
transaction of official business by any aQency.'" Media Gen.
Convergence. 840 So. 2d at 1014. Thus, this Court's determination that
judicial emails that are not made or received in connection with official
business are not required to be recorded as public records also applies
to agency e-mails governed by chapter 119.4
Further, Times Publishing's argument that the placement of e-mails on
the City's computer network automatically makes them public records is
contrary to this Court's decision in Shevin v. Bvron. Harless. Schaffer.
Reid & Assocs., Inc., 379 So. 2d 633 (Fla. 1980). In Shevin, this Court
rejected the First District's conclusion that "section 119.011 (1) applies to
almost everything generated or received by a public agency." Id. at 640.
Although this Court acknowledged that the Legislature broadened the
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class of public records in enacting section 119.011 (1), this Court
concluded that the definition of the term "public records" limited "public
information to those materials which constitute records-that is,
materials that have been prepared with the intent of perpetuating or
formalizing knowledge." kL (second emphasis supplied). Thus, it cannot
merely be the placement of the e-mails on the City's computer system
that makes the e-mails public records. Rather, the e-mails must have
been prepared "in connection with official agency business" and
be "intended to perpetuate, communicate, or formalize knowledge
of some type. " kL
We agree with the trial court's observation that "[c]ommon sense. . .
opposes a mere possession rule." The trial court explained:
This court noted several times during hearings on this case the absurd
consequences of such an application of the law. If the Attorney
.
General brings his household bills to the office to work on during
lunch; do they become public record if he temporarily puts them in
his desk drawer? If a Senator writes a note to herself while
speaking with her husband on the phone does it become public
record because she used a state note pad and pen? The Sheriff's
secretary, proud of her children, brings her Mother's Day cards to
the office to show her friends. Do they become public records if
she keeps them in the filing cabinet?
Times PublishinQ Co. v. City of Clearwater, No. 00-8232-CI-13 at 10
(6th Cir Ct. order filed May 21, 2001). Just as an agency cannot
circumvent the Public Records Act by allowing a private entity to
maintain physical custody of documents that fall within the definition of
"public records," see Wisner v. City of Tampa Police Dep't, 601 So. 2d
296, 298 (Fla. 2d DCA 1992), private documents cannot be deemed
public records solely by virtue of their placement on an agency owned
computer. The determining factor is the nature of the record, not its
physical location.
Moreover, we agree with the City that its "Computer Resources Use
Policy," which states that the City's computer resources are the property
of the City and that users have no expectation of privacy, cannot be
construed as expanding the constitutional or statutory definition of public
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records to include "personal" documents. Times Publishing conceded at
oral argument that its position-that all e-mails on the City's computer
should be considered public record-does not hinge on the City's
Computer Resources Use Policy. Further, as noted by the Second
District, "[a]lthough the City's policy may prevent the employees from
asserting a privacy right to contest disclosure, the policy did not and
could not alter the statutory definition of public records for purposes of
chapter 119." Times Publishinq, 830 So. 2d at 846. Cf. Tribune Co. v.
Cannella, 458 So. 2d 1075, 1077 (Fla. 1984) (stating that it is a
"fundamental principle that a municipality may not act in an area
preempted by the legislature" and holding that the Public Records Act
preempted the City of Tampa's regulation that delayed the production of
requested personnel records).
.
Finally, we disagree with the narrower view asserted by the Attorney
General that the creation of an e-mail "header" makes all e-mails,
regardless of their content or intended purpose, public records. Relying
on the Department of State's public records retention schedule, the
Attorney General describes the header information of an e-mail as
"including all date/time stamps, routing information, etc. "5 The Attorney
General asserts that the e-mail system's creation of this header
information distinguishes e-mails from paper documents and makes all
e-mails generated on or received by a City computer subject to
disclosure under chapter 119. The Attorney General supports this
assertion by comparing the creation of e-mail headers to the creation of
mail logs or phone records, which the Attorney General maintains are
clearly public records even if they contain information that is personal.
Assuming arguendo that an agency's mail logs or phone records are
public records,s we cannot equate the automatic creation of a header for
each article of correspondence by an e-mail program with a log. The
Attorney General contends that the only difference between phone
records or traditional mail logs and the email header information is that
traditional logs are contained as one single document, not as multiple,
independent entries. We conclude that this is an essential difference.
In this case, there is no evidence in the record that the City maintains or
generates, in its normal course of operations, a list of e-mail headers
created by its employees' use of the computer network. The fact that
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mail logs and phone records are purposely compiled and maintained by
an agency distinguishes them from e-mail headers, which are by-
products of the employee's use of the agency's e-mail system, and are
neither purposely compiled nor maintained in the course of an agency's
operations. Simply stated, e-mail headers are not "prepared" with the
intent to "perpetuate, communicate, or formalize knowledge of some
type." Shevin, 379 So. 2d at 640. Therefore, neither the individual
header nor the attached e-mail is a "public record" subject to disclosure
under chapter 119.
Based on the foregoing, we conclude that "personal" e-mails are not
"made or received pursuant to law or ordinance or in connection with
the transaction of official business" and, therefore, do not fall within the
definition of public records in section 119.011 (1) by virtue of their
placement on a government-owned computer system. Accordingly, we
answer the rephrased question in the negative and approve the Second
District's decision.?
It is so ordered.
.
ANSTEAD, C.J., and WELLS, LEWIS, QUINCE, CANTERO, and BELL,
JJ., concur.
NOT FINAL UNTIL TIME EXPIRES TO FILE REHEARING MOTION,
AND IF FILED, DETERMINED.
Two Cases Consolidated:
Two Applications for Review of the Decision of the District Court of
Appeal -
Certified Great Public Importance
Second District - Case No. 2001-3055
(Pinellas County)
Christopher M. Kise, Solicitor General, and Louis F. Hubener, Chief
Deputy Solicitor General, Tallahassee, Florida; and David F. Chester,
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Assistant Attorney General, on behalf of Charles J. Crist; Jr., Attorney
General, Tallahassee, Florida,
for Petitioner, State of Florida
Pamela K. Akin, City Attorney, and Leslie K. Dougall-Sides, Assistant
City Attorney, Clearwater, Florida,
for Respondent, City of Clearwater
Carole Sanzeri, Senior Assistant County Attorney, and Michael A. Zas,
Senior Assistant County Attorney, Clearwater, Florida,
Amicus Curiae, Pinellas County on behalf of Florida Association
of County Attorneys
...................................................................
.
George K. Rahdert, Alison M. Steele, Penelope 1. Bryan, and Thomas
E. Reynolds of Rahdert, Steele, Bryan & Bole, P.A., St. Petersburg,
Florida,
for Petitioners, Times Publishing Company
Christopher M. Kise, Solicitor General, and Louis F. Hubener, Chief
Deputy Solicitor General, Tallahassee, Florida; and David F. Chester,
Assistant Attorney General, on behalf of Charles J. Crist, Jr., Attorney
General, Tallahassee, Florida,
for Respondent, State of Florida
Carole Sanzeri, Senior Assistant County Attorney, and Michael A. Zas,
Senior Assistant County Attorney, Clearwater, Florida,
Amicus Curiae, Pinellas County on behalf of Florida Association
of
County Attorneys
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Footnotes:
1. After the Second District released its initial decision in this case, the
State, through the Attorney General, filed a motion to intervene in
support of Times Publishing's motion for certification of a question of
great public importance. The Second District withdrew its initial decision
and reissued its opinion, granting the Attorney General's motion and
certifying the question of great public importance to this Court.
2. As noted by the Second District, this case does not involve: (1) "e-
mai/[s] that may have been isolated by a government employee whose
job required him or her to locate employee misuse of government
computers"; (2) "a balancing of the public's interest in open public
records and an individual's right to privacy"; or (3) "an in camera
inspection of records." Times Publishing, 830 So. 2d at 845-46.
.
3. Chapter 119 applies only to "agency" records. "Agency" is defined as:
[A]ny state, county, district, authority, or municipal officer, department,
division, board, bureau, commission, or other separate unit of
government created or established by law including, for the purposes of
this chapter, the Commission on Ethics, the Public Service Commission,
and the Office of Public Counsel, and any other public or private
agency, person, partnership, corporation, or business entity acting on
behalf of any public agency.
~ 119.011 (2), Fla. Stat. (2002).
4. In Report of the Supreme Court Workqroup on Public Records, 825
So. 2d 889, 896 (Fla. 2002), the Court amended rule 2.051, replacing
the term "judicial records" with the term "records of the judicial branch,"
which includes both "court records" and "administrative records."
"Records of the judicial branch" are defined as "all records, regardless
of physical form, characteristics, or means of transmission, made or
received in connection with the transaction of official business by any
judicial branch entity." Fla. R. Jud. Admin. 2.051 (b)(1) (emphasis
supplied). "Court records" are the contents of the court file and
"administrative records" are "all other records made or received
pursuant to court rule, law, or ordinance, or in connection with the
transaction of official business by any judicial entity." Fla. R. Jud. Admin
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2.051(b)(1)(A)-(B) (emphasis supplied). Thus, judicial records subject to
public disclosure are still limited to those "made or received pursuant to
court rule, law, or ordinance, or in connection with the transaction of
official business."
5. See Division of Library and Information Services, Department of
State, General Records Schedule GS 1-L for Local Government
AQencies ii (2001) available at
http://dlis.dos.state.fl.us/barm/Qenschedules/Qensched . htm.
6. Compare Gp. Att'y Gen. Fla. 99-74 (1999) (advising a school board
that
its phone records were public records even if the calls indicated were
personal and paid for by the employee) with Media Gen. Operation, Inc. v.
Feeney, 849 So. 2d 3, 6 (Fla. 1st DCA 2003) (holding that records of
personal phone calls made by staff employees of the House of
Representatives "fall outside the current definition of public records and
were properly redacted").
.
7. We decline to address the remaining issue raised by the parties
because it is beyond the scope of the certified question. See Crocker v.
Pleasant, 778 So. 2d 978, 990-91 (Fla. 2001).
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Appendix F - Federal Rules of Evidence
.
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Federal Rules of Evidence (2004)
(Incorporating the revisions that took effect Dec. 1, 2003)
These rules govern the introduction of evidence in proceedings, both civil and criminal, in Federal
courts. While they do not apply to suits in state courts, the rules of many states have been closely
modeled on these provisions.
ARTICLE X.
CONTENTS OF WRITINGS, RECORDINGS, AND
PHOTOGRAPHS [Table of Contents]
Rule 1001. Definitions
.
For purposes of this article the fol/owing definitions are applicable:
(1) Writings and recordings. "Writings" and "recordings" consist of letters, words, or
numbers, or their equivalent, set down by handwriting, typewriting, printing, photostating,
photographing, magnetic impulse, mechanical or electronic recording, or other form of data
compilation.
(2) Photographs. "Photographs" include stil/ photographs, X-ray films, video tapes, and
motion pictures.
(3) Original. An "original" of a writing or recording is the writing or recording itself or any
counterpart intended to have the same effect by a person executing or issuing it. An
"original" of a photograph includes the negative or any print therefrom. If data are stored in
a computer or similar device, any printout or other output readable by sight, shown to
reflect the data accurately, is an "original".
(4) Duplicate. A "duplicate" is a counterpart produced by the same impression as the
original, or from the same matrix, or by means of photography, including enlargements and
miniatures, or by mechanical or electronic re-recording, or by chemical reproduction, or by
other equivalent techniques which accurately reproduces the original.
Notes
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Rule 1 002. Requirement of Original
To prove the content of a writing, recording, or photograph, the original writing,
recording, or photograph is required, except as otherwise provided in these rules or by
Act of Congress.
Notes
Rule 1 003. Admissibility of Duplicates
A duplicate is admissible to the same extent as an original unless (1) a genuine
question is raised as to the authenticity of the original or (2) in the circumstances it
would be unfair to admit the duplicate in lieu of the original.
Notes
Rule 1004. Admissibility of Other Evidence of Contents
.
The original is not required, and other evidence of the contents of a writing, recording,
or photograph is admissible if-
(1) Originals lost or destroyed. AI/ originals are lost or have been destroyed, unless the
proponent lost or destroyed them in bad faith; or
(2) Original not obtainable. No original can be obtained by any available judicial process
or procedure; or
(3) Original in possession of opponent. At a time when an original was under the
control of the party against whom offered, that party was put on notice, by the pleadings or.
otherwise, that the contents would be a subject of proof at the hearing, and that party does
not produce the original at the hearing; or
(4) Collateral matters. The writing, recording, or photograph is not closely related to a
control/ing issue.
Notes
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Rule 1 005. Public Records
The contents of an official record, or of a document authorized to be recorded or filed
and actual/y recorded or filed, including data compilations in any form, if otherwise
admissible, may be proved by copy, certified as correct in accordance with rule 902 or
testified to be correct by a witness who has compared it with the original. If a copy
which complies with the foregoing cannot be obtained by the exercise of reasonable
diligence, then other evidence of the contents may be given.
Notes
Rule 1006. Summaries
.
The contents of voluminous writings, recordings, or photographs which cannot
conveniently be examined in court may be presented in the form of a chart, summary,
or calculation. The originals, or duplicates, shal/ be made available for examination or
copying, or both, by other parties at reasonable time and place. The court may order
that they be produced in court.
Notes
Rule 1007. Testimony or Written Admission of Party
Contents of writings, recordings, or photographs may be proved by the testimony or
deposition of the party against whom offered or by that party's written admission,
without accounting for the nonproduction of the original.
Notes
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Rule 1008. Functions of Court and Jury
When the admissibility of other evidence of contents of writings, recordings, or
photographs under these rules depends upon the fulfillment of a condition of fact, the
question whether the condition has been fulfil/ed is ordinarily for the court to determine
in accordance with the provisions of rule 104. However, when an issue is raised (a)
whether the asserted writing ever existed, or (b) whether another writing, recording, or
photograph produced at the trial is the original, or (c) whether other evidence of
contents correctly reflects the contents, the issue is for the trier of fact to determine as
in the case of other issues of fact.
Notes
.
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Notes Associated with Rules 1001 - 1008
NOTES TO RULE 1 001
.
HISTORY:
(Jan. 2,1975, P.L. 93-595, 91,88 Stat. 1945.)
Notes of Advisory Committee on Rules.
In an earlier day, when discovery and other related procedures were strictly limited, the
misleading named "best evidence rule" afforded substantial guarantees against inaccuracies
and fraud by its insistence upon production of original documents. The great enlargement of
the scope of discovery and related procedures in recent times has measurably reduced the
need for the rule. Nevertheless important areas of usefulness persist: discovery of documents
outside the jurisdiction may require substantial outlay of time and money; the unanticipated
document may not practical/y be discoverable; criminal cases have built-in limitations on
discovery. Cleary and Strong, The Best Evidence Rule: An Evaluation in Context, 51 Iowa
L.Rev. 825 (1966).
Paragraph (1). Traditional/y the rule requiring the original centered upon accumulations of
data and expressions affecting legal relations set forth in words and figures. This meant that
the rule was one essential/y related to writings. Present day techniques have expanded
methods of storing data, yet the essential form which the information ultimately assumes for
usable purposes is words and figures. Hence the considerations underlying the rule dictate its
expansion to include computers, photographic systems, and other modern developments.
Paragraph (3). In most instances, what is an original wil/ be self-evident and further
refinement will be unnecessary. However, in some instances particularized definition is
required. A carbon copy of a contract executed in duplicate becomes an original. as does a
sales ticket carbon copy given to a customer. While strictly speaking the original of a
photograph might be thought to be only the negative, practicality and common usage require
that any print from the negative be regarded as an original. Similarly, practicality and usage
confer the status of original upon any computer printout. Transport Indemnity Co. v. Seib, 178
Neb. 253, 132 N.W.2d 871 (1965).
Paragraph (4). The definition describes "copies" produced by methods possessing an
accuracy which virtual/y eliminates the possibility of error. Copies thus produced are given
the status of originals in large measure by Rule 1003, infra. Copies subsequently produced
manual/y, whether handwritten or typed, are not within the definition. It should be noted that
what is an original for some purposes may be a duplicate for others. Thus a bank's microfilm
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record of checks cleared is the original as a record. However, a print offered as a copy of a
check whose contents are in controversy is a duplicate. This result is substantial/y consistent
with 28 U.S.C. 9 1732(b). Compare 26 U.S.C. 9 7513(c), giving ful/ status as originals to
photographic reproductions of tax returns and other documents, made by authority of the
Secretary of the Treasury, and 44 U.S.C. 9 399(a), giving original status to photographic
copies in the National Archives.
Notes of Committee on the Judiciary, House Report No. 93-650.
The Committee amended this Rule expressly to include "video tapes" in the definition of
"photographs. "
NOTES TO RULE 1002
.
HISTORY:
(Jan. 2,1975, P.L. 93-595, 91,88 Stat. 1946.)
Notes of Advisory Committee on Rules.
The rule is the familiar one requiring production of the original of a document to prove its
contents, expanded to include writings, recordings, and photographs, as defined in Rule
1001(1) and (2), supra.
Application of the rule requires a resolution of the question whether contents are sought to be
proved. Thus an event may be proved by nondocumentary evidence, even though a written
record of it was made. If, however, the event is sought to be proved by the written record, the
rule applies. For example, payment may be proved without producing the written receipt
which was given. Earnings may be proved without producing books of account in which they
are entered. McCormick 9 198; 4 Wigmore 9 1245. Nor does the rule apply to testimony that
books or records have been examined and found not to contain any reference to a
designated maUer.
The assumption should not be made that the rule wil/ come into operation on every occasion
when use is made of a photograph in evidence. On the contrary, the rule wil/ seldom apply to
ordinary photographs. In most instances a party wishes to introduce the item and the
question raised is the propriety of receiving it in evidence. Cases in which an offer is made of
the testimony of a witness as to what he saw in a photograph or motion picture, without
producing the same, are most unusual. The usual course is for a witness on the stand to
identify the photograph or motion picture as a correct representation of events which he saw
or of a scene with which he is familiar. In fact he adopts the picture as his testimony, or, in
common parlance, uses the picture to il/ustrate his testimony. Under these circumstances, no
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effort is made to prove the contents of the picture, and the rule is inapplicable. Paradis, The
Celluloid Witness, 37 U.Colo.L. Rev. 235, 249-251 (1965).
On occasion, however, situations arise in which contents are sought to be proved. Copyright,
defamation, and invasion of privacy by photograph or motion picture fal/s in this category.
Similarly as to situations in which the picture is offered as having independent probative
value, e.g. automatic photograph of bank robber. See People v. Doggett, 83 Cal.App.2d 405,
188 P .2d 792 (1948) photograph of defendants engaged in indecent act; Mouser an d Philbin,
Photographic Evidence-Is There a Recognized Basis for Admissibility? 8 Hastings L.J. 310
(1957). The most commonly encountered of this latter group is of course, the X-ray, with
substantial authority calling for production of the original. Daniels v. Iowa City, 191 Iowa 811,
183 N.W. 415 (1921); Cel/amare v. Third Ace. Transit Corp., 273 App.Div. 260, 77 N.Y.S.2d
91 (1948); Patrick & Tilman v. Matkin, 154 Okl. 232, 7 P.2d 414 (1932); Mendoza v. Rivera,
78 P.R.R. 569 (1955).
It should be noted, however, that Rule 703, supra, al/ows an expert to give an opinion based
on matters not in evidence, and the present rule must be read as being limited accordingly in
its application. Hospital records which may be admitted as business records under Rule
803(6) commonly contain reports interpreting X-rays by the staff radiologist, who qualifies as
an expert, and these reports need not be excluded from the records by the instant rule.
The reference to Acts of Congress is made in view of such statutory provisions as 26 U.S.C.
9 7513, photographic reproductions of tax returns and documents, made by authority of the
Secretary of the Treasury, treated as originals, and 44 U.S.C. 9 399(a), photographic copies
in National Archives treated as originals.
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NOTES TO RULE 1003
.
HISTORY:
(Jan. 2, 1975, P.L. 93-595, ~ 1, 88 Stat. 1946.)
Notes of Advisory Committee on Rules.
When the only concern is with getting the words or other contents before the court with
accuracy and precision, then a counterpart serves equal/y as wel/ as the original, if the
counterpart is the product of a method which ensures accuracy and genuineness. By
definition in Rule 1001(4), supra, a "duplicate" possesses this character.
Therefore, if no genuine issue exists as to authenticity and no other reason exists for
requiring the original, a duplicate is admissible under the rule. This position finds support in
the decisions, Myrick v. United States, 332 F.2d 279 (5th Cir. 1964), no error in admitting
photostatic copies of checks instead of original microfilm in absence of suggestion to trial
judge that photostats were incorrect; Johns V. United States, 323 F.2d 421 (5th Cir. 1963),
not error to admit concededly accurate tape recording made from original wire recording;
Sauget V. Johnston, 315 F.2d 816 (9th Cir. 1963), not error to admit copy of agreement when
opponent had original and did not on appeal claim any discrepancy. Other reasons for
requiring the original may be present when only a part of the original is reproduced and the
remainder is needed for cross-examination or may disclose matters qualifying the part offered
or otherwise useful to the opposing party. United States v. Alexander, 326 F.2d 736 (4th Cir.
1964). And see Toho Bussan Kaisha, Ltd. V. American President Lines, Ltd., 265 F.2d 418,
76 A.L.R.2d 1344 (2d Cir. 1959).
Notes of Committee on the Judiciary, House Report No. 93-650.
The Committee approved this Rule in the form submitted by the Court, with the expectation
that the courts would be liberal in deciding that a "genuine question is raised as to the
authenticity of the original."
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NOTES TO RULE 1004
.
HISTORY:
(Jan. 2, 1975, P .L. 93-595, 9 1, 88 Stat. 1946; Mar. 2, 1987, eff. Oct. 1, 1987.)
Notes of Advisory Committee on Rules.
Basically the rule requiring the production of the original as proof of contents has developed
as a rule of preference: if failure to produce the original is satisfactory explained, secondary
evidence is admissible. The instant rule specifies the circumstances under which production
of the original is excused.
The rule recognizes no "degrees" of secondary evidence. While strict logic might cal/ for
extending the principle of preference beyond simply preferring the original, the formulation of
a hierarchy of preferences and a procedure for making it effective is believed to involve
unwarranted complexities. Most, if not al/, that would be accomplished by an extended
scheme of preferences will, in any event, be achieved through the normal motivation of a
party to present the most convincing evidence possible and the arguments and procedures
available to his opponent if he does not. Compare McCormick 9 207.
Paragraph (1). Loss or destruction of the original unless due to bad faith of the proponent, is
a satisfactory explanation of nonproduction. McCormick 9 201.
Paragraph (2). When the original is in the possession of a third person, inability to procure it
from him by resort to process or other judicial procedure is sufficient explanation of
nonproduction. Judicial procedure includes subpoena duces tecum as an incident to the
taking of a deposition in another jurisdiction. No further showing is required. See McCormick
9202.
Paragraph (3). A party who has an original in his control has no need for the protection of the
rule if put on notice that proof of contents will be made. He can ward off secondary evidence
by offering the original. The notice procedure here provided is not to be confused with orders
to produce or other discovery procedures, as the purpose of the procedure under this rule is
to afford the opposite party an opportunity to produce the original, not to compel him to do so.
McCormick 9 203.
Paragraph (4). While difficult to define with precision, situations arise in which no good
purpose is served by production of the original. Examples are the newspaper in an action for
the price of publishing defendant's advertisement, Foster-Holcomb Investment Co. v. Little
Rock Publishing Co., 151 Ark. 449, 236 S.w. 597 (1922), and the streetcar transfer of plaintiff
claiming status as a passenger, Chicago City Ry. Co. v. Carrol/, 206 11/. 318, 68 N.E. 1087
(1903). Numerous cases are col/ected in McCormick 9 200, p. 412, n. 1.
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Notes of Committee on the Judiciary, House Report No. 93-650.
The Committee approved Rule 1004(1) in the form submitted to Congress. However, the
Committee intends that loss or destruction of an original by another person at the instigation
of the proponent should be considered as tantamount to loss or destruction in bad faith by the
proponent himself.
Notes of Advisory Committee on 1987 amendments to Rules.
The amendments are technical. No substantive change is intended.
NOTES TO RULE 1005
.
HISTORY:
(Jan. 2, 1975, P.L. 93-595, 9 1, 88 Stat. 1946.)
Notes of Advisory Committee on Rules.
Public records cal/ for somewhat different treatment. Removing them from their usual place of
keeping would be attended by serious inconvenience to the public and to the custodian. As a
consequence judicial decisions and statutes commonly hold that no explana,.tion need be
given for failure to produce the original of a public record. McCormick 9 204; 4 Wigmore 99
1215-1228. This blanket dispensation from producing or accounting for the original would
open the door to the introduction of every kind of secondary evidence of contents of public
records were it not for the preference given certified or compared copies. Recognition of
degrees of secondary evidence in this situation is an appropriate quid pro quo for not
applying the requirement of producing the original.
The provisions of 28 U.S.C. S 1733(b) apply only to departments or agencies of the United
States. The rule, however, applies to public records general/y and is comparable in scope in
this respect to Rule 44(a) of the Rules of Civil Procedure.
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NOTES TO RULE 1 006
HISTORY:
(Jan. 2, 1975, P.L. 93-595, 9 1, 88 Stat. 1946.)
Notes of Advisory Committee on Rules.
The admission of summaries of voluminous books, records, or documents offers the only
practicable means of making their contents available to judge and jury. The rule recognizes
this practice, with appropriate safeguards. 4 Wigmore 9 1230.
NOTES TO RULE 1007
.
HISTORY:
(Jan. 2,1975, P.L. 93-595,91,88 Stat. 1947; Mar. 2,1987, eff. Oct. 1, 1987.)
Notes of Advisory Committee on Rules.
While the parent case, Slatterie v. Pooley, 6 M. & W. 664, 151 Eng. Rep. 579 (Exch. 1840),
allows proof of contents by evidence of an oral admission by the party against whom offered,
without accounting for nonproduction of the original, the risk of inaccuracy is substantial and
the decision is at odds with the purpose of the rule giving preference to the original. See 4
Wigmore 9 1255. The instant rule follows Professor McCormick's suggestion of limiting this
use of admissions to those made in the course of giving testimony or in writing. McCormick 9
208, p. 424. The limitation, of course, does not cal/ for excluding evidence of an oral
admission when nonproduction of the original has been accounted for and secondary
evidence general/y has become admissible. Rule 1004, supra.
A similar provision is contained in New Jersey Evidence Rule 70(1)(h).
Notes of Advisory Committee on 1987 amendments to RIles.
The amendment is technical. No substantive change is intended
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NOTES TO RULE 1008
.
HISTORY:
(Jan. 2, 1975, P.L. 93-595, S 1, 88 Stat. 1947.)
Notes of Advisory Committee on Rules.
Most preliminary questions of fact in connection with applying the rule preferring the original
as evidence of contents are for the judge, under the general principles announced in Rule
104, supra. Thus, the question whether the loss of the originals has been established, or of
the fulfil/ment of other conditions specified in Rule 1004, su'pra, is for the judge. However,
questions may arise which go beyond the mere administration of the rule preferring the
original and into the merits of the controversy. For example, plaintiff offers secondary
evidence of the contents of an al/eged contract, after first introducing evidence of loss of the
original, and defendant counters with evidence that no such contract was ever executed. If
the judge decides that the contract was never executed and excludes the secondary
evidence, the case is at an end without ever going to the jury on a central issue. Levin,
Authentication and Content of Writings, 10 Rutgers L.Rev. 632, 644 (1956). The latter portion
of the instant rule is designed to ensure treatment of these situations as raising jury
questions. The decision is not one for uncontrol/ed discretion of the jury but is subject to the
control exercised general/y by the judge over jury determinations. See Rule 104(b), supra.
For similar provisions, see Uniform Rule 70(2); Kansas Code of Civil Procedure S 60-467(b);
New Jersey Evidence Rule 70(2), (3).
The above information was obtained from the U.S: Code on the Cornell University, Law
website. htto://www2./aw.comel/.edu
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TAB
"G"
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Appendix G - Winter Springs Identified Documents Listing
.
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Winter Springs Departmental Documents Identified
.
Paae 1 Winter SDrin s Document Listina By DeDartment
N
.!!.. >- >-
Ayg. )( " u
c: c:
G> .. Of
Number of c.. Ayg Docs " " ..
<T <T "
DeDartment Document Name Paces '" Generated .. .. - Annual 1/ of Panes
C .t ::. ~
City Clerk Permits Summaries 13 1 1 D 260 3380
Citv Clerk Resolutions 10 1 4 M 12 480
Citv Clerk Minutes 15 1 12 M 12 2160
City Clerk Acendas 8 1 12 M 12 1 152
City Clerk Ordinances 10 1 4 M 12 480
Citv Clerk Roard Att"nrlan"e 1 1 10 M 12 1'0
City Clerk Board Salaries 2 1 1 M 12 24
City Clerk Labels 1 1 1 M .12 12
Citv Clerk Disnosition Forms 1 1 1 W 52 52
City Clerk Charter 19 1 1 W 52 988
Finance Denreciation Renort Fixed Assets 142 1 1 M 12 1704
Finance Fixed Asset List 147 1 1 A 1 147
Finance INCT6 7 1 1 Q 4 28
Fin~nce 941 , 1 1 Q 4 8
Finance Quarterly Pension Snreadsheet 10 1 1 Q 4 40
~inance Pension Statements 9 2 1 M 12 216
Finance Pension Wire Adyice 10 1 1 BW 104 1040
Finance IWnrker's Cnmn 10 1 1 0 4 40
Finance Authorization Anreem"nl nirecl nen 1 1 1 BW 104 104
Finance Tax Deposits 1 2 1 BW 104 208
Finance P~vroll rim., !':nread~he.,t .13 1 1 BW 104 447'
Finance Pavroll Journal 32S 1 1 BW 104 33 800
Fin~nce Proof list 3'5 1 1 BW 104 33 800
Finance Check Attach 1 1 1 W 52 52
Finance Cash Recuirement Renort 50 1 1 W 52 2600
Finance Cash Disbursement Renort 50 1 1 W 52 2600
Finance GIL Inauiry 50 1 1 M 12 600
Finance PO 3 1 10 D 260 7800
Finance Inyoices 1 1 50 W 52 , 600
Finance W-9's 1 1 500 A 1 500
Finance Inyoice Maintenance 4 1 '5 D 260 26 000
Finance Daily Transactional Journals FY03 3 1 1 D 260 780
Finance Dennsit Slin FY 03 1 1 1 D '60 260
Finance Sales Tax Return FY 03 5 1 1 A 1 5
Finance Journals-Monthly Summary 500 1 1 M 12 6000
Finance Contraband Forfeiture Renorl 5 1 1 M 12 60
Finance Seminole Countv Receints 1 1 1 M 12 12
Finance State of Florida Receints 1 1 1 M 12 12
Finance FY 03 Fuel Tax Returns 1 2 1 M 12 24
Finance Bank Statements FY03 5 1 1 M 12 60
Finan"e IFinal Rudaet 135 1 1 A 1 135
Finance AIR Payments Proof 25 1 1 M 12 300
Finance AIR Payment Journal 10 1 1 W 52 520
Finance Pension PaQe 3 1 300 A 1 900
Finance Line Corl., Tr"nsf"r 3 1 3 D 260 23AO
Finance IBudoet Doc m;;t Sunnort 170 1 1 M 12 2 ()~O
.
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Paoe2 Winter Sorin s Document Listina By Deoartment
N
.!!... >- >-
Ayg. I( u u
c c
Gl Q/ Q/
Number of a. Ayg Docs ::t ::t Q/
<T <T::t
Deoartment Document Name Paaes ~. Q/ Q/- Annual II of Paaes
C Generated ~ ~~
Finance-US Refunds/Reversals Proof S 1 2 D 260 2.600
Finance-US Encodino Taoe 5 1 1 D 260 1300
Finance-UB Reversal Reoort 1 1 1 D 260 260
Finance-US AIR Payments Proof 25 1 1 D 260 6500
Finance-UB Payment Proof 15 1 40 D 260 156 000
Finance-US Account Trial Salance 500 1 1 M 12 6000
Finance-US I Post Summ"rv Journal 1 1 1 M 12 12
Finance-US Sill Main Audit Report 5 1 1 M 12 60
Finance-US IAneinn ReDor! 300 1 1 D 260 78 000
Finance-US Detail Receivables Reoister 400 1 1 M 12 4.800
Fin"nl'''-UB Annlv CreditslDflnnsits 15 1 1 W 5? 780
Finance-US Cutoff Fees 35 1 1 W S2 1820
Finance-US Application 1 1 17 D 260 4420
Finance-US Renuest for Disconnect 1 1 8 D 260 2080
Finance-US Reouest for Adiustment 1 1 25 W S2 1300
Finance-US Final Sill Run 50 1 1 W 52 2600
Finance-US Late Fees 50 1 1 W 41 2050
Finance-UB Delinouent Notices 175 1 1 W 52 9100
Finance-US UlB Gen AIR Journal Entri"s 7 1 1 W 52 364
Finance-US U/S Charae Proof Reaister 500 1 1 W 52 26 000
Fir" S"'minole County EMS Reoor! 2 1 5 D 260 2.600
Fire Seminole County Patient RepOrt 20 1 19 D 260 98 800
Fire Monthlv Hvrlrant Insnflct;nn 6 1 1 M 12 72
Fire Hvrlr>>nt AcceDtance 8 1 1 M 12 96
Fire CPR Rosters/Public Proarams/Events 30 2 2 D 260 31200
Fir" IV"hid.. Lnrknllt Form 1 1 6 D 260 1560
Fire Shift Swan Leave Records 1 1 2 D 260 520
Fire Rlln Renorts Em..menrv 6 2 90 D 260 280 800
Fire Trainino Reoorts 100 1 1 M 12 1,200
Fire Rescue Vehicle Inventorv 4 2 6 D 260 12,480
Fir.. Monthlv Hvdrantlnsnection 4 1 10 M 12 480
Fire Fire Department Pavroll Sheets 5 1 5 D 260 6500
Information Services EmDlovee Accident ReDort 1 1 1 A 1 1
Information Services AnDroval Reouests Hardware/Softwar 10 1 1 M 12 120
Information Services Budnet Records Sunnort Records 150 1 1 A 1 150
Information ~ervices Check Reouest/Forms DUDlicates 1 1 3 M 12 36
Information Services Correspondence/Non-Routine Dup 1 1 3 W 52 156
Infnrm"tion Servir.." Corre"nnnnenc",/Rn, 'tine Duolicate 1 1 1 D 260 260
Information Services Corresoondence/Routine Record CODY 1 1 1 D 260 260
Inform"tinn Servic"" Denartinn 11""'r / R"'rnrrl Cony 1 1 5 M 12 60
Information Services Department Payroll Sheet 1 1 1 SW 104 104
Information Services Employee Leave Salance Report 1 1 1 BW 104 104
Information Services Enuinment Files/Record CODY 30 1 5 M 12 1800
Information Services IT Newsletter/Record COpy 4 1 1 M 12 48
Information Services Ind EmDlovee Pavroll Sheet 1 1 160 A 1 160
Information Services Leave Reouest FormslDuplicate 1 1 3 M 12 36
Information S"rvi"es Le""IOninion"lDllnlil'-"lte 5 1 1 M 12 60
Informatinn Service" Line r.nrl", Transfer Reouest Forms 1 1 5 M 12 60
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.
Human Resources AccidenVln"urv Renor! 2 2 1 W 52 208
Human Resources Accident-Suooorlina Documents '5 1 1 w 52 1 300
Human Resources Pavroll Leave Reauest 50 1 1 BW 26 1 300
Human Resou'ces Dental ~n'ollment 4 1 315 A 1 1260
HOlmAn 4'i7 npfp",.rl PIAn , ~1'i A 1 63C
..~~n "~7 1 , ~1'i A 1 R~r
H ,m~n H..~It" 1 1 315 A 1 ~1~
Human Resources Beneficiav Desinnation 1 1 350 A 1 350
Human Resources ITermination Vacation Pay Reauest 1 1 35 A 1 35
Human Resources Exit Interview 1 2 35 A 1 70
Human Resources I ~xit Interview Release Form 1 1 35 A 1 35
Human Resources Emnlovee Exit Check list 1 1 35 A 1 35
Human Resources New Personnel Authorization 1 1 35 A 1 35
Human Resources I ProbationarY Periorl 1 1 35 A 1 35
Human Resources Form 1-9 Em%vment Elioibilitv Verif 1 2 35 A 1 70
Human Resources Form W-4 1 2 100 A 1 200
Human Resources Public Records Reouest 1 1 1 W 52 52
Human Resources I ~mnlovee ~valuaion ~orm 2 2 315 A 1 1 260
Human Resources Personnel Action Form- Annual Reviev 1 1 315 A 1 315
Human Resources Education Incentive Loan Pronram 1 1 15 Q 4 60
Human Resource_ Sick Leave W"iver 1 1 50 A 1 50
Human Resources Persona/Information Form 1 1 315 A 1 315
Human Resources AuthorizAtion for Automatic Denosits 1 1 50 A 1 50
Human Resources I lnum Life Insurance Form 1 1 315 A 1 315
Human Resources Emnlovment Annlication 1 1 35 A 1 35
Community Dev Permits - nocuments 1 1 70600 A 1 70 600
Communitv Dev Permits - Maos 16 1 2500 A 1 40 000
ommunitv Dev Occuoational Licenses 1 1 15195 A 1 15195
1 027 559
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Police Department Documents Identified
.
Winler Snrin"s Police Denartment. Master Listing of Forms
"
GROUP Avgl/o 1/ of .. 1/ of ADnua
Q.
1/ FORM NAME Pages Reports FrequeDCV " Documents
Q
1 ARREST/NOTICE TO APPEAR' 8 2.5 D 260 I 5200
1 ARREST COVERSHEEP
I A RR"~T r1-fl'r1(f I~T
1 CAPIAS REOUEST'
2 DAILY TIMESHEETS 1 30 D 260 1 7800
3 FIELD CONTACT CARD 2 1 D 260 2 1040
4 MEMORAl'o.'DUM 2 I D 260 1 520
5 NOTICE OF CODE VIOLATION DOOR HANGER I 10 D 260 2 5200
5 WARNING NOTICE OF CODE VIOLATION
6 nFFENSEIN , 8 7 D 260 1 1Q "0
6 NARRATIVE CONTINUATION'
6 PERSONS REPORP
6 pRnpERIT REPORP
6 v"mro' ,
6 STATEMENT FORM
6 VE
6 PETITION AND AFFIDA VIT FOR COSTS
7 I"v ERIT REr"TP1 1 1 D 260 -,- T 040
7 EVlDENCElPROPERIT RECEWf CONTINUATION
8 ITRA""I. N 2 24 D 260 1 " 480
8 SUPPLEMENTARY CITATION INFORMATION
9 TRAFFIC CRASH LONG FORM 5 2 D 260 I 2600
9 - . --.- _.
9 TRAFFIC CRASH UPDA TElCONTlNUA TlON FORM
10 TRESPASS WARNING' I I D 260 1 260
II WARRANT DETENTION AFFlDA VIP 5 I D 260 1 1300
12 TRAFFIC WRITIEN WARNING 2 5 D 260 2 5200
13 EMERGENCY CONTACT 3 80 Y I I 240
14 ""'" ^~E E II~T 3 7 Y 1 1 '1
15 FIREARMS MODIFICATION REnt '''q I 7 Y I I 7
16 PAYCHECK RELEASE I 6 Y I 1 6
17 EMPLOYEE INCIDENT REPORT 2 10 M 12 1 240
18 FMPl.0YFEPFRFORMANCE "VAIIIATlnN 2 80 Y 1 I 160
19 EMPLOYEE VIOLATION REPORT 2 10 M 12 1 240
20 FAX COVERSHEET I 10 D 260 I 2600
21 IGENERAL ORDERS 15 20 y I 1 300
?? MEMR"R'~ rnUNSELING FnRM 1 8 M 2 I 96
23 STANDARD OPERATING PROCEDURES 15 15 Y 1 1 225
14 1 7 W 51 I u:
25 GI.OCK N FORM I 70 Y 1 I 7n
26 REMINGTON 870 SHOTGUN ARMORER'S CHECKLIST I 60 Y I I 60
27 RIFLE ISSUE LOG 1 60 Y I 1 60
28 '~HOT(;( TN I"SUE LOr. I 60 Y I 60
29 rRIME S RFPORT 3 20 y I I 60
30 DEPARTMENT MONlliL Y REPORT 25 12 Y I I 300
31 ' REPORT 10 4 y I An
~1 n"p ~ 10 1 Y 1 '0
33 INDNlDUAL RECORDS RETENTION REOUEST 2 3 Y I I 6
34 RECORDS DISPOSITION FORM 2 40 Y I I 80
35 TR A "FJr ANA LYSIS REPORT 10 I Y I I 10
'1h IIC ,FnRM 1 14 Y 1 '8
37 UCR CRIME REPORTS ARREST FORM 2 14 Y ] 1 28
"Ul Rl 1 5 y 1 I 5
39 urR LAW FNFnRCEMENT OFFJrER KIl LI"D OR AS"AT TI TED REPORT I 3 Y I I 3
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GROUP Avg # of # of '" # of Annual
C.
# FORM NAME Pages Reports Fret uency = Documents
Q
40 UCR OFFENSE WORKSHEETS 10 12 Y I 1 120
41 UCR SUPPLEMENTAL HOMICIDE REPORT 2 1 Y I 1 2
42 AFFIDA VIT OF REOUEST FOR INVESTIGATIVE SUBPOENA 1 2 M 12 1 24
43 BURGLARY CHECKLIST I 5 M 12 1 60
44 CCA T SUPPLEMENTAL INVESTIGATIVE REPORT 5 2 M 12 I 120
45 CHILD ABUSE CHECKLIST 1 5 M 12 1 60
46 CIB CASE CLOSURE REPORT 1 20 M 12 1 240
47 CONFIDENTIAL INFORMANT FILE 4 I Y 1 1 4
48 CONSENT FOR RELEASE OF INFORMATION I 1 M 12 1 12
49 INTELLIGENCE BULLETIN 2 5 M 12 1 ]20
50 INTERVIEW ROOM INSPECTION SHEET 1 10 M 12 I 120
51 INVESTlGA TlVE FUND VOUCHER I 1 M 12 1 12
52 INVESTIGATORS CASE PROGRESS NOTES 3 40 M 12 1 1440
53 PA WN DEALER'S AFFlDA VIT 1 3 M 12 1 36
54 PROPERTY HOLD ORDER 1 3 M 12 1 36
55 REPORT OF INVESTIGA TION 3 5 M 12 1 180
56 RETURNED PROPERTY AFFIDAVIT 1 3 M 12 I 36
57 ROBBERY CHECKLIST 1 1 M 12 1 12
58 SEX CRIMES REPORT 13 1 M 12 1 156
59 STATEMENT OF PA WN DEALER 1 3 M 12 1 36
60 STATEMENT OF PROPERTY OWNER 1 3 M 12 1 36
61 VCO COMPLAINT SHEET 1 600 M 12 I 7.200
62 1010 STATUS SHEET I 3 M 12 1 36
63 ARE YOU OK. FIELD INTERVIEW FORM 1 5 M 12 1 60
64 COMMUNlCA T10NS ERROR SHEET I 1 W 52 1 52
65 COMMUNICATIONS OP INDOClRINA TION CHECKLIST 2 6 Y 1 1 12
66 CRIMINAL HlSTORY REOUEST LOG 3 12 Y I 1 36
67 CTL LOG 3 12 Y 1 I 36
68 E911 SALARY REIMBURSEMENT 1 1 Y 1 1 1
69 EOUIPMENT CHECK-OFF LIST I 2 D 260 I 520
70 EVENT REPORT AUDIT 1 5 M 12 I 60
71 HOUSE CHECK 1 5 W 52 2 520
72 INCIDENT NOTIFICATION LIST 1 5 M 12 1 60
73 PARTY INFO SHEET 1 5 D 260 I J,300
74 PASS ALONG LOG 3 1 W 52 1 156
75 REPO LOG 1 ] W 52 1 52
76 SICK LOG 1 1 M 12 1 12
77 SIGNAL 11 LOG 3 I M 12 1 36
78 TELETYPE CANCELLA TION FORM ] 15 M 12 I 180
79 TELETYPE CANCELLATION MISSING PERSON 1 3 W 52 I 156
80 TELETYPE ENTRY FOR ARTICLES I 10 M 12 1 120
81 TELETYPE ENlRY FOR VEHICLE PARTS I I M 12 1 12
82 TELETYPE ENTRY FORM I 30 M 12 I 360
83 TELETYPE ENTRY MISSING PERSON I 3 W 52 1 156
84 TELETYPE VEHICLE ENTR Y RECOVER Y FORM I 4 M 12 I 48
85 BICYCLE REGISTRA TION FORM I 50 Y 1 1 50
86 BUSmESS SECURITY SURVEY I 50 Y 1 1 50
87 CITIZEN'S ADVISORY COMMITIEE SIGN IN SHEET I 12 Y 1 I 12
88 DARE DOCUMENTATION FORMS 6 6 Y I I 36
89 EXPLORElMINOR RIDER RELEASE FORM 1 2 M 12 1 24
90 EXPLORER ACCOUNT SHEET 1 10 M 12 I 120
91 EXPLORER EOUIPMENT SHEET .1 10 Y 1 1 10
92 EXPLORER ID SHEET 2 10 Y ] 1 20
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Records Management Plan
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"
Avg # of # of ..
GROUP Q. # of Annual
# FORM NAME Pages Reports Fre uency ::l Documents
Q
93 EXPLORER INCIDENT REPORT 1 5 Y 1 1 5
94 EXPLORER TlME SHEET 1 10 M 12 1 120
95 NEIGHBORHOOD WATCH SIGN IN SHEET 1 5 M ]2 I 60
96 RAD DOCUMENTA TlON FORMS 5 6 Y 1 J 30
97 RESIDENTIAL SECURITY SURVEY 1 50 Y 1 1 50
98 HOSTAGE-BARRlCADE REPORT 5 5 Y 1 1 25
99 BUSINESS NIGHT REFERENCE AND ALARM SYSTEM REG1STRA TlON 1 10 M 12 ] ]20
100 ERT AFTER ACTION REVIEW 4 6 Y 1 I 24
101 ERT VEHICLE INVENTORY INSPECTlON 2 1 M 12 I 24
102 ADMINISTRATlVE INVESTIGATlON INTERVIEW FORMAT 1 15 Y 1 I 15
103 ADMINISTRA TlVE PROCEEDING RlG HTSIRESPONSIB1LITlES 1 5 Y 1 I 5
104 AFFIDAVIT OF APPLICANT 2 10 Y I 1 20
105 AFFIDA VIT OF NON-SERVICE 1 10 Y 1 1 10
106 AFFIDA VITOF SEPARATlON 2 2 Y 1 1 4
107 APPLICA TlON LEITER 1 25 Y 1 1 25
108 AUTHORlZA TION FOR RELEASE OF CONFIDENTIAL INFORMA TlON IClB also) 1 25 Y 1 I 25
109 BACKGROUND INTERVIEW FORM I 100 Y I 1 100
110 BACKGROUND INVESTIGATION WAIVER CJSTC#58 I 10 Y 1 I 10
111 BACKGROUND INVESTIGATION WORKSHEET 2 10 Y 1 I 20
112 BACKGROUND RELEASE 1 10 Y I 1 10
113 CITIZEN COMPLAINT REPORT MEMO 3 10 Y 1 1 30
114 CITIZEN'S COMPLAINT FORM 1 10 Y 1 1 10
115 CREDIT CLIENT INFORMATION FORM/AGREEMENT 10 10 Y 1 1 100
116 DISPOSmON NOTIFICATION MEMO I 3 Y 1 1 3
117 DRUG TEST CONSENT FORM 3 10 Y 1 1 30
118 EDUCATION ACHIEVEMENTS 2 10 Y ] 1 20
119 ELIGIBILITY LIST LEITER I 12 Y 1 ] 12
120 EMPLOYMENT BACKGROUND INVESTIGATIVE REPORT 1 3 Y 1 1 3
121 EMPLOYMENT VERIFICATION LEITER I ]0 Y 1 1 10
122 EMPLOYMENT VERlFICA TION OUESTIONNAIRE 2 10 Y 1 1 20
123 FOC EMPLOYMENT INOUlRY RELEASE ] 10 Y ] 1 10
124 FINGERPRINT NOTlFICA TION FORM 1 3 Y I I 3
125 HIGHER EDUCA TlON REPORT FORM 1 2 Y 1 I 2
126 IA REPORT 10 3 Y 1 I 30
]27 IA REQUEST I 3 Y 1 ] 3
128 INTERNAL INVESTIGA TlON REPORT I 1 Y 1 1 1
129 INTERNAL INVESTIGATION SIGNOFF SHEET I 3 Y I 1 3
130 INVESTIGA TlYE SERVICES REOUEST IFDLE BACKGROUND) 1 25 Y I I 25
131 MANDATORY RETRAINING REPORT 2 ]8 Y I I 36
132 NAME CHANGE 1 I y I 1 1
133 NEIGHBOR INTERVIEW OUESTIONS 1 30 Y 1 1 30
134 NOTlFICA TION OF CHARGES I 3 y 1 1 3
135 NOTlFICA TlON OF RECORDED INTERVIEW I 15 Y I I 15
136 PERSONAL REFERENCE QUESTIONNAIRE 3 10 Y 1 ] 30
137 POLICE RECORDS CHECK 1 10 Y ] 1 10
138 REASSIGNMENT MEMO FOR CITIZEN COMPLAINTS 1 7 Y 1 1 7
139 REGISTRATION AFFIDAVIT OF COMPLIANCE 2 3 Y ] I 6
140 REJECTION LEITER I 8 y I I 8
141 RELEASE OF INFORMATION I 10 Y ] I 10
142 RELIEF OF DUTY I 1 Y 1 I ]
143 REOUEST PERTAINING TO MILITARY RECORDS I & 2 3 10 Y I 1 30
144 STATEMENT OF PERSONAL HISTOR Y 22 10 y ] 1 220
145 TENANT VERlF1CA TION OUESTlONNAIRE 2 10 Y 1 I 20
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Winter Snrinp< Police De",utment - Master Listing ofFonns
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..
GROUP Avg II 0 II of Q, II of Annual
II FORM NAME Pages Reports Fre uencv ~ Documents
146 WAIVER OF COUNSEUREOUEST TO SECURE COUNSEL 1 3 y I I 3
147 WARNINCi OF' ffiN R 1r.1-IT<:: I I Y 1 1 1
]48 AED LOG ] I 2 M 12 I 24
149 IAED ].f)(; 2 1 2 M 12 1 14
150 AFFIDAVIT FOR BOND RELEASE 1 15 M 12 1 ]80
151 APPlICATION FOR EXTRA DlJfY DET AIL<:: ] 2 M 12 I 14
152 AREA PATROL REQUEST 1 20 M 12 I 240
]53 ARRESTEE DETAINEE PROPERTY SHEET 1 20 M 12 1 240
154 BANK LOG ] 3 M 12 1 36
1"5 'M~"Eq 1 7 M 12 1 114
156 BICYCLE OFF]CER INVENTORY LIST 1 1 M 12 1 ]2
157 BlrvrT LIST 1 1 M 12 1 12
]58 CITATION ACCOUNTABILITY RECORD 1 120 M 12 I 1.440
159 mDE100 I 4 Y 1 1 4
160 CONSENT TO DRAW BLOOD 1 10 Y 1 1 10
161 CRIME SCENF. LOG 3 3 M 12 I i08
162 CRIMINAL INTELLIGENCE REPORT 1 5 M 12 1 60
163 rRTMINAL STREET GANCi FORM 3 1 M 12 1 36
164 DEFENSIVE AcnON REPORT 3 2 M 12 1 72
]65 Dl II fM1J()1 ATlnN 1 2 y 1 1 2
166 EXEMPTION FROM PUBLIC RECORD 1 20 M 12 I 240
11'.7 I"A' , Tor. I 20 M 12 1 14n
168 GANG MEMBER INFORMATION SHEET 2 ] M 12 I 24
169 : RADAR lor. 1 20 M 12 1 140
]70 GOLDEN EAGLE RADAR LOG 1 10 M 12 1 120
171 ' tr" 1 1 M 12 1 11
172 IMPACT MUNITIONS REPORT FORM 3 4 y 1 1 12
173 IMPLIED CON<::ENf 1 80 Y 1 1 80
174 INFEcnous EXPOSURE REPORT 1 6 Y 1 ] 6
175 INTI JNcnON FOR PROTEcnON DATA SHEET 1 2 M 12 1 24
176 INVOLUNTARY EXAMINATION 1 8 M 12 I 96
177 : Inr. I 1 Y 1 1 1
178 MCU VEHICLE INVENTORY INSPECT]ON 2 I M 12 1 24
179 MERITORIm'~ ,~~. REPORT 1 4 M 12 1 ,18
180 MIRANDA WARNING I 15 M 12 1 ]80
181 N 1 10 M 12 I 120
182 NOTICE OF FORFEnuRE 1 2 Y I ] 2
lR, F I 2 y 1 1
184 NOTlCEOFUNAVMLABILITY 1 5 M 12 I 60
185 OFFENDER MANAGEMENT ST A rus REPORT 2 10 M 12 I 240
186 OFFENDER MANAGEMENT STATUS REPORT SUPPLEMENT 2 10 M 12 1 240
187 OPERATIONS PLAN 4 12 Y I 1 48
188 PATROL CASE CLOSURE REPORT 1 20 M 12 I 240
189 PATROL """'''9> "'''AI'lATION 2 65 Y 1 1 130
190 PERMISSION TO SEARCH PREMISES 1 2 M 12 I 24
191 PERMISSION T I YFHIC'LE I 2 M 12 ] 1,1
192 PHOTO LINEUP 10 1 1 M 12 1 12
191 nn" , C'''R n Lf)(; 1 20 M 12 1 140
194 PROSECUTION RELEASE 1 20 M 12 1 240
]95 RIDER RELFASE FORM I 5 M 12 1 60
196 SAO DOMESTIC VIOLENCE SUPPLEMENT I 15 M 12 2 360
197 SAO VICTIM INFORMATION FAX 1 15 M 12 I 180
198 SARA 6 6 Y I I 36
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Winter Sorings Police Deoartment - Master Listing of Forms
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GROUP Avg # of #of ., # of Annual
C.
# FORM NAME Pages Reports Fre. uencv = Documents
Q
199 SCHEDULE CHANGE REQUEST I 2 M 12 1 24
200 SEMINOLE COUNTY MEDICAL EXAMINER'S DEATI-I REPORT I 24 Y 1 2 48
201 STALKER RADAR LOG ] 20 M 12 1 240
202 STOLEN VEHICLE AFFIDAVIT 2 3 M 12 I 72
203 SUPERVISOR'S EVENT LOG 1 30 M ] 2 1 360
204 SURVEILLANCE CHECKLIST ] ] M 12 I ] 2
205 TALON RADAR LOG 1 20 M 12 1 240
206 TASERREPORTFORM 1 1 M 12 1 12
207 TRAFFIC COMPLAINTS I 8 Y 1 1 8
208 TROOPER RADAR LOG 1 20 M 12 I 240
209 UNIFORM INSPECTION REPORT 1 60 M ]2 1 720
210 VEH]CLE IMPOUND & INVENTORY 1 10 M 12 1 ]20
211 VEHICLE INSPECTION REPORT I 60 M 12 1 720
212 VEHICLE INSPECfION REPORT MOTORS 1 6 M 12 1 72
213 VICTIM NOTIFICATION I 10 M 12 I 120
214 VICTlM'S NOTICE OF SAO APPOINTMENT 1 15 M 12 I 180
215 VICTIM'S NOTICE OF SAO APPOIN1MENT ISPANISH) I 15 M 12 1 180
216 WAIVERS AND AFFIDA VITS I 5 D 260 2 2,600
217 REOUEST FOR CONSIDERA TION FORM - PPRB I 20 Y ] I 20
218 CITATION TRANSMlTIALS 2 5 W 52 1 520
2]9 DAILY CASH TRANSMITIAL FORM I 3 W 52 1 156
220 MISSING PAPERWORK LIST 1 5 W 52 I 260
221 MONEY DOCKET FOR PARKING VIOLATIONS I I M 12 1 12
222 PAPERWORK RETURN FORM ] 3 D 260 I 780
223 RECORDS CHECK OUT LOG 1 25 Y 1 1 25
224 RECORDS DAIL Y CITATION LOG 1 120 M 12 1 1440
225 REOUEST FOR COPIES RECEIPT 1 10 D 260 1 2600
226 SAO OFFICER DISPOSITION REPORT FORM 1 50 W 52 1 2,600
227 SUBPOENA LOG 24 I Y 1 1 24
228 ACCIDENT INFORM A TION 1 4 Y 1 I 4
229 ARREST INFORMA T]ON 1 4 Y I I 4
230 BACKGROUND INFORMATION 1 4 Y 1 1 4
231 CASE SUMMARY 3 4 Y 1 1 12
232 CHEMICAL TEST INFORMA TION 1 4 Y 1 I 4
233 COVER SHEET I 4 Y 1 1 4
234 INVESTlGA TION RELEASE 1 4 Y I I 4
235 MOTORCYCLE MOPED PEDACYCLE INSPECTION I 4 Y 1 1 4
236 MUL TIAXLE VEHICLE SURF ACE MARKS 1 4 Y 1 1 4
237 MUL TIAXLE VEHICLES 2 4 Y 1 ] 8
238 PERSON DATA SHEET 1 4 Y 1 1 4
239 PHYSICAL EVIDENCE 1 4 Y 1 1 4
240 PROPERTY TAKEN INTO CUSTODY (PERSONAL) 1 4 Y ] I 4
24] PROPERTY TAKEN INTO CUSTODY IVEHICLEim 1 4 Y 1 ] 4
242 TABLE OF CONTENTS 1 4 Y 1 ] 4
243 TRAFFIC CRASH FATALITY REPORT 1 4 Y 1 1 4
244 TRAILER 1 4 Y 1 1 4
245 VEHICLE INFORMA nON SHEET 1 AND 2 2 4 Y 1 1 8
246 VEHICLE SURFACE MARKS I 4 Y 1 1 4
247 WITNESS LIST 2 4 Y ] 1 8
248 AEROSOL DETERRENT TRAINING EV ALUA TION 1 35 Y 1 1 35
249 CJS&T 15A TRAINING FORM 1 10 M 12 1 120
250 COMMUNICA TIONS TRAINlNG 42 6 Y 1 1 252
25] DAlL Y OBSERVATION REPORT 2 200 Y 1 1 400
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Winter Springs, Florida
Records Management Plan
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Winter Snnn". Police Denartrnent - Master Listin" ofFonns
...
GROUP Avg#of #of .. # of Annual
C.
# FORM NAME Pages Reports Frequency = Documenls
Q
252 EMPLOYEE INDOCIRlNA nON CHECKLIST 5 6 Y ] ] 30
253 EV ALUA nON RELEASE 2 ]2 Y 1 1 24
254 EXPANDABLE BATON TRAINING EV ALVA nON ] 35 Y 1 1 35
255 FIELD TRAINING CHECKLIST 30 6 Y 1 1 180
256 FIREARMS TRAINING EV ALUA nON 1 35 Y I I 35
257 IN-SERVICE TRAINING ROSTER 1 50 Y 1 1 50
258 LESSON PLAN OlITLINE 2 8 Y 1 I 16
259 LIBRARY SIGN our SHEET 1 1 Y 1 1 1
260 NON-SWORN EMPLOYEE INDOCTRINA nON CHECKLIST 2 ] Y I I 2
261 PHASE EV ALUA nON FORM ] 12 Y 1 I 12
262 RECORDS INDOCJ"RlNA nON CHECKLIST 2 I Y I I 2
263 ROUTING SLIP ] 3 M 12 1 36
264 SUPERVISORS OBSERV A nON REPORT 2 ]2 Y 1 1 24
265 TRAINING FILE REVIEW LOG 1 1 Y 1 1 I
266 TRAINING REQUEST 1 100 Y 1 1 100
267 TRAINING REOUEST CHECKLIST 1 6 Y I I 6
268 VIDEO SIGN our SHEET ] 1 Y 1 1 1
269 ASSET D1SPOSmON 1 12 Y I I 12
270 crr A nON SIGN our LOG 1 3 M 12 I 36
27] DEPARTMENT VEHICLE CONTRACT I 20 Y ] ] 20
272 DRUG DESTRUcnON ORDER 6 4 Y 1 I 24
273 FDUIPMENT PERMlSSION REOUEST 1 15 Y 1 1 15
274 EVIDENCE SIGN our SHEET I 3 M 12 ] 36
275 FIRST AID KIT INVENTORY 1 5 M 12 ] 60
276 HOLDING F ACILllY DAILY INSPEcnON I 12 Y 1 1 12
277 HOLDING FACILITY WEEKLY INSPECJlON I 2 Y 1 1 2
278 ID WORK ORDER 1 20 M 12 I 240
279 ISSUED DEPARTMENT PROPERlY LOG ]8 30 Y 1 1 54(
280 NanCE OF FOUND PROPERlY 1 12 Y 1 I 12
281 PROPERlY RELEASE FORM 1 15 M 12 1 180
282 REOUlsmON SLIP 1 30 M 12 I 360
283 SUPPLY IN our 1 1 M 12 1 12
284 VEHICLE DISCREPANCY SHEET 1 25 M 12 1 30(
285 VEHICLE TAKE HOME CONTRACT 1 3 Y I I 3
Plll!e6 116836
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Records Management Plan
Storage Documents Identified for Scanning
Winter Springs Imaging - Document Estimation
Finance Wall-City Clerk's Storaoe Room Pane 1 of3
Destruction
Document TYDe Drawers Dates Date Notes
Payment Proofs 4 5/31/01 - 9/28/01 N/A
Payment Proofs 12 1011/01 . 9130/02 N/A
Pavment Proofs 18 1011/02 - 9130103 N/A
Cash Receints 1 FY ?OOO N/A
Payroll 4.5 FY 2000 2005 .
WaterlSewer 2.5 FY 2001 2006
Pooled Cash 0.5 FY 2002 2007
rhecks " "'I" N/" eaal file cabinet 4 inches tall 1 ?hoxes
Cash Disbursement Receints Pavroll 0.2 1981 . '982 N/A Leaal Size 1.5 inches thick 1 sided Book
Cash Disbursement, Receiats Payroll 0.2 1979 - 1980 N/A Leaal Size 1.5 inches thick 1 sided Book
Cash Disbursement. Receiats Payroll 0.2 1983 - 1984 N/A Leaal Size 1.5 inches thick 1 sided Book
General Fund 0.2 1985.1988 N/A Leaal Size 1.5 inches thick 1 sided Book
Se~~' O.? 198" - '986 N/A Leaal Size 1 5 inches thick 1 side;;R;,;;k
Financial Ledne'" 0.8 981 - '98" """ o Inches Book
Buildina Fund Receiots 0.2 1983 - 1984 N/A Leaal Size 1.5 inches thick 1 sided. Book
YTD Comauter Printout General Ledaer Detail 1 88 - 89 93.94,87.89 N/A 11 x 17 12 inches deep Book
YTD Comauter Printout General Ledaer Detail 1 1993 - 1994 N/A 11 x 17 12 inches deep Book
YTD Comnuter Printout General Ledoer Detail 1 1987 - 1989 N/A 11 x 17 12 inches deep Book
Small Fund 0.2 1984 - 1985 N/A Leaal Size 1.5 inches thick 1 sided Book
General Fund 0.2 1984 - 1985 N/A Lenal Size 1 5 inches thick 1 sided Boo"
Assets 0.2 1986- 1987 N/A Leoal Size 1.5 inches thick 1 sided Book
Small Fund 0.4 1985 - 1988 N/A Leaal Size 3 inches thick 1 sided Book
Sewer 0.4 1986 - 1987 N/A Leoal Size 3 inches thick 1 sided Book
Assets O? 1980. Hl81 N/A enal <::ize 1 5 inr.hp. thlrk 1 sided Bank
Journal Fntries Sunnortinn Docs 1 FY 2000 N/A 8.5y11 with stanles
Debt Services Bank Account-Bank Statements 1 FY 92.93 94/95 Perm Record 8.5x11 with staples
Audit Journal Entries 1 FY 2001 N/A 8.5x11 31 paaes "x'7 Comnuter Paner Staples
Debt Services 1 1999 - 2000 Perm Record 8.5x11 with staples
Arbitrane 93 Rand <::eries/1989 Art-.itrane 1 '989& 1993 "'/A 8 5 y 11 I pnal romnuter Printouts
Collect inn etters ,- 1S-Mar.02 """ l<::tan1po
Collection Letters 1 FY 2001 - 2002 N/A Staales
Collection Letters 1 FY 2001 - 2002 N/A Staales
Collection Letters 1 FY 2001 .2002 N/A Staales
First Collections 1 FY 2002 N/A Staples
ccountinn Peaches 1 of 3 1 <=v ?003 N/" Staales
Accountina Peaches 2 of 3 1 FY 2003 N/A Staales
Accountina Peaches 3 of 3 1 FY 2003 N/A Staples
Collection Letters 1 FY 2002 N/A 8.5x 11
Write Offs 1 FY 2002 N/A 8.5 x 11, Leoal, Computer Printouts
prone"" Rpcords 1 1997.1098 N/A 8.5 y 11 enal r.o . tou's
Prone"" Record Cards 1 N/A N/A 65 = 1" Total = 36"
General Bank Statements 6 1998 - 1999 2004 Do Not Imaae
Bank Statements, Fuel Reports Concession Rpts 1 FY 2002 2005 8.5 x 11 Staples
Cilv Closina Files 1 FY 2002 N/A 8.5x 11
BNY Transaction Files 1 FY?001 N/A 8.5x 11
RNY Transaction t=llpo 1 t=V?001 NI" 8.5x 11
City Closina Files 1 FY 2002 N/A 8.5 x 11 Staples
Medical Transport Reports 1 FY 2002 N/A 8.5 x 11 Staples
State of Florida Receipts 1 FY 2002 N/A 8.5 x 1,. Staples
Seminole County Receipts 1 FY 2002 N/A 8.5 x 11, Staples
Analvsis <::tatemen s ,- t=v 200? N/A 8 <; y 11 <::tanles
Medical Transnort Renorts/Fuel Tax Return 1 ~Y ?001 - ?OO? ?004 8.5 x 11 <::tanles Do Not Imane
Audit Workpapers, Water Sewer AR, Fixed Assets Vol1 1 FY 2001 N/A 8.5 x 1,. Staples, Computer Printouts
Assets. Liabilities. Administration Vol 2&3 1 FY 2001 N/A 8.5 x 11 Staples, Computer Printouts
Audit Warkaaaers 1 FY 2000 N/A Mostly 8.5 x 11 Staples, Computer Printouts
Audit Worknaners 1 FV ?OOO N/A Ledner 11 x 17 8.5 x 11
Manthlv Closinn t=i1es 1 FY 2001 2004 8.5 x 11 nuestion about the 2004 Destrov Date
Miscellaneous Funds Dee's 1 FY 1998 -1999 2004 Do Not Imaoe
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Page 325
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Records Management Plan
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Wi'Er Sprgs hE91g - Docunert 86.aioo
Fia-ce WlIQy CIert(s Stacg! Rccm ~2d2
Deslru:tia1
I:kJa.mrtType r:r.w:rs IlEs DalB I'<<Es
FrartiaI ~ 1 FY1!m-1!E4 4Xl4 ll:>t"<<:H"'~:je 11 x 17 a TUe UJIl.U:i 12'
~a-d Fe; 0.5 FY2XXl- 2001 N'A rvba:l Carp..Er PTi1Ws Sla:i:s
FIXEd Assels 1 FY1!m-2XXl N'A FBlb3d scami"n 11 x 17, 8.5 x 11 ,Asset T a::IS
FIXEd Assels 1 FY1$2-1!m N'A 11 x 17 Carp..Er F'1iiDJs, 85 x 11
! PavroI Det:I 1 1002- 121m N'A 8. 5 x 11 Sla:i:s
Va:ai:n LeaI.e Baeroas, SaIarEs~, Co, p:il6CbJ 1 1!E4 - 2XXl R:m1 Realrd 8.5 x 11. ~ 8cTd I3cx::k;
I>tserals, Si:l< LeaI.e PlJttase, UrIEd I-Eah Cae, IAxt1y
PavroI Det:I 1 1CY1-4tl2 ;m; 8.5 x 11 SaEs
PavroI Det:I 1 4tl2 - 0Cl2 ;m; 8.5 x 11 sIa:Es
Pensi:n 401 457 Trreteels 1 FY2XXl- 2001 ;m; 8.5 x 11 ~ rrrrrv"" Pri1J:Us
R3nsi::n TI'CnSi:rs LCT6 Rants 1cms w:l.s 1 FY 1S93 - 2XXl :m; PriioJs M::ElW 11 x 17 8.5 x 11
P:MnI...l:lurraS 1 1001 -1m 4Xl4 ll:> N:t i"ra:2 8.5 x 11
PavroI Det:I 4 10r0-901 ;m; .AnV...6 PriioJs M::ElW 11 x 17 8.5 x 11
Trreteels 1 AJl2 Z1Jl lHIaI112 bax. 8.5 x 11112
I PavroI...l:lurraS 1 W3-7fJ3 :m3 8.5 x 11
FIXEd Assels 1 FY2OO1 -::m2 R:m1 Realrd 8.5x11 ~
I PavroI Det:I 1 1fJ3-7fJ3 Z1Jl 85 x 11 sIa:Es
R3nsi::n 1 FY ::m2 R:m1 Realrd 8.5 x 11 sIaEs 11 x 17 fIafberl
1 502 -1202 Z1Jl 8.5 x 11
I PavroI Det:I 1 Ba3 -12<l3 Z1Jl 8.5 x 11
I PavraI 0.4 1.Q1 -:ID1 1I.tr-a5 11 x17
PavroI 0.4 4Q1 -&01 J.naj 11 x 17
PavraI 0.4 7.Q1 - 001 Sa>ai 11 x 17
PavraI 0.4 1001-1201 D:oa5 11 x 17
FratE TrreCads 1 FY ::m2 ;m; 1l.a1al LeIIer Size Boxes)
FratE Trre Cads 1 FY 2001 :m; 1l.a1al LeIIer Size Boxes)
FIXEd Assels 1 FY ::m2 R:m1 Realrd I Sla:i:s
Paxut; Pa.I:tE 21 1CY1,Q1-00QIJ2 4Xl4 0LESTlCJ',I. Is deSro.t dale cmed. ll:> rU&:a1.
Pralertv Ra:x:xds13i d Sal3s 1 9Il- 2001/1 005 -:;m N'A 85 x 11 0:nni::rAi"bJs~
Paxut; Pa.I:tE 19 1 001'{x) - 9'1.Q1 4Xl4 ll:> rU iTB:l'!
AaBtvREmds 2 7/1.94-00Q04 N'A 8.5 x 11 rrrrrv..... PTi1Ws
Cat! . liP Q..Pa:xu1lrn.iv 1 1002-903 N'A 8.5 x 11
B::l Pcmas 2 ..m -NQI N'A ~ B:1rd B:x:lG, R:t B:d
Jla:o.rts Pavci:i3 0.5 N'A N'A 1" Brder, 11 x 17 F'li1J:xJs
TaaI 0IaIIes 166.7
TaaI 0IaIIes'" ~ IlDbescamed 115.7 @2SD=#Pcgos 200,2S)
NJTES: 6 rrae I:x:1xe; b IE deSr1:1,ej :m4. FY 2001 r-Jis::
Bai<SaEmrt;, CartvCm::essDl ~ RRBai<
Stiare;s, GereraI QBaliu BS $99
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Page 326
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;t1t:~ f't""rn, Jr.......r or Cn",,,,.,,,:
Winter Springs, Florida
Records Management Plan
Winter Springs Imaging - Document Estimation
Small Back Wall-Cltv Clerk's Storaae Roam Paae 1 of
Document Tvpe Drawers Dates Destruction Date Notes
Purchasina Bids 3 92/93 93/94 94/95 15 years Mixed Paper Bound Books Sairal Must Keea 15 years
Administrative Supaort Docs PIA Misc 1 95/96 N/A Comauter Paper 8.5x11
Bid Documents 1 94/95 15 years Mixed Paper Bound Books Soiral Must Keeo 15 years
Checks WaterlSewer Cash SummarY. Mise 1 98/99 N/A 8.5x11 mostlv
Purchasina Dept Pentamation Rea 2 N/A 10/1/2004 DO NOT IMAGE
Purchasina Dept Pentamatlon Rea 2 99/00 10/1/2004 DO NOT IMAGE
Purchasinn DeDt Ren 1100-2210 1 N/A 10/112001 DO NOT IMAGE'
we Closed 1 1997 2002 DO NOT IMAGE
we Closed 1 1998 2003 DO NOT IMAGE
Plannina and Zonina Meetina Minutes 1 2001 N/A !Tapes 8.5x11 Maps
cnv Clerk's Office 1 98/99 N/A 8.5x11 mostlv
TLBPAC and 2001 Oak Forest 1 2001 9/18 - 12/31/2001 8.5 x 11
CCBOWS 0.3 1999 N/A 8.5 x 11
CCBOWS 0.3 2001 N/A 8.5 x 11
BOA Charter 0.4 2001 N/A 8.5 x 11
ontracts 1 1994-1998? N/A Mixed
City Clerk Corresoondence 1 2001 N/A Mixed
cnv Commission Meetinas 1 9/8/97-10/27/97 N/A apes 8.5x11 Maps
Maos 1 N/A N/A Maps folded
Pension Plan Statements 0.5 FY 82/83 N/A Booklets 8.5x11
Bond Booklets 0.5 FY 95-96 N/A Booklets 8.5x11
Pension 1 1994 N/A Computer Paper 8.5x11
Pension 1 89-92 N/A Com outer Paoer 8.5x11
Cash Receiots 1 Oct/Nov 2000 11/01/04 DO NOT IMAGE-Blue Binders 8'~hick
Reaister Reports 1 AnriVMav 2001 05/01/04 DO NOT IMAGE
Pension Reoorts and Statements 1 2000 Perm 8.5x11 Bound Docs Spiral
Pension Reports and Statements 1 97-99 Perm 8.5x11 Bound Docs Spiral
Pension Reoorts and Statements 1 96-99 Perm 8.5x11 Bound Docs Spiral
Pension Reoorts and Statements 1 97-2000 Perm 8.5x11, Bound Docs Spiral
Bid Packaoes 2 1998 15 years Mixed Paoer Bound Books Soiral Must Keeo 15 years
Statement of Accounts/Propertv Records 2 91-92/91-93 N/A Blue Binders computer printouts
Bond Validations FMTPF Bond Docs 1 N/A N/A 8.5 x 11 Mixed
cnv Clerk Corresoondence 1 FY 02-03 N/A 8.5x11 Staples
cnv Clerk Purchase Orders 1 FY 00-01 N/A 8.5x11 Staoles
cnv Clerk Corresoondence 1 FY 00-01 N/A 8.5x11 Staoles
BOOKS Handbook for Committees Election Laws Statut 1 2000-2001 N/A Books
Public Records Reauest 2 N/A N/A 8.5 x 11 Staoles envelooes
@ Florida League of Cities, Inc.
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Page 327
8/16/2004
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Winter Springs, Florida
Records Management Plan
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Wnter Springs maging - Document Estil.lation
SrnaII Back WaJI.Cily Clerk's Sloraae Room ~2of2
Cocunert Type DraY.ers Dales DestIUclion DalB Naes
Etj~ 1 1!m 15~ Mlied
Rmrri ofTn~ Pension ,- 2rlV N1A
Etj PltJic SaEtv 1 1(}'1~ 15 \eaS
Biis RFPs 1 FY 9900 2lJ4? Bot.nd 8.5x11
R5k Cbsal 2 N'A 2002 CO /'Of I'vVCE
FMTF'F Pensicn D:la; 1 86-89 N1A 8.5x11 111x17 Bot.nd
lU3R 1 R'>.Q1 N/A T ~rP<: I rill
Camiss01 rmeli'ns. P&Z fv'OOin 1 88-98 N1A Tares I Alv
Bi::t POO<aJes 1 97-98 15 yeas Mlied 'am" Bot.nd Bod<S ~I rvtEll<PA'l15 ~
Bi::t POO<aJes 1 1!m 15 yeas Mlied 'am" Bot.nd Bod<S ~I rvtEll<PA'l15 ~
FlC - P\.ti:: PRS Broers 1 8M2 N1A Broers 8.5x11
Res 1 .Are m...<;M 98 10/112002 CO f\01" IM<\GE 8.5x11. RJaI
1 QQlY'l . ?lYl4
r"""'~ 1 ~.~ ~ ?rm? 2ff:'S? CO f\01" MACF?
Ca!tl RecEDs 1 liv~2lX S"l12OO3 CO /'Of I'vVCE
Ceti SeM:es B:rk STS 1 95-00 Perm 8.5x11 ",",,,I cbn&oc,
.AdrriisIrali.e Sw:xrt Rerortis 1 N'A 1 CV232OO3 00 NOT 1fvVl.GE. 8.5x11 ............. ......... bo.rd boci<s
Lam 1 !\VA N/A 1l.<;v11"'"'''1~
Fe; 1 Q7-98 Perm 8.5x11 ~I d:lnlPo. Bot.nd
1 97.ffi PMn 1l.5><11P.a::l1............ o. ....
Cl:y~~~""~OOilL.ei"ll.s'2ii Q7-2OO.J 8.5x11 ~I. staoes. Bot.nd
"" WSF.J1-<p' ~ Fies 1 Perm
1 Q7.Qll PMn 11l.fu<111eoa1............. o. ....
I -"' ^.... ")A CorrDorVtsion Plan PI;nYn D:la; 4 1997 N1A 1M::lrn 8.5x11 11x17 ~
Used BaIot Ma1eriaIs 1 N'A N1A fI./ixED. slaOOs
Coci:! 8100 re I e II-Oak. Faesl 2 N'A N1A fI./ixED. stD!s
35th 2 N'A 1!m CO /'Of I'vVCE
",~",,","" n.li 1v'a"..QQ N/A l' ~~.
General FlTd 0.5 1995 N1A 11x17
Res Charter Re\le.w rEaYd<;R~ ( 1 N'A 2(XE Mlied
1l.AB[)6.C Blml efT rusi3es 1 N'A N1A I Bo..rrl Tares
/'o&v EIedi:n Padca:F.s Slate Fams em D:la; 1 N'A N1A Mlied
/'o&v EIedi:n POO<aJes Slate Fams em D:la; 1 N'A N1A Mlied
2 2m2 N1A IMlRi
... . I'l>..w.t Mise Res 4 !\VA N1A IMlRi
1 1m7 N1A 8.5x11
TolaI DraY.ers 86
T oIaI DraY.ers to be scanned 01 ff'/)?"lYl=#~ 101 !m
NJTES: PI<rri"D em larQ has a/:o.Jt 5 ~ Del" vea-. Coci:! Enforoomenl has aD d10 lS.
T~to . :<..
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I I
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@ Florida League of Cities, Inc.
AI/ rights reserved.
Page 328
8/16/2004
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Winter Springs, Florida
Records Management Plan
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Willer Springs h1agilg - Doct.ment E::.tir I stion
CenEr AisIe-ClIv CIerk's ~ Room
Destucliln
D:lamrtType 0lcMes llEs Dale t<<JEs
lav CBk W3 A:B'da M&: Dxlmen5 1 NlA NlA 8.51<11
rvrues Box 30B 1 24Seo-a1 NlA 3 . 8.51<11
Bds ' ('.ifv 03rk Msc 1 NlA NlA Bi1i3r 8.51<11
CivCBk 1 2XXl NlA 8.51<11 fI.IMj
rniificati:ln 1 2Xt2 NlA IR'ill11 MltFrl
Boord IIi1eeti-a Fotlers 1 98-99 NlA 8.51<11 Mla:l
CivCBk 1 93-94 NlA 8.51<11 Mla:l
r.IruEs Box 10(3 1 24Sa:>D1 NlA 3 . 8.51<11
r.IruEs Box 20G 1 24.~ NlA 3 . 8.51<11
ICiv CBk SoodaI8.en5 1 99-02 NlA 8.51<11 Mla:l
:::ivCkW 1"",,1 1 Eartl 80's NlA Bard B::x*;
I~FEs 1 1Q:17 NlA I'IAi>o:n
I Civ CarrrS:;i::n I\reeli"m 1 2/1Q00.3'2497 NlA I'vba::l
rc;t.;CBk-CaE Boord 1 1m -12F.J7 NlA Mla:l
Tl.Bl)OC r.teefm Fdi3rs 1 NlA NlA I'vba::l
Civ CarrrS:;i::n I\reeli"m 1 Jun.ro NlA JI.o'Ia"s T;:n><> I "'""" 8.51<11
Civ CarrrS:;i::n I\reeli"m 1 .lIiro NlA Ma:s. T;:n><> I "'""" 8.51<11
Civ CarrrS:;i::n I\reeli"m 1 AuJ..03 NlA Ma:s. TP'""'" 1"'"""8.51<11
Civ CBk 1 2XX3 NlA I'vba::l
CivCBk 1 2XX3 NlA I'vba::l
TolaI DeNIes :;D
TolaI DeNIes b be scaned :;D fa) 2!ID # P<ms 5Jcm
NJTES: 11 80JGaS fv1a1j(ed fa" D3stn.dX:lIl i1 this Aisla
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@ Florida League of Cities, Inc.
All rights reserved.
Page 329
8/16/2004
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Winter Springs, Florida
Records Management Plan
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Winter Springs Imaging - Document Estimation
Far Wall-Cltv Clerk's Storaae Room Pane 1 of 2
Document TVDe Drawers Dates Destruction Date Notes
P&Z Paw Park Board Packaaes 2 2002 N/A Maps Tapes Leaal 8.5x11 StaDles
TLBDAC CWPEAHAC Board Packaaes 2 2002 N/A Maps Tapes Leaal 8.5x11 StaDIes
Cav Clerk Correspondence 1 1999 N/A Bound Books Reaular Paaes
Code Enforcement 1 2001 N/A Flat Bed Reaular Size
City Clerk Records Manaaement-Deoosaions 1 98-01 N/A Mixed
City Clerk Purchase Orders 1 94/95 N/A Reaular Leaal Staoles
Advertisements, Correspondence 1 FY 01-02 N/A Bound Books, Regular Paaes
Cav Clerk Corresoondence 1 2001 N/A Bound Books Reaular Paaes
Cav Clerk Correspondence 1 2000 N/A Bound Books Reaular Panes
Cav Clerk Corresoondence 1 1999 N/A Bound Books Reaular Paaes
Cav Clerk Mise Files 0.5 2001 N/A Mixed 11x17
Cav Clerk Mise Files 1 1999 N/A Books. Tares, Legal, Reaular
Commission Expense Reoorts 1 97-98 N/A Reaular Staples
Cav Clerk Advertisements 1 00-01 N/A Reaular
Cav Clerk Advertisements 1 00-01 N/A Reaular
Code Enforcement Board 1 1996 N/A Mixed
City Clerk's Office Ballle Ridae aiven to Oviedo 1 SeD-98 N/A Reaular Staples
City Clerk Mise Correspondence 2 1998 N/A Maps Reaular Bound Books
Cav Clerk Correspondence 1 92-93 N/A Reaular Legal Staples
P&Z Meetinas 1 1998 N/A Maps Tapes Leaal 8.5x11 StaDIes
City Manaoer Police PBA Police Aareements 1 1992-1995 1998 DO NOT IMAGE
City Clerk Election Records Candidate Records 1 1976-1992 N/A Mixed
BOT BOWS Code Enforcement 1 of 3 2 1998 N/A Mixed
City Clerk Mise Correspondence 2 1997 N/A Reoular Maoazines
Cav Clerk Mise CorresDondence 1 Earlv 1990's N/A Staoles Regular
City Clerk's Office P&Z Meetina 2 1997 N/A Mixed
BOT BOWS Meetinas 1 1997 N/A Mixed
City Clerk P&ZIDistrictino Meetinas 1 1998 N/A Mixed
City Clerk Committee Industrv Develooment Board 1 1997 N/A Mixed
Commerce and Industrv City Clerk 1 1998 N/A Mixed
P&P 1 6/14/2000 N/A Mixed
P&P Box 1 of 2 1 2000 N/A Mixed
P&P Box 2 of 2 1 2000 N/A Mixed
BOA/Oak Forest Board Meetina 1 N/A N/A Mixed
CALNO BOWS 2000 1 N/A N/A Mixed
City Clerk Code Enforcement 1 2000 N/A Mixed
TLBDAC Committee Meetinas 1 2001 N/A Mixed
IS RFP Munis 1 N/A N/A Bound Books Reaular Paaes
CALNO Board 1 2001 N/A Mixed
Pension Meetina, Board of Trustees 1 2001 N/A Mixed
Charter Review Meetinas 1 2000 N/A Mixed
Cav Clerk TLBDAC.Meetinos 1 5/11/99 - 12/21/99 N/A Mixed
Cav Clerk Mise Flies 1 1996-Current N/A Mixed
Commission Aaenda Packets 1 1997 N/A Mixed
Commission Aaenda Packets 1 10/14/96 - 12/9/96 N/A Mixed
Commission Aaenda Packets 1 6/10/96 - 7/22196 N/A Mixed
Commission Aaenda Packets 1 9/9/96 - 9/23/96 N/A Mixed
Commission Aaenda Packets 1 11/10/96 - 12124/96 N/A Mixed
Commission Aoenda Packets 1 5/12/96 - 6/23/97 N/A Mixed
Commission Aaenda Packets 1 118/96 . 3/25/96 N/A Mixed
Commission Aaenda Packets 1 7/29/96 - 8/26/96 N/A Mixed
Commission Aaenda Packets 1 Julv-Aua 1997 N/A Mixed
Commission Aoenda Packets 1 5/98 - 6/98 N/A Mixed
Commission Aaenda Packets 1 Mar-98 N/A Mixed
Commission Aaenda Packets 1 Jan-98 N/A Mixed
Commission Aoenda Packets 1 Apr-98 N/A Mixed
Commission Aaenda Packets 1 Feb-98 N/A Mixed
Commission Aaenda Packets 1 4/8/96 - 5/20/96 N/A Mixed
Commission Aaenda Packets 1 Jun.99 N/A Mixed
Commission Aaenda Packets 1 1/97 - 2197 N/A Mixed
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@ Florida League of Cities, Inc.
AI/ rights reserved.
Page 330
8/16/2004
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Winter Springs, Florida
Records Management Plan
.
Winter Springs Imaging - Document Estimation
Far Wall.Cltv Clerk's Storalle Room Palle 2 of 2
Document Type Drawers Dates Destruction Date Notes
Bid Packanes ? 1997 N/A Mixed Bound Books
Bid Packaaes 1 2001 N/A Mixed Bound Books
Bid Packaaes 1 2001 N/A Mixed Bound Books
Cilv Cler1< Miscellaneous 1 86-87 72 76 77 N/A Mixed
Code Enforcement Meetinns 1 1999 N/A Mixed
Cilv Cler1< Mise Moss Road 1 199? 1976 ?977 N/A Mixed
Cilv Cler1<. Miscellaneous 1 89-90 N/A Mixed
Citv Cler1<, Miscellaneous 1 N/A N/A Maos, Reaular
Citv Cler1< Anoeal Aoainst ADJ Decision 1.5 90-91 N/A Mixed
Battl<>ti~n<> ....isc 1 'J/A ""A '....ixed
Hazards Watts Docs. Fire 1 93-94 N/A Mixed
Citv Cler1< Notice of Public Hearinns 1 1995 N/A Mixed
Moss Road Docs 1.5 N/A N/A Binders Renular, Leaal
Citv Cler1< Mise 1 81-82 92 N/A Mixed
'r.ilv r.ler1< Bids 1 93 15 years IMixed, Bound Books
Cilv Cler1< Bids 1 99 15 years Mixed Bound Books
City Cler1< Construction Proiects 1 79-82 N/A Mixed
Citv Cler1< Mise 1 N/A N/A Mixed
P&7 Box 1 of 2 1 1000 N/A Mixed
P&Z Box 2 of2 1 1099 N/A Mixed
Citv Cler1< TLBDAC-Meetinas 1 1/5/99 - 5/4/99 N/A Mixed
FACC Committee 2 N/A N/A Mixed
Oak Forest 1 1999 N/A Mixed
BOT/ROA Committee 1 1999 N/A Mixed
6 boxes 2 cubic feet Commission Anenda Packets 12 FY 2000 N/A Mixed
Citv Cler1< Mise Corresoondence 1 99/00 N/A Mixed
Commission Aaenda Packets 2 4/99 - 5/99 N/A Mixed
Commission Aoenda Packets 1 3/99 . 4/99 N/A Mixed
ommission Anend" Packet. .; ,1,,1-90 "'/A Mixed
Commission Anenda Packets 1 Dec-99 N/A Mixed
Commission Aaenda Packets 1 1/99 -2199 N/A Mixed
Commission Aoenda Packets 1 Auo-99 N/A Mixed
Commission Aoenda Packets 1 Auo-99 N/A Mixed
I"ommission Anenda Packets 1 ~en-99 N/A Mixed
Commission Aoenda Packets 1 Nov-98 N/A Mixed
Commission Aoenda Packets 1 7/98 - 8/98 N/A Mixed
Commission Anenda Packets 1 9/98 - 10/98 N/A Mixed
I"ommisoion Anenda "ackets 1 nee-98 "'/A '....ixed
Commission An<>nda Packets 1 10/98 - 11/98 N/A Mixed
Transcriols of Public Hearino 4 notebooks 1 6-Mar-99 N/A Mixed
Bid Packanes 1 2000 15vears Mixed Bound Books
Bid Packaaes 1 99-00 15 years Mixed Bound Books
Bid Packanes 2 FY 96 15 years Mixed Bound Books
id Packanes ? ~v 98 15 ears 'Mixed Bound Books
Bid Packaoes 2 FY 98 15 years Mixed Bound Books
Bid Packaaes 2 10/98.11/98 15vears Mixed, Bound Books
Cilv Commission Meetina 1 8/2002 . 10/14/02 N/A 3 maps Bindina Books, Leaal Reoular
ilv r.ommission Meetinn 1 101?8/0? - 11 J?5/0? N/A 2 mans Bindinn Rook. enal Renular
City Commission Meetinn 1 12/9/02 - 12/16/0? N/A 2 mans Bindinn Books Lenal Renular
City Commission Meetina 1 1/14/02 - 3/4102 N/A 2 maps, Bindina Books, Lenal, Renular
City Commission Meetino 1 3/11/02 - 4/22/02 N/A 2 maps, Bindinn Books Lenal Renular
City Commission Meetino 1 5/6/02 - 6/24/02 N/A 2 maos, Bindina Books, Lenal Renular
City "ommi"inn Meetinn 1 7/8/0? R/1?In? "'/A mans Rindinn Books I ..aa "enula-
Cilv Commission Meetino 1 8/28/01 - 9/17101 N/A Mans Bindinn Books Lenal Renular
Cil Commission Meetina 1 9/24/01 - 10/22/01 N/A Maps, Bindina Books. Lenal. Renular
Ci Commission Meetino 1 10/29/01 - 12110101 N/A Maos Bindina Books, Lenal. Renular
Ci Commission Meetino 1 1/8/01 .2/26/01 N/A Maps Bindina Books, Lenal, Renular
Ci Commission Meetinn 1 3/12/01 - 4/17101 N/A Mans Bindinn Books Lenal Renular
Ci Commission Meetina 1 4/23/01 - 6/21/01 N/A Maps Bindina Books Lenal Renular
Citv Commission Meetino 1 7/2/01 .8/27101 N/A Maos Bindina Books Lenal Renular
Total Drawers 1AA 5
Total Drawers suooested to be scanned 143.5 'fiil 2 500 ~ ~ Panes 358 750
.
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@ Florida League of Cities, Inc.
AI/ rights reserved.
Page 331
8/16/2004
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Winter Springs, Florida
Records Management Plan
.
.
Winter SI rinas Imaaina - Document Estimation
Citv Cieri< Vault P~elof5
Destruction
Document Tvoe Drawers Dates Date Notes
Flection Paoers 0.5 '997 N/A 8.5 x 11 Staoles
Election Par>F>rs 1 1997 N/A Comouter Pnntouts
Election Paoers 1 1997 N/A Blank Ballots
Election Paoers 1 1993/94 N/A 8.5 x 11 Staoles
Electinn Sunn1ie. ? IoJ/A N/A I no NOT MAC:;F
Carole. Minter. Weaver Public Records Reouests 2 NJA N/A 8.5 x 11 Bound Books
Election Files 1 96-99 N/A 8.5 x 11 Staoles
Voters Ballots for Gen Election. Precincts, Poll lists 4 1999 N/A Bound Cooies Mixed
Voter R""'istration Foons 1 NJA N/A DO NOT IMAC::E
2002 Bond Senes limiled General Obligation Rev Bond 0.1 2002 N/A Bound Book
Contracts 0.3 NJA N/A Reoular and Leoal Size
Code of Ordinances 0.3 NJA N/A Reoular and Leoal Size
Binders Budoet 0.1 99-00 N/A Binder Reoular
Binders Caoital OutlaY 0.1 99.00 N/A Binder, Reoular
Binders Tentative Budoet 0.1 96-99 N/A Binder Reoular
Public Records Policv Loa Bk 1 0.2 1/1 - 6/30/2000 N/A Newsoaoer, staoles, 8.5xll
Public Records Poli~ , ~ R. , 0' 711 . '2/31nOOO N/A Newsnaner .tan'e. R 5Yl'
Public Records Policv Loa Bk 3 0.2 1/1 - 7130/2001 N/A Newsoaoer staples 8.5xll
Public Records Policy Loa Bk 4 0.2 8/1 - 12/31/2001 N/A Newsoaoer, staples, 8.5xll
SR434 Corridor Vision Plan Commission Meetino 1 0.2 11/10/1997 N/A 8.5x 11 Maps. 11 x 17
'do Vision Plan r.ommission Meetinn 7 0' 'l"O/10(l7 N/A 8.5 x 11. Maos. 11 x 17
Prefiminarv Budoet 0.2 1996 - 1997 N/A 8.5 x 11
Evaluation and Aooraisal Reoor! 0.2 SeD-98 N/A 8.5 x 11
Folder of Pictures and Neoatives 20 oko 0.4 NJA N/A Pictures and Neaatives
Denosition Renuests 0.4 N/A N/A Binder Renular
3" Binder 0.2 NJA N/A Newsoaoer Mieles
2" Binder Prelim Budoet 0.1 00/01 N/A Binder Reoular
2" Binder Tentative Budoet 0.1 00/01 N/A Binder, Reoular
" Rinrler TRIM r.omnlianee Tn th of Millane 01 N/A N/A IR'\.ll
3" Aooraisal Parcels South of Lake Jessuo 0.2 1983 N/A Bound Book
3" Binder 434 Corridor Vision Plan 0.2 1997 N/A 8.5 x 11, Staoles
4" Binder Stoonwater Manaoement Master Plan 1 0.3 NJA N/A 8.5 x 11 No Staoles
" Rindet Sto""water Manaoement Maste, Plan 2 0.3 N/A N/A 8 5 Y 11 NO Stanles
4" Bindet Stonnwater Manaoement Master Pian 3 0.3 NJA N/A 8.5 x 11, No Staoles
3" Binder Buildino Code Book 0.2 1978/1979 N/A 8.5 x 11
7 Bound Books Revenue Bonds 4" 2.2 NJA N/A 8.5 x 11 Bound Books
Misc Documents 4 NJA N/A RPnular LPnal Bound Staoled
Commission Minutes 4" Binders 0.3 Julv - Dec 1995 N/A Reoular, Staoles 1 maD, 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 Jan. June 1995 N/A Reoular Staoles, 1 maD, 2 oaoes in sheet orotectors
Commission Minutes 4" Binders 0.3 Julv - Dee 1994 N/A Reoular Staples 1 map, 2 paoes in sheet orotectors
Il'ommission Minutes 4" Binders 03 'an _ '"ne '994 N/A Reoular Staoles 1 mao 2 oaoes In SheAt nrotectn~
Commission Minutes 4" Binders 0.3 Jan - June 1994 N/A Reoular Staples, 1 map, 2 pages in sheet orotectors
Commission Minutes 4" Binders 0.3 Julv 93 - Feb 7 1994 N/A Reaular Staoles, 1 maD. 2 oaoes in sheetnrotectors
Commission Minutes 4" Binders 0.3 218/93 - 7/20/93 N/A Reaular, Staoles 1 maD, 2 oaoes in sheet nrotectors
ommls.lon Mln"'es 4" Binders 03 5/11 "', - 1/20/93 N/A RPnular Stan'", 1 man , nanes 'n shee' n_'octo~
Commission Minutes 4" Binders 0.3 1 017/91 - 5/4/92 N/A Reoular Staoles, 1 maD, 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 418/91 - 9130/91 N/A Renular, Staoles, 1 mao, 2 paoes in sheetorotectors
Commission Minutes 4" Binders 0.3 117/91 - 3/25/91 N/A Reoular, Staoles, 1 maP. 2 oaoes in sheefnrotectors
r.nmml.sino Minutes 4" Binders 03 8/?7/90.17117",n N/A RPnu'~r Stan Ie. man 2 nane. In shee' nrote"'o~
Commission Minutes 4" Binders 0.3 5/14190 - 8/20190 N/A Reoular, Staples, 1 map, 2 oaoes in sheet orotectors
Commission Minutes 4" Binders 0.3 11/13189 - 4/23/90 N/A Renular Staoles. 1 maD, 2 oaoes in sheetDrotectors
Commission Minutes 4" Binders 0.3 7/10189 - 10130189 N/A Reoular Staples 1 map. 2 oaoes in sheetorotectors
Commission Minutes 4" Binders 0.3 2/13/89 - 6130/89 N/A Reoular Staoles 1 mao 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 8/22/88 - 2/7/89 N/A Renular. Staples, 1 maD, 2 oaoes in sheet orotectors
Commission Minutes 4" Binders 0.3 5/2/88 - 8/10/88 N/A Reoular Staples, 1 maD. 2 oaoes in sheetorotectors
Commission Minutes 4" Binders 0.3 1/11/88 - 4/25/88 N/A Renular, Staples, 1 map, 2 paoes in sheetorotectors
Commission Minutes 4" Binders 0.3 711 ~1fl7 _ '71'4187 N/A R""'ular St~nles 1 maD. 2 oaoes In she~ectors
Commission Minutes 4" Binders 0.3 219187 - 7/6187 N/A Reoular. Staples, 1 maD, 2 paoes in sheet orotectors
Commission Minutes 4" Binders 0.3 1/12/86 - 8/27/86 N/A Reoular, Staples, 1 map, 2 paoes in sheelDrotectors
Commission Minutes 4" Binders 0.3 7/28/86 - 1/26/87 N/A Reaular Staples, 1 maD, 2 oaoes in sheet nrotectors
Ir.nmmission Minutes 4" Rinders 0.3 '''10/85 _ 1?"'IR~ N/A Reoular Staoles 1 mao 2 oaoes in sheet nrotecto~
Commission Minutes 4" Binders 0.3 7/24/84 - 5/17/85 N/A Reoular Staoles 1 mao. 2 oanes in sheet nrotectors
.
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Winter Springs, Florida
Records Management Plan
.
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Winter S~ rinas Imaaina - Document Estimation
City Clerk Vault Pane20f5
Destruction
Document Tvoe Drawers Dates Date Notes
Commission Minutes 4" Binders 0.3 1/24/84 - 7131/84 N1A Recular Staoles 1 mao. 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 819/83 - 1/10/84 N1A Regular, Staples 1 map. 2 pages in sheet orotectors
Commission Minutes 4" Binders 0.3 B/2/83 - 6/8/82 N1A Regular. Staples 1 map, 2 pages in sheet orotectors
I... o~mission Minutes 4" Rlnne~ 0.3 7/14/81 - 6/3/82 N/A I Recular. Staoles 1 maD. 2 oaaes In sheet nrotectors
Commission Minutes 4" Binders 0.3 1018180 - 6/23/81 N1A Regular, Staples. 1 map, 2 pages in sheet orotectors
Commission Minutes 4" Binders 0.3 6/26/79 - 9130/80 N1A Reoular, Staples, 1 map, 2 paoes in sheet orotectors
Commission Minutes 4" Binders 0.3 Jan - June 1996 N1A Reoular Staples 1 map, 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 Julv - Dee 1996 N1A Recular Staoles 1 maD 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 Jan - June 1997 N1A Reoular Staples, 1 map, 2 paoes in sheet orotectors
Commission Minutes 4" Binders 0.3 JulY - Dee 1997 N1A Reoular, Staples. 1 map. 2 paoes in sheet orotectors
Commission Minutes 4" Binders 0.3 Jan - June 1998 N1A Reoular Staples 1 map, 2 Danes in sheet nrotectors
Commission Minutes 4" Binders 0.3 Julv - ~ 1998 N1A Recular Staoles 1 man 2 nanes in sheet "rotectors
Commission Minutes 4" Binders 0.3 Jan - June 1999 N1A Reoular Staples 1 map, 2 paoes in sheet orotectors
Commission Minutes 4" Binders 0.3 JulY - Dee 1999 N1A Reoular Staples 1 map, 2 paoes in sheet orotectors
Commission Minutes 4" Binders 0.3 Jan - June 2000 N1A Reoular, Staples, 1 map, 2 paoes in sheet orotectors
ommission Minutes 4" Binders 0.3 ulv - n.." ?OOO N/A R""ular Stanles 1 man 2 nanes in sheet nmtectOffi
Commission Minutes 4" Binders 0.3 Jan - June 2001 N1A Reoular. Staoles, 1 map. 2 oaoes in sheet nrotectors
Commission Minutes 4" Binders 0.3 JulY - Dee 2001 N1A Reoular, Staples. 1 map, 2 oaoes in sheet orotectors
4" Binders Districtino Commission 0.3 1991 - 1997 N1A Reoular, Staoles 2 Danes in sheet nrotectors
4" n RnA(~ O::l 1998 -1999 N/A Renular. Staoles. 2 oaoes in sheet nmtedors
4" Public Records PoliCY Lao 0.3 Jan 31, 02 - Mav 2002 N1A Reoular. Staples. Legal
4" Public Records PoliCY Lao 0.3 June - Julv 2002 N1A Reoular, Staoles. Leoal
4" Public Records PoIicv Lao 0.3 Auo - Dee 02 N1A Regular, Staples, Legal
4 " P1anninn and Zoninn Board 0.3 1999.2001 N1A Reoular Staoles 2 oaoes in sheet nrotectors
4" Ordinances 693-709 0.3 1999 - 2001 N1A Regular Staples, 2 pages in sheet orotectors. news
4" Commerce and Industrv Delle!ooment Board 0.3 1997 -1998 N1A 8.5 x 11 No Staples 2 pages in sheet orotedors
2" Distributino Commission 0.1 1999 N1A Regular, Staples, 2 pages in sheet orotedors
"~harterRe~ew~nmm~ee 0.1 2000 N1A Reoular. Sta les. 2 oaoes in sheet nrotedors
1" CentrallMnds Parl< Comm~ee 0.1 2001 N1A Regular, Staples. 2 pages in sheet orotedors
4" Code Enforcement Board 0.3 1999 - 2001 N1A Regular Staoles, 2 pages in sheet orotedors
4" Proclamation 0.3 1973-1999 N1A All Different Sizes
4" Binders Ordinances ~ - 69? 0.3 1997 N1A Staoles. recular Ieoal
4" Binders Ordinances 568 . 645C 0.3 1994 -1999 N1A Staples, regular, legal
4" Binders Ordinances 512.567 0.3 1219/91 - 9/12/94 N1A Staples, regular, legal
4" Binders Ordinances 470.511 0.3 9/25/89 - 10/28191 N1A Staples. regular, Ieoal
4" Binders Ordinances 368 . 469 0.3 6/24/87 - 9/18/89 N/A Staoles. recular Ieaal
4" Binders Ordinances 330 - 387 0.3 10/28/85 - 7127/87 N1A Staples, regular, legal
4" Binders Ordinances 259 - 329 0.3 1/26/82 - 9/23/85 N1A Staples, reoular, Ieoal
4" Binders Ordinances 186 - 258 0.3 3/20179 - 12/8/81 N1A Staples. reoular. leoal
4" Binders Ordinances 161 - 185 0.3 10124f77 - 3/13/79 N/A I Staoles recular leoal
4" Binders Ordinances 138 - 160 0.3 6/28/76 . 11/14n7 N1A Staples, reoular. leoal
4" Binders Ordinances 101 . 135 0.3 5/6/74 - 6/28n6 N1A Staoles, reoular Ieoal
4" Binders Ordinances 51 - 100 0.3 813170.4115f74 N1A Staoles, reoular, Ieoal
4" Binders Ordinances -~O 0.3 8/4/59 - 1I5f70 N/A "'t~nlps ~ular. leaal
4" Binders Resolutions 1-160 0.3 7f7159 - 4/5fl6 N1A Staoles. reoular Ieoal
4" Binders Resolutions 161 - 216 0.3 5f76-6f78 N/A Staoles. recular, Ieoal
4" Binders Resolutions 217 - 280 0.3 612m8 - 10f30f79 N1A Staples, recular,leoal
" Rinnprs Resolutions ?81 - 364 03 11/?7179 _ 9/??1R1 N/A ta les ","lIlar IPnal
4" Binders Resolutions 365 - 471 0.3 10/81 -12/84 N1A Staples, reoular, Ieoal
4" Binders Resolutions 472 - 528 0.3 1/85 -12/85 N1A Staples. reoular, leoal
4" Binders Resolutions 529- 614 0.3 1/86-4/89 N1A Staples, reoular, leoal
4" Binders Resolutions 615 - 652 0.3 5/1/89 - 11/90 N/A Staoles recular leaal
4" Binders Resolutions 653 - 712 0.3 12190 - 7/93 N/A Staples. reoular. Ieoal
4" Binders Resolutions 713 . 744 0.3 9/93 - 9/84 N1A Staples. reoular, leoal
4" Binders Resolutions 745 - 875 0.3 9/94 - 2199 N1A Staples, reoular, leoal
4" Binders Resolutions 876 - 908 03 3/99 -11/99 N/A Staoles. recular. lecal
4" Binders Code of Ordinances 0.3 Jan-97 N1A Staples. reoular. leoal
4" Binders Code of Ordinances 0.3 Jan.97 N1A Staples. reoular Ieoal
4" Binder Comprehensive Plan Vol 1 of 2 0.3 1990 - 2010 N1A Staples, reoular legal
4" Binder Comorehensive Plan Vol ?of 2 03 1990 - 2010 N1A Staoles recular leca
4" Bi1der Comnrehensive Plan Amendments 0.3 3/26/2001 N1A Staples, reoular leoal
.
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Winter Springs, Florida
Records Management Plan
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.
Winter Springs Imaging - Document Estimation
City Clerk Vaun PaQe 3 of5
Destruction
Docwnent Type DraweIs Dates Date Noles
4" Binders Code of Ordinances 0.3 1974 N/A Bound Book
4" Binders Code of Ordinances 0.3 1976 N/A Bound Book
4" Binders Code of Ordinances 0.3 1974 N/A Bound Book
4" Rirrl>rs jinanaes 0.3 ?"OO N/A
4" Bi OrdinancES 1 of 3 0.3 2000 N/A Bound Book
4" Binders Code of Ordinances 2 of 3 0.3 2000 N/A Bound Book
4" Binders Code of OrdinancES 3 of 3 0.3 2000 N/A Bound Book
4" Binders Rerord of Public Partidoation 0.3 1991 - 2010 N/A Double Sided 8.5 x 11
4" Bi a 03 88-96 N/A IStml"" Reaular
4" Rirrl>t<: P&Z Rn:>rrl 03 96-98 NIP. ~nl"" ""'ular. leoal
4" Birrl>t<: P&Z Minutes ard AnPrYf:><:: 0.3 1995 N/A Stanles """ .Iar leaal
4" Birders P&Z Mil1Jfes and JIllerdas 0.3 1993 N/A Staoles. reaular. Ieoal
4" Binders P&Z Minutes and JIllerdas 0.3 89-92 N/A Staotes. reaular leoal
1" Binder Board of Adiustrrents 0.3 95-96 N/A Staoles, reQular, Ieoal
4" Bin~ Rn:>rd 03 Q<;-99 N/A Sta 1on~1
Z' Bin~ Board of T n I<:fpp~ 03 93-~ N/A "~~I
4" Birders 80VIIS 0.3 94-96 N/A Stanles. reaular eoal
4" Binders BOVIIS 0.3 91-93 N/A Staoles. reQular eoal
4" Binders Code EnforcEment Board 0.3 11/86 - 7/89 N/A S1anles. reaular eqal
4" Binders Code Enforrement Board 0.3 9/84 - 9/86 N/A Staoles. reaular eoal
4" Binders Code Enforrement Board 0.3 11180 _ 7/84 N/A Stanles lEOular M>ll
4" Bind i 0'" ?OOO N/A l<:bn"'" R~, ''''r rr" 'bI" ,;ided
4" Binder Code of Ordinances 0.3 2000 N/A Staoles Reaular Double sided
4" Binder SR 434 VISion Zonino District 0.3 NlA N/A Staoles. reaular leoal
CoDes of oetilions Scx:rtIIlein 1 NlA N/A et...,."".. ~ular
Conies of oe1itkn" ScottILein 1 NlA N/A Stanles lEOular
I Ordinance 4 stacks 12000 ea 0.3 N/A N/A I <:bn"'" ""'ular
4" Binder Counal Minutes 0.3 NlA N/A Stanles reaular
4" Binder P&Z Minutes and \Den as 0.3 8192 - 10194 N/A Stanles. reaular
4" Binder P&Z Minutes and \OOf1l as 0.3 3/86 - 7/92 N/A Staoles. reaular
4" Binder P&Z Minutes and \OOf1l as 0.3 1/80 - 1/86 N/A Staoles. reaular
14" . Min' ""'" ~nrl """'" ~~ 0.'" 1/76 -1?/79 N/A lSt>nles lEOul::lr
4" Binder Review Board 0.3 1/83-9/94 N/A Stanles reaular
CornrrissKln Minutes 4" Binders 0.3 6/59 - 12/64 N/A Stanles. reaular
CornrrissKln Minutes 4" Binders 0.3 2/65 - 11/70 N/A Sta[ Ies. reaular
Commission Minutes 4" Binders 0.3 11/70 - 2/74 N/A Stal Ies. reaular
CornrrissKln Minutes 4" Binders 0.3 2/74-4/76 N/A Stal Ies. reaular
" BinOOl'S 03 11/76-8/78 N/A <:b, "'" ""'ular
Commission Minut"" 4" BinOOl'S 0.3 1l/78 - 6/79 N/A <:bnloo """ ''''r
Carffnx:k Titles 0.5 N1A N/A B.5x 11
Irdex Cards Meetina Items 0.3 84 85-92 N/A Mixa:j
Dnen Case Utiaation 3 N1A Perm Reaular Bound Staples
Pe"""'n'" Files 3 N/A N/A Reaular. staoles
RIe CabDrawer 1 Tuse Sinn'" Familv Proo File 1 89-94 N/A R""ular. Ieoal. Staoles
RIe 3Ma ? NlA N/A Ma"" mb<ed
File Cab Drawer 4 Tuscawilla Oak Forest 1 NlA N/A Reoular and leQal Size
File Cab Drawer 5 Financial Statements audited 1 NlA N/A Bound Books duplex
4" Binder Ordinances 0.3 2000 N/A Stanles. reaular leaal
4" Binder Resolutions 0.3 2000 N/A Stanles reaular leaal
FiI<> r.;:,b Drawer 1 PI"n 1 1990-?O10 N/A ,Ies
File Cab Drawer 2 Land RIes A-H 1 NlA N/A Mixed Staoles
.
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Winter Springs, Florida
Records Management Plan
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Winter Springs Imaging - Document Estimation
Cilv Clerk Vault Dane" 0'"
Destruction
Document Tu.... D"'we"' Dates Date Notes
File Cab Drawer 3 Land Files J- T 1 NJA N/A Mixed StaDles
File Cab Drawer 4 Land FilesU - Z 1 NJA N/A Mixed StaDles
File Cab Drawer 5 Code of Ord SUDDlements 1 NJA N/A Mixed StaDles
4" Binder CALNO MeetinD Minutes 0.3 2000 N/A ReDular , StaDles, Double 2 sheets
4" Binder r.A N() Meetinn Minutes 0.3 999 N/A I~enular !';taDles Double 2 sheets
4" "inder r.ALNO Meetina Minutes 0.3 998 "'1.0 Reaular . Staales Double 2 sheets
4" Binder CALNO Meetina Minutes 0.3 1997 N/A ReDular . Staoles Double 2 sheets
4" Binder OriDinal Contract and ADreements SEM CTY 0.3 NJA N/A Reaular StaDles
Boxes Terminated EmnlDUees 10 NJA N/A Reaular, Staples
File Cab Drawer 1 Acpraisals Audit Reports, Budoets 1 NJA N/A Bound mixed. Staples
File Cab Drawer 2 Contracts 1 NJA N/A Bound. mixed, Staples
File Cab Drawer 3 Contracts, charter, deeds 1 NJA N/A Bound, mixed, StaDles
File Cab Drawer 4 Financial Records 1 NJA N/A Bound mixed, StaDles
File Cab Drawer 5 Senior r.enter 1 NJA N/A Bound mixed Stanles
Oviedo Mall Letters ETC 1 NJA "'1.0 Mixed Stanles
Olli""n Mall Letters ETr. 2 "'fA "'1.0 ixed Stan Ie.
No Markino 2 NJA N/A Bound Books, StaDles
Oak Forrest Beautification District Ballots 1 NJA N/A Mixed Staoles
New Police DenlPub Safelv Buildino 1 NJA N/A Mixed Staples
New Police DeDlPub Safelv Buildino 2 NJA N/A Mixed StaDles
Lawsuits 1 NJA N/A Mixed Staples
awsuns 1 NJA N/A ixe" "taoles
File r.ab Drawer 1 r.AD !';ustem Pmaosals Tane./r\is"s 1 I'll" N/A Books Stanles
File Cab Drawer 2434 Pro'eel Tuscawilla 70ne 1 NJA N/A !';tanles Mans
File r.ab Drawer 3 Seminole Utililv Acnuisilion 1 NJA N/A M'xed Stanles
File Cab Drawer 4 Seminole Utili1v AcQuisition 1 NJA N/A Mixed StaDles
1 Laroe Box of Macs 30 Rolls N/A NJA N/A MAPS
Police Bids Documents 1 NJA N/A Mixed, Bound, StaDles
Cooies of ??? 2 NJA N/A DO NOT IMAGE
Boxes on floor 18 NJA N/A Mixed. Bound. Stacles Litiaatian Conies? IMAGE?
11'11" r.ab nrawer 1 I ""al and Purchases '" NJA N/A Boun" mixed Stanles
File r.ab nmwer ? ~..h ondinn ~eYenue Bond Series 15 10R" N'" Boun" mixed Staoles
File Cab Drawer 3 Bond Issue Municioal ComDlex 1.5 NJA N/A Bound mixed Staoles
File Cab Drawer 4 Municioal Bids PO's 1.5 NJA N/A Bound, mixed, StaDles
Housinn Docs 1 NJA N/A Mixed, Staoles
Mise Files 1 NJA N/A Mixed, Staples
Litiaation 1 NJA N/A Mixed Staples
Ordinances Attachments 1 NJA N/A Mixed Staples
Box election sunnlies 1 """ N/A DO "'OT IMAGE
Tuscawilla Beautification Ballots 1 ' NJA N/A Stanles Double Sided
Tusr.>nMlla Beautification "aUots 1 NJA "'1.0 tanles nouhle !';ided
Tuscawilla Reautificafon Ballots 1 "".0 "'1.0 tanles. Double Sided
File Cab Drawer 1 ComDlaints. Water, Utilitv Docs 1 NJA N/A Mixed StaDles
File Cab Drawer 2 Corresoondence Litination 1 NJA N/A Mixed Staoles
File Cab Drawer 3 Budoets, Correspondence 1 NJA N/A Books, Mixed, Staples
File Cab Drawer 4 Bids 1 2002 15 years Mixed, Books StaDles
File Cab Drawer 1 Litioation Mixed 1 NJA N/A Mixed StaDles
iie r.ab Ornwer 2 itination r.nmmission T",nsrrints 1 NJA N/A Mixed !';tanles
File r.ab Drawer 3 Rnnds.Pro'ects.Malnr r.orresnondonno 1 NJA N/A Rooks Mixed !';tanles
File Cab Drawer 4 Lenal Litination 1 NJA N/A Mixed Books Stanles
Election Docs 1 2002 N/A Mixed StaDles
File Cab Drawer 1 Housina Files 1 NJA N/A Many Maos
File Cab Drawer 2 Housina Files 1 NJA N/A Many MaDS
File Cab Drawer 3 Housina Files 1 NJA N/A Many Maos
File Cab Drawer 4 Rezonina 1 NJA N/A 1 Maa, mixed
File Cab Drawer 5 Blda Maas 1 NJA N/A Maos
File Cab Drawer 1 Hausina Files 1'1I.0 NfA Manu ManS
File Cab Drawer 2 Houslna Files 1 "'fA "/A IMan_ Mans
File Cab Drawer 3 Housina Files 1 NJA N/A Many Maos
File Cab Drawer 4 Housinn Files 1 NJA N/A
.
@ Florida League of Cities, Inc.
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8/16/2004
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Winter Springs, Florida
Records Management Plan
.
Winter Springs Imaging - Document Estimation
City CIertt Vauft P::ln<:>5of5
Destruction
Doc:urentType !:lrlt..wrs Dales Dale Noles
Fie Cab 0cMe' 5 Msc 1 N1A N1A
LeaaJ Box of Cmu.Jter Prinlouls 1.5 N1A N1A Printouts
1 1/311995 N1A Mixed
I D:rt of l...aba IJ'.J:n?!s an:! Hcu I 1 N1A N1A Mixed
Wala" an:! SeNer Proied 1 N1A N1A Mixed
I Sm.ev fa' T usc:awilla 1 N1A N1A Mixed
I Utifitv Co Bd; 1 N1A N1A Mixed
Oak Fares! Mai'1Ienar1cE A"<('SSoTIerlls 1 N1A N1A Mixed
Bard Bod<s f\tJt ~ 1 N1A N1A Bard Bod<s
()kj atv Recads BoxtrJ 1 N1A N1A Mixed
lJliIv ard P.JV tine Cards 1 N1A N1A Mixed
14 roIs of maps 3 N1A N1A IvVIPS
TolaIlJraIiIeIs 179.8
Total Drav.es lD be scanned 155.8 @ 2,&XJ = # Peres 389,500
.
.
@ Florida League of Cities, Inc.
AI/ rights reserved.
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8/16/2004
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Winter Springs, Florida
Records Management Plan
.
.
Winter SprinQS lmaaina - Document Estimation
Plannina and Zenina File Room
DocunertTVDB Drawers Dales DestnJction Date Notes
II MJ'l1 Box of Pem1it Files 1.5 2002 15Years
LeaaJ Box of Pem1it Files 1.5 2003 15 Years
tvW'S 124 Jan - Ju1e 1900 15 Years
tvW'S 73 JU -IRe 1900 15Years
tvW'S 2XJ 1991 15 Years
tvW'S 2XJ 1992 15 Years
tvW'S :m 1993 15 Years
tvW'S 250 1994 15 Years
tvW'S 400 1995 15 Years
tvW'S 400 1996 15Years
tvW'S :m 1997 15 Years
tvW'S :m 1998 15 Years
tvW'S 550 1999 15Years
Extra fv'isc MaDs 50 N1A Perm
le::JaI Boxes F'e!miItim Files NO tvlAPS 8 total boxes 16 2000 15 Years
ComnerciaI Files 4 N1A Pam
le::JaI Boxes enriIIi'lO Files NO fv1APS 8 total boxes 16 1999 15 Years
Leoal Boxes mniItin:J Files NO tvlAPS 7 total boxes 14 1998 15 Years
le::JaI Boxes ermittim Fifls NO tvlAPS 6 total boxes 12 1997 15 Years
Jl(JaI Boxes errniI1inl'l Files NO tvlAPS 5 total boxes 10 1996 15 Years
Leaal Boxes Perrrittina Fifls NO tvlAPS 5 total boxes 10 1995 15 Years
lHlal Boxes Perrrittim Files NO tvlAPS 5 total boxes 10 1994 15 Years
Leaal Boxes Perrrittina Fifls NO tvlAPS 5 total boxes 10 1993 15 Years
11'n"1 Boxes PF>nniffiry, Files NO tvlAPS 4 total ty,,,,,,,, R 1QQ? 1liY""",
I Mal Boxes Perrrittina Files NO tvlAPS 3 total boxes 6 1991 15 Years
Leaal Boxes Perrrittina Fifls NO tvlAPS 4 total boxes 8 1990 15 Years
Leaal Boxes Pennitli1a Files NO tvlAPS 4 total boxes 8 1989 15 Years
I BuKfrn Furds ard Plans 1 82-84 NJA
Pub'ic 1 N1A NJA
PutiIC Safetv Buik:lina SubrrittaIs 1 N1A NJA
Pemit Loo Book 1 1009 - 2XJ1 NJA
Pemit Loo Book 1 1982 - 1986 NJA
.'nsoedion Books 1 N1A NJA
Garaae Sale Pemits 1 N1A NJA
IlSOedinn Books 1 1993 -1997 NJA
l..irenses 2 N/A NJA
XDired Assorted PemiIs 1 1994 NJA
Fifls 1 N1A NJA
TaaI Drawers 51 mested to be seamed 147 (fiJ2.5OO=#~ 367,500
ToIallVlaDs to be Scanned 3147 (ci) $1.00:ladl = CosI $3 147
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 337
8/16/2004
TAB
"H"
;~t:'
... PUlIIrno\tr.,\i:.llrnrCrTrJ".:l.I"-:'
.
Winter Springs, Florida
Records Management Plan
.
Appendix H - Legal Documents
.
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8/16/2004
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Winter Springs, Florida
Records Management Plan
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Municipal Code Corporation - Records Retention Memo
!M(E!MOrJ?jl:J{(j)V!M
TO: DONNIE BARSTOW
FROM: Roger Merriam (ext. 257)
Re: Records retention in Florida
At the request of Vice President William Sweeney, I have researched and answered you
recent questions as follows:
1. Which documents is it legal to scan or "image electronically" and then discard?
ANSWERn- While all documents can be canned or imaged electronically, records
cannot be destroyed except in accordance with state-approved records retentions
schedules.
DISCUSSION & DOCUMENTATION:
.
A.
The provisions of Florida Statutes ("F .S.") ~ 119.041 require
disposal of public records that are no long needed, subject to consent of
the records and information management program of the department of
state, division of library and information services in accordance with F.S.
~ 257.36.
B. Pursuant to F.S. 9257.36 the department of state promulgates records
retention schedules.
C. Per Florida Administrative Code ("FAC.") 1 B -24.003, public
records can only be destroyed in accordance with records retention
schedules, but photographic reproductions or reproductions through
electronic recordkeeping systems may substitute for the original or paper
copy, per F.S. ~ 92.29.
.
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~ fln8ID,I..r..v.llrnrc-nl1'..:l.I<'-C-_
Winter Springs, Florida
Records Management Plan
.
2. Are CD's a valid form of media for back up?
ANSWERn YES.
DISCUSSION AND DOCUMENTATION:
A. F.A.C. 1B-24.003 provides in part as follows:
A public record may be destroyed or otherwise
disposed of only in accordance with retention schedules
established by the Division. Photographic
reproductions or reproductions through electronic
recordkeeping systems may substitute for the original
or paper copy, per Section 92.29, F.S. Minimum
standards for image reproduction shall be in
accordance with Rules 18- 26.0021 and 18-26.003,
Florida Administrative Code.
.
B. F.A.C. 1 B-26.003(1 0) provides for standards for electronic records
storages. LaserFisch meets the standard in such rule.
3. Will electronic documentation stand up in court, and if so, what are the
requirements to prove that the documents have not been altered?
ANSWERn- YES. There are no specific requirements in law relative to proving
that the documents have not been altered.
DISCUSSION AND DOCUMENTATION:
A. F.S. S 92.29 provides as follows:
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.
.
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Winter Springs, Florida
Records Management Plan
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B. If electronic records were offered as evidence, they would be
received into evidence unless a party objected. If a party
objected, the party offering the record would have to prove
that the document was authentic. Given the antitampering
protections in LaserFiche, the material would be admissible.
4. Are DVD's a valid form of media backup?
ANSWERmYES
DISCUSSION AND DOCUMENTATION
They are optical disks. See FAC. 18-26.003.
5. Of all of the different records series, which ones are ok to archive and store with
an imaging system and which ones require that the hard copy be kept at the same time?
ANSWER---Public records cannot be destroyed except as authorized in records
retention schedules. Therefore, while all records can be archived electronically, records
can be destroyed only if allowed by a records retention schedule.
.
DISCUSSION AND DOCUMENTATION:
A. The provisions of Florida Statutes ("F.S.") ~ 119.041 require disposal of public
records that are no long needed, subject to consent of the records and information
management program of the department of state, division of library and information
services in accordance with F.S. ~ 257.36.
8. Pursuant to F.S. ~ 257.36 the department of state promulgates records
retention schedules.
C. Per Florida Administrative Code ("F.A.C.") 1 8 -24.003, public
records can only be destroyed in accordance with records retention
schedules, but photographic reproductions or reproductions through
electronic record keeping systems may substitute for the original or paper
copy, per F.S. ~ 92.29.
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Municipal Code Corporation - FLORIDA RETENTION BOOKLET DRAFT
..
.
I. BEST PRACTICES - reserved
II. ADMINISTRATIVE CODE
a. 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.
(3) For the purpose of this chapter:
(a) "Agency" means any state, county, or municipal officer, department, district,
division, board, bureau, commission or other separate unit of government created or
established by law.
(b) "Custodian" means 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.
(c) "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.
(d) "Division" means the Division of Library and Information Services of the
Department of State.
( e) "Florida State Archives" means the program 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.
(f) "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.
(g) "Electronic Records" means any information that is recorded in machine readable
form.
(h) "Public Records" are those as defined in section 119.011, Florida Statutes.
(i) "Record (Master) Copy" means public records specifically designated by the
custodian as the official record.
(j) "Duplicate (or Con'lenience) Records" means reproductions of record
(master) copies, prepared simultaneously or separately, 'J.'hich are
designated as not being tho official copy.
(k) "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.
(I) "Records Retention Schedule" means a standard approved by the
Division for the agency's orderly retention, transfer, or disposition of public
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records taking into consideration their legal, fiscal, historical, and
administrati'le values.
(m) "Records Management Liaison Officer" means an individual designated by the
agency that serves as a contact person to the Division and is assigned responsibilities by
the Custodian.
(n)"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 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 for the
purposes of this chapter.
(0) "Supporting Documents" means public records assembled or created to be used in tre
preparation of other records which are needed to trace actions, steps, and decisions
covered in the final or master record.
(p) "Drafts" are 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, 257.36(6)fS.
Law Implemented 257.36 FS.
History-New 1-8-80, Formerly lA-24.01, lA-24.001, Repromulgated 3-23-93,
amended 2-20-01.
IB-24.003 Records Retention Scheduling and Dispositioning.
(1) Each agency shall submit to the Division a request for records retention on Department of
State Form LS5E 105REff.1-01, "Records Retention Schedule" which is hereby incorporated by
reference and made part of this rule, for all records series. A copy of Form LS5E 1 05REff.1-01,
effective, January 2001, 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. Form LS5E 105REff.1-01 is to be signed
by the custodian of the records, or his or her designee, and submitted to the Division for
determination of official retention requirements.
(2) Retention and scheduling of intermediate files are not feasible due to their transitory nature,
and do not require submission of Form LS5E 105REff.1-01 "Records Retention Schedule".
(3) Each 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 sha II be
researched to assist in the determination of a record's value.
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(4) In addition, the 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.
(5) In the event that records are of archival value, an indication is made on the Records
Retention Schedule that such historical records are to be transferred to the Florida State Arc hives
as part of the retention requirements.
(6) 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.
(7) The Division, with information submitted on Form LS5E 105REff.l-01, "Records
Retention Schedule" and its own research into the legal, fiscal, historical and
administrative value of the record series, shall create an official "Records Retention
Schedule. Once approved by the Division, the Records Retention Schedule becomes the
official retention for the record series of the submitting agency.
(8) After an agency has established an approved Records Retention Schedule in
accordance with the foregoing procedures, it may become 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. The approved Records Retention Schedule shall receive the next
consecutive number.
(9) 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 1I~24.003(l) of this chapter.
(l0) Prior to records disposition, an agency must ensure that retention requirements have
been satisfied. The minimum requirements for each records disposition is the
identification and documentation oftre following:
. schedule number;
. item number;
. record series title;
. the inclusive dates;
. and the volume in cubic feet.
A public record may be destroyed or otherwise disposed of only in accordance with retention
schedules established by the Division. Photographic reproductions or reproductions through
electronic recordkeeping systems may substitute for the original or paper copy, per section 92.29,
F.S. Minimum standards for image reproduction shall be in accordance with rules 18-26.0021
and 18-26.003, Florida Administrative Code.
(11) Each agency shall submit to the Division, once a year, a signed statement attesting to the
agency's compliance with records disposition laws, rules, and procedures.
(12) Any record series identified, by either a General Records Schedule or approved Records
Retention Schedule, indicating archival value cannot be destroyed without the approval of the
Florida State Archives.
(13) The Division shall compile an annual summary of agency records scheduling and disposition
activities to inform the Governor and the Legislature on statewide records management practices
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and program compliance.
Specific Authority 257.36, F.S.
Law Implemented 257.36, F.S.
.
III. RETENTION SCHEDULE - F drive, private, Lab, FL file, Retention Schedule
N. ANNOTATED STATUTES
a. Executive Branch
1. Microfilming and destroying records and correspondence - (1) The
Department of financial Services may destroy general correspondence
files and also any other records which the department may deem no
longer necessary to preserve in accordance with retention schedules and
destruction notices established under rules of the Division of Library and
Information Services, records and information management program, of
the Department of State. Such schedules and notices relating to financial
records of the department shall be subject to the approval of the Auditor
General. (2) The Department of financial Services may photograph,
microphotograph, or reproduce on film such documents and records as it
may select, in such manner that each page will be exposed in exact
conformity with the original. (3) The Department of Financial Services
may destroy any of such documents after they have been photographed
and filed in accordance with the provisions of subsection (I).
(4) Photographs or microphotographs in the form offilm or prints of any
records made in compliance with the provisions of this section shall have
the same force and effect as the originals thereof would have, and shall
be treated as originals for the purpose oftheir admissibility in evidence.
Duly certified or authenticated reproductions of such photographs or
microphotographs shall be admitted in evidence equally with the original
photographs or microphotographs. 17.27 F.S.
1. No applicable cases found.
2. Pending-LegislatIon
ii. Dept. of Financial Services; Records retention schedules-
(f) Records retention schedules.-- The commission and the offices may
destroy general correspondence files and also any other records that they
deem no longer necessary to preserve in accordance with retention
schedules and destruction notices established under rules of the Division
of Library and Information Services, records and information
management program, of the Department of State. Such schedules and
notices relating to financial records of the commission and offices shall
be subject to the approval of the Auditor General. 20.121(f) F.S.
1. No applicable cases found.
2. Pending Legislation
111. Dept. of Environmental Protection - (5) Records and documents of
the Department of Environmental Protection shall be retained by the
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department as specified in record retention schedules established under
the general provisions of chapters 119 and 257. Further, the department
is authorized to: (a) Destroy, or otherwise dispose of, those records and
documents in conformity with the approved retention schedules.
(b) Photograph, microphotograph, or reproduce such records and
documents on film, as authorized and directed by the approved retention
schedules, whereby each page will be exposed in exact conformity with
the original records and documents retained in compliance with the
provisions of this section. Photographs or microphotographs in the form
of film or print of any records, made in compliance with the provisions
of this section, shall have the same force and effect as the originals
thereof would have and shall be treated as originals for the purpose of
their admissibility in evidence. Duly certified or authenticated
reproductions of such photographs or microphotographs shall be
admitted in evidence equally with the original photographs or
microphotographs. The impression of the seal of the Department of
Environmental Protection on a certificate made by the department and
signed by the Secretary of Environmental Protection entitles the
certificate to be received in all courts and in all proceedings in this state
and is prima facie evidence of all factual matters set forth in the
certificate. A certificate may relate to one or more records as set forth in
the certificate or in a schedule attached to the certificate.
20.255(5)(a)(b) F.S.
1. No applicable cases found.
2. [pepding !-egi~latlol)
IV. Paperwork reduction; Activities of departments - (f) Collaborate
with the Division of Library and Information Services, pursuant to s.
119.09, to identify and index records retention requirements placed on
private-sector organizations and local governments in Florida, clarify and
reduce the requirements, and educate the affected entities through
various communications media, including voice, data, video, radio, and
image. 23.22(f) F.S.
I. No applicable cases found.
2. Pe~ding Legislation
b. Judicial Branch
1. Clerks of the Circuit Courts
1. To keep papers - The clerk of the circuit court shall keep all
papers filed in the clerk's office with the utmost care and
security, arranged in appropriate files (endorsing upon each the
time when the same was filed), and shall not permit any attorney
or other person to take papers once filed out of the office of the
clerk without leave of the court, except as is hereinafter provided
by law. 28.13 F.S.
a. A pleading in a cause after filing becomes a
part of the record, a court document. It
should not be altered, amended, or
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destroyed without permission of the court
upon due notice to the opposite party and
should be kept by the clerk in the files of his
office. Gracy v. Fielding, 83 Fla. 388, 91 So. 373
(1922).
b. The taking of original records or papers from
the clerk's office by attorneys without leave
of the court is reprehensible, and should not
be permitted by the clerk. Tidwell v.
Witherspoon, 18 Fla. 282 (1881) .
c. 1984 Fla. Op. Atty. Gen. 114, The Honorable Robert E.
Lockwood (1984)
2. Records, judgments, orders, and decrees prior to circuit
courts - All the records, judgments, orders, and decrees of the
several circuit courts, in the respective counties, made and
entered before July 28th, 1868, shall be taken and held to be the
records, judgments, orders, and decrees of the circuit courts as
established in said counties July 28th, 1868, and may be
amended and enforced according to law and the practice of said
courts. 28.14 F.S.
a. No applicable cases found.
3. Records from superior courts - The files, rolls and books of
record of the superior courts of the several districts of the
Territory of Florida remaining in the clerk's offices of the
respective counties, so far as the same, by the concurrence of the
Congress and the Legislature of this state, may relate to matters
of appropriate state authority and jurisdiction, are placed in the
custody and under the control of the circuit courts of this state in
the respective counties thereof, where the said superior courts
were held and the records kept, and shall be deemed, held and
taken to be files, rolls and records of the said circuit courts; and
the said circuit courts may lawfully have and exercise such
judicial cognizance and power over them as the said courts may
lawfully have and exercise over their own files, rolls and records.
28.15 F.S.
a. No applicable cases found.
4. Certain records from prior county courts - All the records,
judgments and orders in the several county courts, in the
respective counties, made and entered prior to May 4th, 1875,
where the amount sued upon exceeded the sum of $1 00, shall be
held, deemed and taken to be files, rolls and records of the circuit
court and the said circuit court may lawfully have and exercise
such cognizance and power over them as said courts may
lawfully have and exercise over its own files, rolls and records.
28.16 F.S.
a. No applicable cases found.
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5. Disposal of physical evidence filed as exhibits - The clerk of
any circuit court or county court may dispose of items of
physical evidence which have been held as exhibits in excess of
3 years in cases on which no appeal, or collateral attack, is
pending or can be made. Items of evidence having no monetary
value which are designated by the clerk for removal shall be
disposed of as unusable refuse. Items of evidence having a
monetary value which are designated for removal by the clerk
shall be sold and the revenue placed in the clerk's general
revenue fund. 28.213 F.S.
a. No applicable cases found.
6. Records; destruction; reproduction; electronic
recordkeeping - (1) The purpose of this section and s. 28.31 is
to make available for the use of the clerks of the circuit court of
the several counties of the state sufficient space to enable them
to efficiently administer the affairs of office. (2) The clerk of
the circuit court of each county of the state is authorized to
destroy and dispose of public records pursuant to the rules
adopted by the Division of Library and Information Services of
the Department of State pursuant to s. 257.36. (3) Each clerk of
the circuit court is authorized to photograph, microphotograph,
or reproduce on film, or to maintain in an electronic
recordkeeping system, any public record that the clerk may
select Such photographs, microphotographs, or other
reproductions on film or reproductions from an electronic
recordkeeping system shall be admissible in evidence with the
same force and effect as the originals. Duly certified or
authenticated reproductions of such photographs,
microphotographs, reproductions on film, or reproductions from
an electronic record keeping system shall be admitted in evidence
equally with the original photographs, microphotographs,
reproductions on film, or reproductions from an electronic
recordkeeping system. (4) The clerk of the circuit court shall
follow procedures for electronic recordkeeping in accordance
with rules adopted by the Division of Library and Information
Services of the Department of State. (5) Except when otherwise
provided by law or applicable rule, a document that is submitted
to the clerk of the circuit court by electronic transmission is
deemed filed when the document is received and the date and
time are acknowledged by the clerk, as opposed to the date and
time of transmission. The clerk is not liable for malfunctions or
errors occurring in the transmission of documents for filing by
electronic means. 28.30 F.S.
a. Tax sale certificates cancelled under and
pursuant to statutory authority may not be
destroyed without specific statutory
.
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authority for such destruction. Op.Atty.Gen.,
057-94, April 15, 1957.
b. 1991 Fla. Gp. Atty. Gen. 71, The Honorable Martha O.
tI~Xrlle (1991)
c. PeJ?ding L~gis.latiol}
11. Clerk ofthe County Court
1. Clerk - The clerk of the circuit court shall be clerk ofthe county
court unless otherwise provided by law. 34.031 F.S.
a. For provisions pertaining to the jurisdiction of circuit
courts, see Const. Art. 5, & 5, and F.S.A. Chapter 26;
and, for provisions pertaining to the jurisdiction of
county courts, see Const. Art. 5. & 6, and this chapter.
111. District Courts of Appeal
1. Custody of books, records, etc. - All books, papers, records,
files and the seal of each district court of appeal shall be kept in
the office of the clerk of said court. 35.24 F .S.
a. No applicable cases found.
.
c. Evidence
1. 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
record keeping 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. 92.29 F.S.
1. Photographic copies of documents appearing to be
certificates registering intoximeter used in testing
defendant and establishing qualifications of persons
operating intoximeter were inadmissible in
prosecution for driving with unlawful blood alcohol
level where there was no qualifying testimony by
custodian as to how they came to be, who they
came from, who reproduced them or any other
information which identified them, and where
documents, although bearing original seal, did not
contain certification under hand and seal of
custodian. Turk v. State. ADD. 1 Dist..403 So.2d 1077
.CJ..2lli .
2. Photographs and miscrofilm copies of business
records of corporate agent of which defendant was
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president, were admissible in prosecution of
defendant for grand larceny for the taking of cash
belonging to corporate principal. Davis v. State, App. 3
Dist., 281 So.2d 551 (1973), certiorari denied 289 So.2d
734.
d. Electors and Elections
1. Supervisor of elections; election, tenure of office, compensation,
custody of books, office hours, successor, seal; appointment of
deputy supervisors; duties - (5) The supervisor shall preserve
statements and other information required to be filed with
the supervisor's office pursuant to chapter 106 for a
period of 10 years from date of receipt. (6) The
supervisor shall, upon leaving office, deliver to his or her
successor immediately all records belonging to the office.
98.015 (5), (6) F.S.
1. Supervisor of registration has duty of preserving
and maintaining an accurate, honest, and
dependable registration and election record. State ex
reL Norman v. Holmer. 160 Fla. 434. 35 So.2d 396 (1948) .
2. Qualifying papers when presented to the supervisor
of elections become "public records" and must be
preserved and maintained as such these papers
may not be returned to the person qualified
without legislative or judicial authority to do so.
Op.Div.Elect., DE 82-22, Aug. 31, 1982.
3. Supervisor of registration should retain in his office
tally books used in prior election but may destroy
pamphlet copies of election laws issued for use of
election officials in elections held more than one
year prior to last election held. Op.Atty.Gen., 102,
1949.
11. Administration of voter registration - (3) Notwithstanding the
provisions of ss. 98.095 and 98.0977, each supervisor shall
maintain for at least 2 years, and make available for
public inspection and copying, all records concerning
implementation of registration list maintenance programs
and activities conducted pursuant to ss. 98.065, 98.075, and
98.0977. The records must include lists of the name and
address of each person to whom an address confirmation
final notice was sent and information as to whether each
such person responded to the mailing, but may not
include any information that is confidential or exempt
from public records requirements under this code. 98.045
(3) F.S.
1. No applicable cases found.
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Ill. Names removed from registration books; restrictions on
reregistering; recordkeeping; restoration of erroneously or illegally
removed names - (2) When the name of any elector is
removed from the registration books pursuant to s. 98.065,
s.98.075, or s. 98.093, the elector's original registration form
shall be filed alphabetically in the office of the supervisor.
As alternatives, registrations removed from the
registration books may be microfilmed and such
microfilms substituted for the original registration forms;
or, when voter registration information, including the
voter's signature, is maintained digitally or on electronic,
magnetic, or optic media, such stored information may be
substituted for the original registration form. Such
microfilms or stored information shall be retained in the
custody of the supervisor. In the event the orig inal
registration forms are microfilmed or maintained digitally
or on electronic or other media, such originals may be
destroyed in accordance with the schedule approved by
the Bureau of Archives and Records Management of the
Division of Library and Information Services of the
department. 98.081 (2) F.S.
1. Pending .L~fdslation - 2004
2. No applicable cases found.
iv. Specifications for permanent registration binders, files, and forms -
In the permanent registration system, visible record
binders, files, and registration forms shall be used as
registration books. The binders shall be visible record
binders, metal bound with built-in shifts, to hold executed
registration forms, with labelholders and followers for
sheet protection as necessary. The registration forms
shall consist of duplicates, both to be signed by the
registrant. One of the original executed forms shall be
used for the poll binders, which binders shall have a built-
in lock to protect the forms. The poll binders shall be
divided in a manner convenient for electors to vote. The
other original form shall be used for the office copies and
arranged alphabetically, in suitable filing cabinets, thus
providing a master list of all electors in the county;
however, any county may, as an alternate method, use
electronic data processing equipment to fulfill the
requirements of this chapter. As additional alternatives,
registration forms used for office copies may be
microfilmed and such microfilms substituted for the
original registration forms; or, when voter registration
information, including the voter's signature, is maintained
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digitally or on electronic, magnetic, or optic media, such
stored information may be substituted for the original
registration form. Such microfilms or stored information
shall be retained in the custody of the supervisor of
elections. In the event the original registration forms are
microfilmed or maintained digitally or on electronic or
other media, such originals may be destroyed in
accordance with the schedule approved by the Bureau of
Archives and Records Management of the Division of
Library and Information Services of the Department of
State. 98.101 F.S.
1. tpeIlding Legislation :-2004
2. Supervisor of elections may not substitute or
replace voter registration forms or cards with
microfilm records. Op.Attv.Gen. 86-18, Feb. 18, 1986.
v. Supervisor of elections to make up indexes or records - A set of
indexes or records as the supervisor may direct shall be
kept in each municipality of over 25,000 population, when
such municipality is not the county seat, as will enable
the supervisor, or the supervisor's deputy, to provide
registration services to the electors in such municipality.
Such set of indexes or records may be limited to cover
those persons residing in such municipality and its
environs. If there be two or more such municipalities in a
co unty, then an additional set shall be kept, or such
number of sets as may be required to serve each such
municip_aljty. 98.181 F.S.
1. PendiIlgL~gislati(m - 2004
2. No applicable cases found.
VI. Retention and destruction of certain election materials - All ballots,
forms, and other election materials shall be retained in the custody of the
supervisor of elections in accordance with the schedule approved by the
Division of Library and Information Services of the Department of State.
All unused ballots, forms, and other election materials may, with the
approval of the Department of State, be destroyed by the supervisor after
the election for which such ballots, forms, or other election materials
were to be used. 101.545 F.S.
1. Pending Legislation - 2004
2. No applicable cases found.
VII. Theft or destruction of election records or documents - Any person
who is guilty of stealing, willfully and wrongfully breaking, destroying,
mutilating, defacing, or unlawfully moving or securing and detaining the
whole or any part of any ballot box or any record tally sheet or copy
thereof, returns, or any other paper or document provided for, or who
fraudulently makes any entry or alteration therein except as provided by
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.
law, or who perm its any other person so to do, is guilty of a felony of the
third degree, punishable as provided in s. 775.082, s. 775.083, or s.
775.084. 104.22 F.S.
1. Defendant's conduct in wrongfully withholding
absentee ballots did not fall within purview of 9
104.061 proscribing conduct intended to influence
voter in unlawful manner; however, conduct might
have constituted violation of this section
proscribing mishandling of election materials and
records. State v. Brown, ADD. 4 Dist., 298 So.2d 487 (1974).
2. Defendant could be convicted under Corrupt
Practices Act (this chapter) for wrongfully
withholding absentee ballots, even though such
ballots might have been invalid, in that attempts to
perpetrate prohibited conduct are within purview of
statute. State v. Brown, ADD. 4 Dist., 298 So.2d 487 (1974).
e. Public Records Act
1. General state policy on public records - (2) The Legislature finds
that, given advancements in technology, providing access to public
records by remote electronic means is an additional method of
access that agencies should strive to provide to the extent feasible.
If an agency provides access to public records by remote electronic
means, then such access should be provided in the most cost-
effective and efficient manner available to the agency providing the
information. (4) Each agency shall establish a program for the
disposal of records that do not have sufficient legal, fiscal,
administrative, or archival value in accordance with retention
schedules established by the records and information management
program of the Division of Library and Information Services of the
Department of State. 119.01(2) and (4) F.S.
1. ~eriding L~gislat!()n
2. Office of the Attorney General, State of Florida, AGO 94- 75,
September 7, 1994 - Re: MUNICIPALITIESnRECORDSn
PUBLIC EMPLOYEES- - records of proposed or actual
disciplinary action may not be removed from disclosure or
destroyed except as provided by statute. 55. 119.01(2),
119.07, and 257.36, Fla. Stat. (1993); Art. L s. 24, Fla.
Const.
ii. Definitions.--For the purpose of this chapter - (1) "Public records"
means all documents, papers, letters, maps, books, tapes,
photographs, films, sound recordings, data processing software, or
other material, regardless of the physical form, characteristics, or
means of transmission, made or received pursuant to law or
ordinance or in connection with the transaction of official business
by any agency. (2) "Agency" means any state, county, district,
authority, or municipal officer, department, division, board,
bureau, commission, or other separate unit of government created
or established by law including, for the purposes of this chapter,
the Commission on Ethics, the Public Service Commission, and the
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Office of Public Counsel, and any other public or private agency,
person, partnership, corporation, or business entity acting on
behalf of any public agency. 119.011 (l ),(2) F.S.
1. [pendingLe.g:islatiol1
2. No applicable cases found.
111. Penalty for Violation by Public Officer - A public officer who
knowingly violates the provisions of s. 119.07( 1) is subject to
suspension and removal or impeachment and, in addition, is guilty
of a misdemeanor of the first degree, punishable as provided in ~
775.082 or s. 775.083. 119.02 F.S.
1. pending Legislation
2. A statute enacted for the public benefit, such as a sunshine
law or public meeting law, should be construed liberally in
favor of the public even though it contains a penal
provision. Wolfson v. State. ADD. 2 Dist.. 344 So.2d 611
(1977).
iv. Custodian designated - The elected or appointed state, county, or
municipal officer charged with the responsibility of maintaining the
office having public records, or his or her designee, shall be the
custodian thereof. 119.021 F.S.
1. ,Pending'Legisli:ltion
2. City did not violate its obligation as custodian, under state
public records disclosure law, by failing to designate an
official records custodian and allowing individual
employees, without oversight, to review e- mails to
determine whether communications were nonpublic
records, where statute defined official records custodian as
elected officer or officer's designee, state did not limit who
records custodian could designate to review
communications, and law provided no specific procedure for
determining whether a record was "public." Times
Publishino Co. v. City of Clearwater. ADD. 2 Dist.. 830
So.2d 844 (2002), review granted 841 So.2d 466.
approved 2003 WL 22097478.
3. City could not allow private entity to maintain physical
custody of public records in order to circumvent public
records statute. Wisner v. City of TamDa Police DeDt.. ADD.
2 Dist.. 601 So.2d 296 (1992).
4. "Custodians," within meaning of this act, refers to all
agency personnel who have it within their power to release
or communicate public records. Williams v. Citv of
Minneola. ADD. 5 Dist.. 575 So.2d 683 (1991), review
denied 589 So.2d 289.
5. Director of county transit agency, as officer "charged by
law with the responsibility of maintaining the office," was
the "custodian" of accident records and reports emanating
from separate agency bus accidents. Tober v. Sanchez.
ADD. 3 Dist.. 417 So.2d 1053 (982), petition for review
denied 426 So.2d 27.
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v. Keeping records in safe places; copying or repairing certified
copies - Insofar as practicable, custodians of vital, permanent, or
archival records shall keep them in fireproof and waterproof safes,
vaults, or rooms fitted with noncombustible materials and in such
arrangement as to be easily accessible for convenient use. All
public records should be kept in the buildings in which they are
ordinarily used. Record books should be copied or repaired,
renovated, or rebound if worn, mutilated, damaged, or difficult to
read. Whenever any state, county, or municipal records are in
need of repair, restoration, or rebinding, the head of such state
agency, department, board, or commission, the board of county
commissioners of such county, or the governing body of such
municipality may authorize that such records be removed from the
building or office in which such records are ordinarily kept for the
length of time required to repair, restore, or rebind them. Any
public official who causes a record book to be copied shall attest it
and certify on oath that it is an accurate copy of the original book.
The copy shall then have the force and effect of the original.
] ]9.03] F.S.
1. :F'~n.(jingLe.gislatio-".
2. Clerk of circuit court may store permanent official books
and records in a building within the county seat other than
the county courthouse where the clerk's office and records
are maintained; however, the requirements of this section,
pertaining to safe storage must be followed when
establishing and maintaining within the county seat this
other office for the storage of permanent official books and
records by the clerk of the circuit court. Dp.Atty.Gen., 074-
56, Feb. 27, 1974.
3. A public official is not authorized by law to remove public
records from the office or building in which they are
customarily used except to accomplish official purposes.
DD.Atty.Gen. 93-16. March 4, 1993.
vi. Destruction of records regulated - (1) Every public official shall
systematically dispose of records no longer needed, subject to the
consent of the records and information management program of
the Division of Library and Information Services of the Department
of State in accordance with s. 257.36. (2) Agency orders that
comprise final agency action and that must be indexed or listed
pursuant to s. 120.53 have continuing legal significance; therefore,
notwithstanding any other provision of this chapter or any
provision of chapter 257, each agency shall permanently maintain
records of such orders pursuant to the applicable rules and
guidelines of the Department of State. 1 ]9.041 F.S.
1. Pel'lding. Legislation
2. Meetings of drainage district board of commissioners are
not required to be tape recorded; however, if the meetings
are recorded, destruction or disposal of recordings is
controlled by West's F.S.A. 99 119.041, 267.051(6), and
schedules adopted or approved by Division of Archives,
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History, and Records Management of Department of State.
Oo.Attv.Gen. 86-21. March 3, 1986.
3. The city of Hollywood may not destroy or dispose of
licensure, certification, or employment examination
question and answer sheets except with the permission of
the division of archives, history and records management
of the department of state. Op.Atty.Gen., 081-12, Feb. 12,
1981.
4. In the absence of a House or Senate rule of procedure to
the contrary, the Public Records Law, this chapter, is
applicable to records made or received by legislators in the
course of transacting their official business. Accordingly,
the permission of the division of archives, history and
records management must be obtained before any such
record is loaned, destroyed, sold, mutilated or otherwise
disposed of. Op.Atty.Gen., 075-282, Nov. 18, 1975.
vii. Disposition of records at end of official's term - Whoever has the
custody of any public records shall, at the expiration of his or her
term of office, deliver to his or her successor or, if there be none,
to the records and information management program of the
Division of Library and Information Services of the Department of
State all records, books, writings, letters, and documents kept or
received by him or her in the transaction of official business.
119.05 F.S.
1. ,Pending Legislation
2. State, county, and municipal records are not the personal
property of a public officer. Maxwell v. Pine Gas CorD.. ADD.
4 Dist.. 195 So.2d 602 (1967).
3. In the absence of legislative direction in the special act
dissolving the special taxing district, the records of the
special district should be delivered to the Division of Library
and Information Services of the Department of State, which
is responsible for the disposition of such records.
Oo.Attv.Gen. 95-03. Jan. 25, 1995.
4. All records within the purview of 9 119.011(1), must be
delivered to an official's successor or the division of
archives, history and records management regardless of
the personal nature, relevancy or usefulness of the record.
Op.Atty.Gen., 075-282, Nov. 18, 1975.
5. As a public record, "e-mail" messages are subject to the
statutory restrictions on destruction of public records,
which require agencies to adopt a schedule for the disposal
of records no longer needed, subject to the approval of the
Division of Library and Information Services of the
Department of State. Oo.Attv.Gen. 96-34. May 15, 1996.
VIlI. Inspection, examination, and duplication of records; exemptions -
(c) Even if an assertion is made by the custodian of a public record
that a requested record is not a public record subject to public
inspection and examination under subsection (1), the requested
record shall, nevertheless, not be disposed of for a period of 30
days after the date on which a written request requesting the right
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to inspect, examine, or copy the record was served on or otherwise
made to the custodian of the record by the person seeking access
to the record. 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 cou rt of com petent ju risd iction after notice toU.. .. ... .
all affected parties. (d) The absence of a civil action instituted for
the purpose stated in paragraph (c) will not relieve the custodian
of the duty to maintain the record as a public record if the record is
in fact a public record subject to public inspection and examination
under subsection (1) and will not otherwise excuse or exonerate
the custodian from any unauthorized or unlawful disposition of
such record. 119.07(2)(c)(d) F.S.
1. ~~ndingLegislation
IX. Assistance of the Division of Library and Information Services,
records and information management program, of the Department
of State - The Division of Library and Information Services, records
and information management program, of the Department of State
shall have the right to examine into the condition of public records
and shall give advice and assistance to public officials in the
solution of their problems of preserving, creating, filing, and
making available the public records in their custody. Public officials
shall assist the division by preparing an inclusive inventory of
categories of public records in their custody. The division shall
establish a time period for the retention or disposal of each series
of records. Upon the completion of the inventory and schedule, the
division shall (subject to the availability of necessary space, staff,
and other facilities for such purposes) make space available in its
records center for the filing of semicurrent records so scheduled
and in its archives for noncurrent records of permanent value and
shall render such other assistance as needed, including the
microfilming of records so scheduled. 119.09 F.S.
1. [PendingLegislatic,'1
2. If a facsimile document is subsequently copied by the
receiving public agency, the facsimile is considered an
intermediate document, which may be destroyed without
specific consent of the Division of Library and Information
Services, Department of State; the copy of the facsimile
then is retained as a public record. Go.ArtY.Gen. 91-9. Jan.
16, 1991.
x. Violation of chapter; penalties - (1) Any public officer who violates
any provision of this chapter is guilty of a noncriminal infraction,
punishable by fine not exceeding $500. (2) Any person willfully
and knowingly violating any of the provisions of this chapter is
guilty of a misdemeanor of the first degree, punishable as provided
in s. 775.082 or s. 775.083. (3) Any person who willfully and
knowingly violates s. 119.105 commits a felony of the third
degree, punishable as provided in s. 775.082, s. 775.083, or .2..:.
775.084. 119.10 F.S.
1. ,Pending Legislation
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2. A state attorney may prosecute suits charging public
officials with violation of Florida's Public Records Law,
Chapter 119 of the Florida Statutes, pursuant to his or her
statutory authority to appear on behalf of the state in all
suits in which the State of Florida is a party. Oo.Atty.Gen.
91-38. May 30, 1991.
3. Public records law specifically authorized conviction only
when board member knowingly, or willfully and knowingly,
failed to allow public records to be examined, and did not
unconstitutionally permit conviction based on mere
negligence. State v. Webb. ADD. 1 Dist.. 786 So.2d 602
(2001 ), rehearing denied, review denied 807 So.2d 656.
XI. Attorney's fees - (1) If a civil action is filed against an agency to
enforce the provisions of this chapter and if the court determines
that such agency unlawfully refused to permit a public record to be
inspected, examined, or copied, the court shall assess and award,
against the agency responsible, the reasonable costs of
enforcement including reasonable attorneys' fees. (2) Whenever
an agency appeals a court order requiring it to permit inspection of
records pursuant to this chapter and such order is affirmed, the
court shall assess a reasonable attorney's fee for the appeal
against such agency. 119.12 F.S.
1. [PendingLegislatlpn
2. "Reasonable costs of enforcement," which are recoverable
in an action in which a public agency is found to have
unlawfully refused to permit a public record to be
inspected, examined, or copied, are not necessarily limited
to costs recoverable pursuant to the Statewide Uniform
Guidelines for Taxation of Costs in Civil Actions; rather,
such costs are limited only by the requirement that they be
reasonably incurred in the course of the litigation, given the
particular facts of each case. Weeks v. Golden. ADD. 1
Dist.. 846 So.2d 1247 (2003).
3. Postage, envelopes, and copying costs were "reasonable
costs of enforcement" to which pro se inmate was entitled
in his action to compel state attorney for judicial circuit to
copy and send to inmate certain public records, in light of
fact that inmate was incarcerated and prosecuted action
pro se. Weeks v. Golden. ADD. 1 Dist.. 846 So.2d 1247
(2003).
4. Building owner's petition for writ of mandamus, seeking
copy of Unsafe Building and Abatement Code, was not
moot, even though county had provided copy of code while
action was pending; survival of issue of building owner's
right to attorney fees was in keeping with public policy
consideration of encouraging public agencies to voluntarily
comply with the requirements of Public Records Act. Mazer
v. Oranqe County. Apo. 5 Dist.. 811 So.2d 857 (2002).
t: Municipalities
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1. Coastal Mapping - Powers and duties of the Department of
Environmental Protection- (e) To develop permanent records of tidal
surveys and maps of the state's coastal areas. 177.29(e) F.S.
1. No applicabe cases found.
g. Public Lands and Property
1. Records and information management - (1) There is created within
the Division of Library and Information Services of the Department of
State a records and information management program. It is the duty and
responsibility of the division to: (a) 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.
(b) Establish and operate a records center or centers primarily for the
storage, processing, servicing, and security of public records that must be
retained for varying periods of time but need not be retained in an
agency's office equipment or space. (c) Analyze, develop, establish, and
coordinate standards, procedures, and techniques of recordmaking and
record keeping. (d) Ensure the maintenance and security of records
which are deemed appropriate for preservation. (e) Establish safeguards
against unauthorized or unlawful removal or loss of records. (f) Initiate
appropriate action to recover records removed unlawfully or without
authorization. (g) Institute and maintain a training and information
program in: 1. All phases of records and information management to
bring approved and current practices, methods, procedures, and devices
for the efficient and economical management of records to the attention
of all agencies. 2. The requirements relating to access to public records
under chapter 119. (h) Provide a centralized program of microfilming
for the benefit of all agencies. (i) Make continuous surveys of
recordkeeping operations. (j) Recommend improvements in current
records management practices, including the use of space, equipment,
supplies, and personnel in creating, maintaining, and servicing records.
(k) Establish and maintain a program in cooperation with each agency
for the selection and preservation of records considered essential to the
operation of government and to the protection of the rights and privileges
of citizens. (I) Make, or have made, preservation duplicates, or designate
existing copies as preservation duplicates, to be preserved in the place
and manner of safekeeping as prescribed by the division. (2)(a) All
records transferred to the division may be held by it in a records center or
centers, to be designated by it, for such time as in its judgment retention
therein is deemed necessary. At such time as it is established by the
division, such records as are determined by it as having historical or
other value warranting continued preservation shall be transferred to the
Florida State Archives. (b) Title to any record detained in any records
center shall remain in the agency transferring such record to the division.
(c) When a record held in a records center is eligible for destruction, the
division shall notifY, in writing, by certified mail, the agency which
transferred the record. The agency shall have 90 days from receipt of that
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notice to respond requesting continued retention or authorizing
destruction or disposal of the record. If the agency does not respond
within that time, title to the record shall pass to the division. (3) The
division may charge fees for supplies and services, including, but not
limited to, shipping containers, pickup, delivery, reference, and storage.
Fees shall be based upon the actual cost of the supplies and services and
shall be deposited in the Records Management Trust Fund. (4) Any
preservation duplicate of any record made pursuant to this chapter shall
have the same force and effect for all purposes as the original record. A
transcript, exemplification, or certified copy of such preservation
duplicate shall be deemed, for all purposes, to be a transcript,
exemplification, or certified copy of the original record. (5) For the
purposes of this section, the term "agency" shall mean any state, county,
district, or municipal officer, department, division, bureau, board,
commission, or other separate unit of government created or established
by law. 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. (b) Establish and maintain an active and
continuing program for the economcal and efficient management of
records. (6) A public record may be destroyed or otherwise disposed of
only in accordance with retention schedules established by the division.
The division shall adopt reasonable rules not inconsistent with this
chapter which shall be binding on all agencies relating to the destruction
and disposition of records. Such rules shall provide, but not be limited to:
(a) Procedures for complying and submitting to the division records-
retention schedules. (b) Procedures for the physical destruction or other
disposal of records. (c) Standards for the reproduction of records for
security or with a view to the disposal of the original record. 257.36
F.S.
1. P~nding Le9isla~iol1
2. As a public record, "e-mail" messages are subject
to the statutory restrictions on destruction of public
records, which require agencies to adopt a
schedule for the disposal of records no longer
needed, subject to the approval of the Division of
Library and Information Services of the
Department of State. Op.Arty.Gen. 96-34, May 15,
1996.
3. A municipality, which maintains employee
personnel files that include notices of proposed and
actual disciplinary action, may not remove and
destroy disciplinary notices, with or without the
employee's consent, during the course of resolving
collective bargaining grievances, except in
accordance with the retention schedule adopted by
the municipality and with the consent of the
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Division Librarian Information Services of the
Department of State, nor does a municipality have
the authority to "seal" such disciplinary notices,
thus removing such notices from disclosure under
the Public Records Law. Op.Arty.Gen. 94-75, Sept. 7,
1994.
4. Meetings of drainage district board of
commissioners are not required to be tape
recorded; however, if the meetings are recorded,
g~sX~~!~~ .~.1iS~~S:~ ~:o~etO~~~~:r i~i~.~t~~I!~f M
(now this section), and schedules adopted or
approved by Division of Archives, History, and
Records Management of Department of State.
Op.Arty.Gen. 86-2], March 3, 1986.
11. Legislative intent-In enacting this law, the Legislature is cognizant of
the fact that there may be instances where an agency may be
microfilming and destroying public records or performing other records
management programs pursuant to local or special acts. The Legislature
is further aware that it may not be possible to implement this chapter in
its entirety immediately upon its enactment, and it is not the legislative
intent by this chapter to disrupt the orderly microfilming and destruction
of public records pursuant to such local or special acts above referred to,
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 pursuant to such rules and regulations as it may
establish. 257.37 F.S.
1. ~eJ.)ding!-egislatioTl
2. No applicable cases found.
Ill. Disposition of state-owned tangible personal property-
(2) Custodians shall maintain records to identify each property item as to
disposition. Such records shall comply with rules issued by the Auditor
General. 273.055 F.S.
1. P~~dingLegislat~ol1
2. No applicable cases found.
h. Public Health
i. Medical Telecommunications and Transportation - Records - (1)
Each licensee must maintain accurate records of
emergency calls on forms that contain such information
as is required by the department (of health). These
records must be available for inspection by the
department at any reasonable time, and copies thereof
must be furnished to the department upon request. The
department shall give each licensee notice of what
information such forms must contain. 401.30(1) F.S.
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1. No applicable cases found.
1. Crimes - Offenses by Public Officers and Employees
1. Officer withholding records from successor - If any officer, after
the expiration of the time for which she or he may have
been appointed or elected, or in case of death, her or his
executors and administrators, or the person in possession
thereof, shall willfully and unlawfully withhold or detain
from her or his successors the records, papers,
documents, or other writings appertaining and belonging
to her or his office, or mutilate, destroy, take away, or
otherwise prevent the complete possession by her or his
successors of said records, documents, papers, or other
writings, she or he shall be guilty of a misdemeanor of
the second degree, punishable as provided in s. 775.082 or
s. 775.083. 839.14 F.S.
1. Under this section requiring a public officer to
deliver records, papers, documents or other
writings appertaining and belonging to the office to
his successor, an outgoing clerk of the circuit court
must turn over to his successor the deposit books
and check books kept by him as an office account,
though such records are not required by statute to
be kept. Op.Atty.Gen., 1951, p. 249.
J. K-20 Education Code
1. Commissioner of Education; general powers and duties - (3) To
keep such records as are necesslll)' to set forth clearly all acts and
proceedings of the State Board of Education. (10) To prepare forms and
procedures as are necesslll)' to be used by district school boards and all
other educational agencies to assure uniformity, accuracy, and efficiency
in the keeping of records, the execution of contracts, the preparation of
budgets, or the submissio n of reports; and to furnish at state expense,
when deemed advisable by the commissioner, those forms that can more
economically and efficiently be provided. 1001.10(3) and (10) F.S.
1. No applicable cases found.
11. Specific powers and duties of the Department of Education -
(4) After complying with the provisions of s. 257.37, the Department of
Education may: (a) Photograph, microphotograph, or reproduce on film
or prints, documents, records, data, and information of a permanent
character and destroy any of the documents after they have been
photographed and after audit of the department has been completed for
the period embracing the dates of the instruments. Photographs or
microphotographs in the form offilm or prints made in compliance with
the provisions of this subsection shall have the same force and effect as
the originals would have, and shall be treated as originals for the purpose
of their admissibility in evidence. Duly certified or authenticated
reproductions of such photographs or microphotographs shall be
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admitted in evidence equally with the original photographs or
microphotographs. (b) Destroy general correspondence that is over 3
years old; records of bills, accounts, vouchers, and requisitions that are
over 5 years old and copies of which have been filed with the Chief
Financial Officer; and other records, papers, and documents over 3 years
old that do not serve as part of an agreement or understanding and do not
have value as permanent records. 1001.23 F.S.
]. ~~n.dingL~gislation
2. No applicable cases found.
lll. 1001.42(1), (10)(1), (11) F.S. Powers and duties of district school
board - (1) Require minutes and records to be kept.--Require
the district school superintendent, as secretary, to keep such
minutes and records as are necessary to set forth clearly all
actions and proceedings of the school board.
10 (f) Financial records and accounts.-- Provide for keeping of
accurate records of all financial transactions. (11) Records and
reports.--Provide for the keeping of all necessary records and the
making of all needed or required reports, as follows: (a) Forms,
blanks, and reports.--Require all employees to keep accurately all
records and to make promptly in the proper form all reports
required by law or by rules of the State Board of Education.
1. rending .Legisl,!tion':" 2001
2. No applicable cases found.
IV. 1001.453(4) F.S. Direct-support organization; use of property;
board of directors; audit - (4) Annual audit.--Each direct-support
organization with more than $100,000 in expenditures or expenses
shall provide for an annual financial audit of its accounts and
records, to be conducted by an independent certified public
accountant in accordance with rules adopted by the Auditor
General pursuant to s. 11.45(8) and the Commissioner of
Education. The annual audit report shall be submitted within 9
months after the fiscal year's end to the district school board and
the Auditor General. The Commissioner of Education, the Auditor
General, and the Office of Program Policy Analysis and Government
Accountability have the authority to require and receive from the
organization or the district auditor any records relative to the
operation of the organization. The identity of donors and all
information identifying donors and prospective donors are
confidential and exempt from the provisions of s. 119.07( 1), and
that anonymity shall be maintained in the auditor's report. All
other records and information shall be considered public records
for the PLJrposes of chapter 119.
1. Pe~ding Legislation - 2004
2. No applicable cases found.
v. 1001.51(3), (11)(1), (12), (20) F.S. Duties and responsibilities of
district school superintendent - (3) Records for the district
school board.--Keep minutes of all official actions and
proceedings of the district school board and keep such other
records, including records of property held or disposed of by the
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district school board, as may be necessary to provide complete
information regarding the district school system. (11) Finance.--
Recommend measures to the district school board to assure
adequate educational facilities throughout the district, in
accordance with the financial procedure authorized in chapters
1010 and 1011 and as prescribed below: (f) Financial records and
accounting.-- Keep or have kept accurate records of all financial
transactions. (12) Records and reports.--Recommend such
records as should be kept in addition to those prescribed by rules
of the State Board of Education; prepare forms for keeping such
records as are approved by the district school board; ensure that
such records are properly kept; and make all reports that are
needed or required, as follows: (a) Forms, blanks, and reports.--
Require that all employees accurately keep all records and
promptly make in proper form all reports required by the education
code or by rules of the State Board of Education; recommend the
keeping of such additiona I records and the making of such
additional reports as may be deemed necessary to provide data
essential for the operation of the school system; and prepare such
forms and blanks as may be required and ensure that these
records and reports are properly prepared. (b) Reports to the
department .--Prepare, for the approval of the district school board,
all reports that may be required by law or rules of the State Board
of Education to be made to the department and transmit promptly
all such reports, when approved, to the department, as required by
law. If any such reports are not transmitted at the time and in the
manner prescribed by law or by State Board of Education rules, the
salary of the district school superintendent must be withheld until
the report has been properly submitted. Unless otherwise provided
by rules of the State Board of Education, the annual report on
attendance and personnel is due on or before July 1, and the
annual school budget and the report on finance are due on the
date prescribed by the commissioner. Any district school
superintendent who knowingly signs and transmits to any state
official a false or incorrect report shall forfeit his or her right to any
salary for the period of 1 year from that date. (20) Make
records available to successor.--Leave with the district school
board and make available to his or her successor, upon retiring
from office, a complete inventory of school equipment and other
property, together with all official records and such other records
as may be needed in supervising instruction and in administering
the district school system.
1. Pending Legislation - 2004
2. No applicable cases found.
vi. S 1001.52. Reproduction and destruction of district school records
- (1) The purpose of this section is to reduce the present space
required by the district school systems for the storage of their
records and to permit the district school superintendent to
administer the affairs of the district school system more efficiently.
(2) After complying with the provisions of s. 257.37, the dist~ict
school superintendent may photograph, microphotograph, or
reproduce documents, records, data, and information of a
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permanent character which in his or her discretion he or she may
select, and the district school superintendent may destroy any of
the said documents after they have been reproduced and after
audit of the district school superintendent's office has been
completed for the period embracing the dates of said instruments.
Information made in compliance with the provisions of this section
shall have the same force and effect as the originals thereof would
have, and shall be treated as originals for the purpose of their
admissibility into evidence. Duly certified or authenticated
reproductions shall be admitted into evidence equally with the
originals. (3) After complying with the provisions of s. 257.37, the
district school superintendent may, in his or her discretion, destroy
general correspondence that is over 3 years old and other records,
papers, and documents over 3 years old that do not serve as part _
of an agreement or understanding and do not have value as I ~Ui!
permanent records.
1. No applicable cases found.
VII. S 1002.21(1). Postsecondary student and parent rights - (1)
Student records.--Parents have rights regarding the student
records of their children, and students 18 years of age and older
have rights regarding their student records, including right of
access, right of waiver of access, right to challenge and hearing,
and right of privacy, in accordance with the provisions of ss.
1002.22. 1005.36. and 1006.52.
1. No applicable cases found.
VllI. S 1002.22. Student records and reports; rights of parents and
students; notification; penalty - (1) Purpose.--The purpose of this
section is to protect the rights of students and their parents with
respect to student records and reports as created, maintained, and
used by public educational institutions in the state. The intent of
the Legislature is that students and their parents shall have rights
of access, rights of challenge, and rights of privacy with respect to
such records and reports, and that rules shall be available for the
exercise of these rights. Definitions (c) "Records" and "reports"
mean official records, files, and data directly related to students
that are created, maintained, and used by public educational
institutions, including all material that is incorporated into each
student's cumulative record folder and intended for school use or
to be available to parties outside the school or school system for
legitima te educational or research purposes. Materials that shall be
considered as part of a student's record include, but are not
necessarily limited to: identifying data, including a student's social
security number; academic work completed; level of achievement
records, including grades and standardized achievement test
scores; attendance data; scores on standardized intelligence,
aptitude, and psychological tests; interest inventory results; health
data; family background information; teacher or counselor ratings
and observations; verified reports of serious or recurrent behavior
patterns; and any other evidence, knowledge, or information
recorded in any medium, including, but not limited to, handwriting,
typewriting, print, magnetic tapes, film, microfilm, and microfiche,
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and maintained and used by an educational agency or institution or
by a person acting for such agency or institution. However, the
terms "records" and "reports" do not include: 1. Records of
instructional, supervisory, and administrative personnel, and
educational personnel ancillary to those persons, that are kept in
the sole possession of the maker of the record and are not
accessible or revealed to any other person except a substitute for
any of such persons. An example of records of this type is
instructor's grade books. 2. Records of law enforcement units of
the institution that are maintained solely for law enforcement
purposes and that are not available to persons other than officials
of the institution or law enforcement officials of the same
jurisdiction in the exercise of that jurisdiction. 3. Records made
and maintained by the institution in the normal course of business
that relate exclusively to a student in his or her capacity as an
employee and that are not available for use for any other purpose. .
4. Records created or maintained by a physician, psychiatrist, ..~... .......
psychologist, or other recognized professional or paraprofessional
acting in his or her professional or paraprofessional capacity, or
assisting in that capacity, that are created, maintained, or used
only in connection with the provision of treatment to the student
and that are not available to anyone other than persons providing
such treatment. However, such records shall be open to a
physician or other appropriate professional of the student's choice.
5. Directory information as defined in this section. 6. Other
information, files, or data that do not permit the personal
identification of a student. 7. Letters or statements of
recommendation or evaluation that were confidential under Florida
law and that were received and made a part of the student's
educational records prior to July 1, 1977. 8. Copies of the
student's fingerprints. No public educational institution shall
maintain any report or record relative to a student that includes a
copy of the student's fingerprints. (3) Rights of parent or
student.-- The parent of any student who attends or has attended
any public school, area technical center, or public postsecondary
educational institution shall have the following rights with respect
to any records or reports created, maintained, and used by any
public educational institution in the state. However, whenever a
student has attained 18 years of age, or is attending a
postsecondary educational institution, the permission or consent
required of, and the rights accorded to, the parents of the student
shall thereafter be required of and accorded to the student only,
unless the student is a dependent student of such parents as
defined in 26 U.S.c. s. 152 (s. 152 of the Internal Revenue Code of
1954 ). The State Board of Education shall adopt rules whereby
parents or students may exercise these rights.
1. No applicable cases fo undo
2. Pending Legislation - 2004
IX. g 1002.36(5). Florida School for the Deaf and the Blind - (5)
Student and employee personnel records.--The Board of
Trustees for the Florida School for the Deaf and the Blind shall
provide for the content and custody of st udent and employee
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personnel records. Student records shall be subject to the
provisions of s. 1002.22. Employee personnel records shall be
subject to the provisions of s. 1012.31.
1. No applicable cases found.
2. Pep.diIlg Legislation - 2004
x. S 1002.42 (3). Private schools - (3) Retention of records. (a)
As used in this subsection: 1. "Defunct private school" means any
private school that has terminated the operation of an education or
training program, or that has no students in attendance, or that
has dissolved as a business entity. 2. "Student records" means
those records, files, documents, and other materials that contain
information directly related to students that are maintained by a
private school or by a person acting for such institution and that
are accessible to other professional personnel to facilitate the
instruction, guidance, and educational progress of students.
Information contained in student records shall be classified as
follows: a. Permanent information, which includes verified
information of clear educational importance, containing the
following: student's full name and any known changes thereto due
to marriage or adoption; authenticated birthdate, place of birth,
race, and sex; last known address of student; names of student's
parents; name and location of last school attended; number of
days present and absent; date enrolled; date withdrawn; courses
taken and record of achievement; and date of graduation or
program achievement. b. Temporary information, which includes
verified information subject to change, containing, but not limited
to, the following: health information, standardized test scores,
honors and activities, personal attributes, work experience, teacher
and counselor comments, and special reports. (b) All private
schools that become defunct shall transfer all permanent
information contained in student records to the district school
superintendent of the public school district in which the private
school was located; or, if the private school is a member of a
private school system or association, such school may transfer
such records to the principal office of such system or association,
which shall constitute full compliance with this subsection. In the
event that such private school system or association becomes
defunct, it shall transfer all the permanent information contained in
its files to the district school superintendent of the public school
district in which the private school was located. (c) All private
schools that become defunct shall notify the Department of
Education Office of Private Schools and Home Education Programs
of the date of transfer of student records, the location of storage,
the custodian of such records, and the number of records to be
stored. The department shall act as a clearinghouse and maintain a
registry of such transfers of student records. (d) It is not the
intent of the Legislature to limit or restrict the use or possession of
any student records while a school is operational, but to facilitate
access to academic records by former students seeking to continue
their education or training after a private school has become
defunct.
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1. !pending Legislation
2. No applicable cases found.
Xl. S 1003.23(2). Attendance records and reports - (2) All officials,
teachers, and other employees in public, parochial, religious,
denominational, and private K-12 schools, including private tutors,
shall keep all records and shall prepare and submit promptly all
reports that may be required by law and by rules of the State
Board of Education and district school boards. Such records shall
include a register of enrollment and attendance and all persons
described above shall make these reports therefrom as may be
required by the State Board of Education. The enrollment register
shall show the absence or attendance of each student enrolled for
each school day of the year in a manner prescribed by the State
Board of Education. The register shall be open for the inspection by
the designated school representative or the district school
superintendent of the district in which the school is located.
Violation of the provisions of this section shall be a misdemeanor
of the second degree, punishable as provided by law. This section
shall not apply to home education programs provided in 2:.
1002.41.
1. No applicable cases found.
xii. S 1003.25. Procedures for maintenance and transfer of student
records - (1) Each principal shall maintain a permanent cumulative
record for each student enrolled in a public K-12 school. Such
record shall be maintained in the form, and contain all data,
prescribed by rule by the State Board of Education. The cumulative
record is confidential and exempt from the provisions of 2:.
119.07(1) and is open to inspection only as provided in chapter
1002. (2) The procedure for transferring and maintaining records
of students who transfer from school to school shall be prescribed
by rules of the State Board of Education. (3) Procedures relating
to the acceptance of transfer work and credit for students shall be
prescribed by rule by the State Board of Education.
1. A county board of public instruction has no authority to
direct schools under its jurisdiction to withhold transfer of a
student's records for failure to pay for lost, destroyed, or
damaged text books, library books and other school
material, or until all duly prescribed laboratory, workbook
and other fees are paid. Op.Atty.Gen., 066-5, Jan. 19,
1966.
2. Notwithstanding the provisions of 9 233.47, providing for
the liability of parents and/or guardians for school books of
their children, a county school board of public instruction is
without authority to establish any rule, policy or regulation
under which payment of charges or fees for the return of
books or other school material is a prerequisite to the
transfer of a student's academic records. Op.Atty.Gen.,
066-5, Jan. 19, 1966.
3. A private or non- public school may legally refuse to transfer
a student's records for failure to pay for lost or destroyed
text books, library books and other school material, or until
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all duly prescribed laboratory, workbook and other fees are
paid. Op.Atty.Gen., 066-5, Jan. 19, 1966.
Xlll. ~ 1003.53(5). Dropout prevention and academic intervention - (5)
Each district school board providing a dropout prevention and
academic intervention program pursuant to this section shall
maintain for each participating student records documenting the
student's eligibility, the length of participation, the type of program
to which the student was assigned or the type of academic
intervention services provided, and an evaluation of the student's
academic and behavioral performance while in the program. The
school principal or his or her designee shall, prior to placement in a
dropout prevention and academic intervention program or the
provision of an academic service, provide written notice of
placement or services by certified mail, return receipt requested,
to the student's parent. The parent of the student shall sign an
acknowledgment of the notic e of placement or service and return
the signed acknowledgment to the principal within 3 days after
receipt of the notice. The parents of a student assigned to such a
dropout prevention and academic intervention program shall be
notified in writing and ent itled to an administrative review of any
action by school personnel relating to such placement pursuant to
the provisions of chapter 120.
]. No applicable cases found.
xiv. ~] 004.30. University health services support organization;
confidentiality of information - (1) All meetings of a governing
board of a university health services support organization and all
university health services support organization records shall be
open and available to the public in accordance with s. 286.011 and
s. 24(b)' Art. I of the State Constitution and chapter 119 and ~
24(a). Art. I of the State Constitution, respectively, unless made
confidential or exempt by law. Records required by the Department
of Financial Services or the Office of Insurance Regulation of the
Financial Services Commission to discharge their duties shall be
made available to the department upon request.
]. No applicable cases found.
xv. ~ 1005.36. Institutional closings - (1) The Legislature intends to
protect students and the independent sector of postsecondary
education from the detriment caused by licensed institutions that
cease operation without providing for the proper completion of
student training or for the appropriate refund of student fees. To
serve this intention, the Commission for Independent Education
may prevent the operation in this state of a licensed independent
postsecondary educational institution by an owner who has
unlawfully closed another institution and the commission may
exercise control over student records upon closure of a licensed
institution if the institution does not provide an orderly closure.
1. No applicable cases found,
xvi. Duties of district school board, district school superintendent; and
school principal regarding K-12 instructional materials - (2)
District school superintendent - (a) The district school
superintendent has the duty to recommend such plans for
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improving, providing, distributing, accounting for, and caring for
textbooks and other instructional aids as will result in general
improvement of the district school system, as prescribed in this
part, in accordance with adopted district school board rules
prescribing the duties and responsibilities of the district school
superintendent regarding the requisition, purchase, receipt,
storage, distribution, use, conservation, records, and reports of,
and management practices and property accountability concerning,
instructional materials, and providing for an evaluation of any
instructional materials to be requisitioned that have not been used
previously in the district's schools. The district school
superintendent must keep adequate records and accounts for all
financial transactions for funds collected pursuant to subsection
(3), as a component of the educational service delivery scope in a
school district best financial management practices review under ~
1008.35. 1006.28(2)(a) F.S.
1. No applicable cases found.
XVll. S 1006.31 (2). Duties of each state instructional materials
committee - (2) Organization.--To elect a chair and vice chair for
each adoption. An employee of the department shall serve as
secretary to the committee and keep an accurate record of its
proceedings. All records of committee motions and votes, and
summaries of committee debate shall be incorporated into a
publishable document and shall be available for public inspection
and duplication.
1. No applicable cases found.
xviii. S 1006.52. Student records - (1) Each university may prescribe the
content and custody of records and reports which the university
may maintain on its students. Such records are confidential and
exempt from the provisions of s. 119.07(1) and are open to
inspection only as provided in s. 1002.22. (2) Rules of the State
Board of Education may prescribe the content and custody of
records and reports which a community college may maintain on
its students. Such records are confidential and exempt from ~
119.07(1) and are open to inspection only as provided in ~
1002.22.
1. No applicable cases found.
xix. 91010.01. Uniform records and accounts- (1) The financial records and
accounts of each school district, community college, university,
and other institution or agency under the supervision of the State
Board of Education shall be prepared and maintained as prescribed
by law and rules of the State Board of Education. (2) Rules of the
State Board of Education shall incorporate the requirements of law
and the appropriate requirements of the Governmental Accounting
Standards Board (GASB) for State and Local Government. (3)
Required financial accounts and reports shall include provisions
that are unique to each of the following: K-12 school districts,
community colleges, and state universities, and shall provide for
the data to be reported to the National Center of Educational
Statistics and other governmental and professional educational
data information services as appropriate.
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1. No applicable cases found.
xx. S 1012.91. Universities Personnel records - (1) Each university
board of trustees shall adopt rules prescribing the content and
custody of limited-access records that the university may maintain
on its employees. 5uch limited-access records are confidential and
exempt from the provisions of s. 119.07(1). 5uch records are
limited to the following: (a) Records containing information
reflecting academic evaluations of employee performance shall be
open to inspection only by the employee and by officials of the
university responsible for supervision of the employee.
1. There is more to this statute that you may want to look at
- not sure...
2. No applicable records found.
k. Rules of Judicial Administration
1. Fla. R. Jud. Admin., Rule 2.075
Rule 2.0 75. Retention of Court Records
1. Friedman v. Dade County, 762 5o.2d 587, 587+, 25 Fla.
L. Weekly D1710, D1710+ (Fla.App. 3 Dist. Jul 19,
2000) Obligation of official court reporters to store court
reporting notes in felony cases for ten years shifted to
county when Office of the Official Court Reporter was
abolished.
2. In re Report of 5upreme Court Workgroup on Public
Records, 825 5o.2d 889, 890+, 27 Fla. L. Weekly 5193,
5763+, 27 Fla. L. Weekly 5248+, 27 Fla. L. Weekly
5763+ (Fla. Mar 07, 2002)
n. Fla. R. Jud. Admin., Rule 2.076
Rule 2,076. Retention of Judicial Branch Administrative Records
No applicable cases found.
M
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Article - Legitimate Exclusion of E-mail & Phone Records
lilt's Personal" - The Legitimate Exclusion of E-mail and Phone Records
from Disclosure Under the Public Records Law
by Eric E. Hartwell, Assistant ~eneral Counsel
.
Ask ten municipal officials if all the material on their office computers are public records
and one may get ten different answers. For the most part, many officials tend to err on
the side of caution, concluding each item is a public record. This response is indicative
of lingering misconception among many that virtually all information in city hall somehow
represents a record that must be offered up for inspection under the public records law.
A good example of the overbroad approach to record disclosure was revealed the other
day when a city attorney called to advise that his manager decided to throw open the
doors of a vacationing employee's office to satisfy a request for "records" on a given
matter. The city attorney and I both cringed at the thought of giving full access to a city
official's personal office space, effectively authorizing a fishing expedition through the
official's office. However, this incident underscores the need for clarification about
personal records that need not be made available for inspection versus public records
that do fall within the sweep of the public records law. An interesting area in which these
personal records arise includes e-mail and cellular telephone records. This article
focuses primarily upon the records contained in or generated by electronic media such as
personal computers and devices such as cellular phones.
In two recent opinions, Florida courts have clearly articulated a range of privacy for the
personal material of public employees and officials contained or generated by devices
such as computers and cellular telephones. Not surprisingly, the opinions do not express
any bright-line test for defining a public official's personal record privacy. But the
opinions clearly support the idea that there can be private personal records in the public
workplace that are not subject to review requests made under Florida's public records
law.
The Public Records Law
Article I, Section 24 of the Florida Constitution provides that "every person has the right to
inspect or copy any public record made or received in connection with the official
business of any pubic body, officer, or employee of the state. . ." Fla. Const, Art. I, ~24.
From this starting point, the legislature crafted the statutory provisions of the public
records law found in Chapter 119 of the Florida Statutes.
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The urge to throw open the doors to city hall stems from Chapter 119 and its mandate
that "every person who has custody of a public record shall permit the record to be
inspected or examined by any person desiring to do SO. .." SI19.07(1)(a), Fla. Stat.
(2003). Of course, the public records law holds that a municipality is an "agency." See
SI19.011(2), Fla. Stat. (2003). And, as an agency, a municipality's public records are
defined to include the following:
all documents, papers, 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."
SI19.011(1), Fla. Stat. (2003). The breadth of this definition is limited by the
critical phrase "made or received. . . in connection with the transaction of official
business . . ." Id That phrase establishes the cornerstone of what may be
considered "public records" under Chapter 119, and correlatively, what may be
excluded from the definition of public records.
.
Over the years, Florida's courts have attempted to define and refine the reach of
required record disclosure under Chapter 119. In Shevin, v. Byron, Harless,
Schaffer, Reid & Assocs., Inc. 379 So. 2d 633 (Fla. 1980), the Florida Supreme
Court reversed a lower district court of appeal that "in effect said that section
119.011 (1) applies to almost everything generated or received by a public
agency." Id at 640. The supreme court specifically stated that "the district
court's interpretation of section 119.011(1) [wa]s too broad." Id In reversing
the lower court the supreme court construed the statutory definition of public
records to include "any material prepared in connection with official agency
business which is intended to perpetuate, communicate, or formalize knowledge
of some type." Id (emphasis added). The court rejected the idea that any material
made in connection with official business, however tenuous the connection,
represented a public record. Instead, the court's language suggests a public record
inquiry must focus upon whether the material at issue has crystallized into what
may be referred to as the final form of some knowledge that materially underpins
an issue, item or area of public business. The court specifically explained that
public records are to be contrasted with "drafts or notes, which constitute mere
precursors of governmental 'records' and are not, in themselves, intended as final
evidence of the knowledge to be recorded." Id (emphasis added).
One way to understand the distinction between records intended to perpetuate,
communicate, or formalize knowledge (public records) and incidental information
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or precursors to formalized knowledge (personal/private records) may be found in
the Florida Department of State's own publication "Electronic Records and
Records Management Practices - February 1996" or ERRMP. Within that
publication is a section dealing with e-mail records management and retention
that distinguishes between e-mail that may be considered public records and those
it refers to as "transitory and personal messages." ERRMP, Page 13. The
definition of transitory and personal messages seems to convey the essence of
what the supreme court meant by the phrase "intended to perpetuate,
communicate, or formalize knowledge" in its Shevin opinion. Transitory
messages are described as "records that are created primarily for the informal
communication. . . [and] 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. . ." EERMP, Page
13. While this state publication would have no precedential value in a public
records legal dispute, it offers additional understanding of the public/private
distinction crafted by the supreme court in Shevin. And while the distinction set
forth by the court in Shevin may seem too nne to discern in some instances, it
clearly established the foundation upon which recent courts have concluded that
certain records generated or held by government employees on government
devices may be deemed personal records, off-limits to a Chapter 119 public
records inquiry.
What the Cases Tell Us
The first case was Media General Operation, Inc. v. Tom Feeney, 849 So. 2d 3
(Fla. 1st DCA 2003). The basic facts involved the publisher of two major central
Florida newspapers who requested copies of the cellular phone billing records of
five staff employees of the Florida House of Representatives. The records request
was first served upon the House. However, the Republican Party of Florida paid
for and kept the phone records, not the House of Representatives. The request was
ultimately served upon the Republican Party, which voluntarily offered redacted
versions the billing records, excluding those items it deemed to be personal phone
calls unconnected to House business. Although the issue of whether the
Republican Party of Florida was a governmental agency or acting on behalf of a
governmental agency was not before the court, the court assumed the request was
appropriate since the Republican Party voluntarily offered the records. The only
issue before the court then was whether the cell phone billing records were public
records under Chapter 1 ] 9.
In its analysis, the court quickly concluded "the 'private' or 'personal' phone calls
by these five individuals were not created or received in connection with the
official business of the House. Therefore, we agree with the trial court that the
.
@ Florida League of Cities, Inc.
All rights reserved.
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Winter Springs, Florida
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.
personal phone calls fall outside the current definition of public records and were
properly redacted." Id at 6.
Clearly, this case supports the idea that a city's phone records may be redacted to
exclude personal phone calls if the phone calls relate to private or personal
matters. Obviously, cities would not want to encourage abusive use of city
resources for personal business, but the result of the Media General opinion
seems to declare that where occasional personal phone use and corresponding
records exist, they do not come within the ambit of required disclosure under
Chapter 119. However, this point must be taken with caution because there may
be other ways in which the same personal records may become subject to Chapter
119.
.
For instance, consider if a city auditor was designated to monitor phone use and
routinely collected and reviewed copies of all phone records of city officials and
employees to assure that excessive personal use (i.e. excessive personal use of a
city- issued cell phone) was not occurring. In that instance, the records request
served upon the custodian of the auditor's records would have to be honored as
falling within the scope of Chapter 119. The auditor's review of each call
contained in the cell phone record would fall within the scope of fulfilling her job
duties and such duties would arguably represent official city business.
Accordingly, the public would have a right of access under Chapter 119.
Therefore, it is critical to remember that the specific factual circumstances of a
given court case such as the Media General case must be carefully considered
when determining whether a city's policy remains consistent with the prevailing
law or if a policy of non-disclosure may be a violation of Chapter 119.
Another opinion that found computer records outside the scope of Chapter 119's
definition of public records was issued by the Florida Supreme Court in State of
Florida v. City of Clearwater. 863 So. 2d 149 (Fla. 2003). In that case, a
newspaper publishing company sought copies of all f>-mails either sent from or
received by two city employees over the city's computer network. The city's f>-
mail records policy called for the emplo)ees to review their e- mails and sort them
into two categories: personal and public. The city then copied the public e-mails
and provided them to the newspaper. Dissatisfied with the city's segregation of
public and private records, the newspaper filed an action seeking an order
compelling the city to release the purportedly private e-mails. The newspaper
argued principally that it was entitled to all the e- mails generated by and stored on
the city's computers, regardless of their content or intended purpose. See id at
151. Ultimately both the trial court and district court of appeals rejected the
newspaper's argument, concluding "'private' or 'personal' e-mails fall outside the
current definition of public records because they are neither 'made or received
pursuant to law or ordinance' nor 'created or received in connection with official
business' of the City or 'in connection with the transaction of official business' by
.
@ Florida League of Cities, Inc.
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Winter Springs, Florida
Records Management Plan
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the City.''' Id. at 151, citing Times Publishing Co. v. City of Clearwater, 830 So.
2d 844, 847 (Fla. 2nd DCA 2002). Determined to obtain the personal records of
Clearwater's employees, the newspaper appealed the matter to the supreme court.
The issue framed and answered by the supreme court was whether all e- mails
transmitted or received by public employees of a government agency are public
records pursuant to gI19.01(1) of the Florida Statutes and article I, g24(a) of the
Florida Constitution by virtue of their placement on a government-owned
computer system. The court's answer to this question was a clear "No."
.
In its analysis, one of the court's first points was that public records are those
"that are in some way connected to 'official business.''' Clearwater, 863 So. 2d
at 152. The court further explained that beyond their digital character, personal e-
mails differ little "from personal letters delivered to government workers via a
government post office box and stored in a government-owned desk." Id. at 153
(citation omitted). Adding another leg to support its conclusion tlRt personal e-
mails fall outside the public records definition, the court showed its own concern
for protecting the personal or private character of ~mail within the judicial
branch. The court compared the privacy of the city employees' personal e-mails
to the personal e-mails of judges and others within the judicial branch, which the
court had already decided were "clearly not official business and. . . consequently
not required to be recorded as public record." In re Amendments to Rule of
Judicial Administration 2.051-Public Access to Judicial Records, 651 So. 2d
1185 (Fla. 1995). Though that decision was rendered in the context of construing
the court-created rules governing public access to records of the judicial branch,
the court recognized the virtually identical definition of public records in both
Chapter 119 and the Rules of Judicial Administration. In effect, the court
reasoned that if there could be personal e-mail records on court computers that
fell outside the scope of judicial business, there could be personal e-mail records
on city-owned computers that clearly fell outside the scope of city government
business. See Clearwater, 863 So. 2d at ] 53. Finally, the court reached back to
the language it used in the 23 year-old Shevin opinion, stating that the
newspaper's "argument that the placement of e-mails on the City's computer
network automatically makes them public records is contrary to . . . [the] decision
in Shevin." Id. at 154. It concluded that mere placement of e-mail on the
computer network cannot establish a public record, but "e-mails must have been
prepared 'in connection with official agency business' and be 'intended to
perpetuate, communicate, or formalize knowledge of some type.'" Id. citing
Shevin, 379 So. 2d at 640. Here again, one sees the suggestion that some intent to
create a record in connection with official business is essential to information
being deemed a public record. .
What the Cases Don't Tell Us
.
@ Florida League of Cities, Inc.
All rights reserved.
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&::.i!.!Il rlnaltl.\...r..\UltnrC:1TD~~'.s-
Winter Springs, Florida
Records Management Plan
.
It is important to know that the Media General and Clearwater cases generally support a
city's desire to prevent the unnecessary disclosure of personal/private electronic records
pursuant to Chapter 119. However, as already discussed, there are specific factors
involved in each case that simplified the courts' task of reaching their conclusions.
.
For instance, in the Clearwater decision, the court immediately re-framed the issue in
terms of whether "all" records contained on government computers fall within the
statutory definition of public records. Clearwater, 843 So. 2d at 150. The narrow scope
of this question simply begged for an easy "no" answer from the court. In its second
footnote to the case, the supreme court admitted that the question was posed in a very
narrow manner, and even hinted that a different outcome might have resulted if: (l) the
case involved e-mail that may have been isolated by a government employee charged
with detecting misuse of government computers (because as in the phone record auditor
example above, records in such instance would likely be deemed a public record); (2) the
case posed a question of how the public's interest in access to all e-mail records should
be weighed against a government employee's individual right to privacy (because, in
light of express legislative intent that all government records be open and the cases and
numerous Attorney General opinions surrounding Florida's "Government in the
Sunshine" policy, public policy would likely dictate that public access to a government
worker's computer would trump any privacy right of the government worker); and (3) the
case involved a dispute as to the actual nature of the "personal" e-mails segregated by the
employees themselves (because had the newspaper requested what is known as an "in-
camera" inspection of each individual e-mail by the court as to the public or private
nature of the e-mails.itis possible many of the private e- mails may have been
sufficiently tied to official business that they would have been deemed public records).
See id. at 151.
Another issue raised in the Clearwater decision involved the city's "'Computer
Resources Use Policy,' which stated that the city's computer resources are the property of
the city and the users have no expectation of privacy." 1d. at 154. The court discussed
the policy in the context of dismissing the apparent suggestion by the newspaper that
such policy somehow transformed material on the city's computer network into material
subject to disclosure under the public records law. In essence, the court found that,
notwiths tanding certain ownership or disclosure rights the city may have had under the
policy vis-a-vis the city employee, nothing in such policy could expand the scope of the
public records definition to reach what would still be considered personal e-mails under
Chapter 1 19.
The unspoken warning raised by the court here is that a city's e-mail or computer use
policy must be cautiously considered when deciding whether to comply with a request for
e-mail or other electronic material under Chapter 119. It is possible that, like the
example of the phone or e-mail record auditors whose jobs require gathering records for
review and thus rendering such records public records, the city's computer use policy
.
@ Florida League of Cities, Inc.
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Winter Springs, Florida
Records Management Plan
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could contain language that brings the electronic material into the realm of official city
business and thus a public record. For instance, if a city's computer use policy contained
something such as "all documents stored on an employee's computer or e-mails sent or
received by an employee's computer are city property and will be recorded and
stored... The city maintains the right to review and utilize such stored e- mails in
disciplinary matters or otherwise with regard to the particular employee." This type of
policy language suddenly renders those stored documents and e- mails part of the official
business of human resource management within the city's administrative structure.
Accordingly, anyone with knowledge of that policy could strongly argue that the stored
records constitute records of official city business; rot because of their actual content, but
because ofthe city's purposeful compilation and storage of such e-mails or documents in
the course of its business.
.
One positive result of these cases is the advice that may be gleaned for future handling of
records requests and policies governing electronic information. Obviously, the fact that
such attention has been brought to the potential exposure of personal material in a public
records dispute should cause city employees and officials to think twice before casually
committing every thought to e-mail. Likewise, it will cause cell-phone users to think
twice before making personal calls on a city- issued cell-phone where the records of such
calls may be subject, at the very least, to an in-camera inspection by the court if sought
by a determined requestor. Finally, it would be advisable to have a record request policy
that requires an employee or officer to automatically go through e-mail and segregate
those personal e-mail from the business-related e-mails as a normal course of action.
This step would not preclude a requestor from challenging the segregation of records and
seeking an in-camera court inspection of them, but it would eliminate haphazard
responses to e-mail record requests by cities and establish a routine policy for handling
such requests. More credibility would attach to the city's action if an established policy
existed instead of a sudden rush to review and eliminate messages on a sporadic or issue-
oriented basis.
In light of both the old an:! new case law regarding public records, it is clear that
everything is not a public record, subject to disclosure. There are definitely some records
in city hall that may be deemed personaVprivate records that need not be disclosed under
Chapter 119. It is the author's hope that cities can use this discussion as a springboard
for better grasping the breadth of the public records law, reviewing how your city has
handled electronic records requests and revising (or creating) e-mail and computer use
policies that support cities' interests. Better awareness in all these areas will help cities
minimize mistakes and missteps in their efforts to comply with the public records law in
the electronic age.
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 378
8/16/2004
TAB
"I"
~ r._ID.JI...",rnrC",u.,,,:,
Winter Springs, Florida
Records Management Plan
.
Appendix I - Hardware and Software Specifications
.
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 379
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~ f!tJ1<<ltl"J.I':.\alrnreITD"......,~
Winter Springs, Florida
Records Management Plan
.
Dell Server Specifications
Your current E-quote Number: E004412728 Detail
Total Price*: $13,199.23
.
1 PowerEdge 2600 Intel@ Xeon™ processor, 2.4GHz, 512K r--
Cache, 533MHz Front Side Bus. Windows Server 2003 $13,199.23 $13,199.23
Standard Edition with 5 Client Licenses
-, . .......... .....-.- -, '"}Wednesday, May 12, i004-1i34:4-9 P'M csr'----'---'-- ,- . - ..- ..---- .--
Date:
Catalog Number: 84 RC962167
PowerEdge 2600: Intel@ Xeon™ processor, 2.4GHz, 512K Cache, 533MHz Front
Side Bus
26245 - [221-2318]
IAdditional Processors: Intel@ Xeon™ Processor, 2.4GHz, 512K Cache, 533MHz Front
Side Bus
?P245 -[ 311-2641]
Memory: 2GB DDR SDRAM (4X512MB)
2GB4D - [311-2733]
Keyboard: Standard Windows Keyboard, Gray
'S - [310-1676]
Monitors: jNo Monitor Option
jN - [ 320-0058 ]
1st Hard Drive: 146GB 10K RPM Ultra 320 SCSI Hard Drive
,1461032 - [340-7968 ]
Primary Controller: PERC3,QC, 128MB, 1-INT,3-EXT CHANNELS
P3Q1281 - [340-2439]
Floppy: 3,5 in, 1.44MB, Floppy Drive
FD - [340-3640]
Operating System: Windows Server 2003 Standard Edition with 5 Client Licenses
W2K3SVR - [ 420-2965 ]
Mouse: Logitec Mouse,Gray
L - [310-3776]
Network Adapters: On-board Network Adapter
OBNIC - [ 430-0488 ]
rape Backup: PV110T, L TO-2 Tape Backup, 200/400GB, Full Height,
w/Controller, Internal
L T02CI - [ 340-8603 ]
CD-ROM: ?4X IDE CD-ROM
CD24X -[313-1281]
BackPlanes: 1X6 Hot-Pluggable Backplane,PE2600 .
1X6BKPL-[311~839]
Documentation: Electronic Documentation,P2600
EDOCS - [310-0438]
2nd Hard Drive: 146GB 10K RPM Ultra 320 SCSI Hard Drive
1461032 - [340-7968]
Tape Backup Software: ~BU SIW VERITAS BUE Server Suite
PSVENH - r 420-28331
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 380
8/16/2004
~I!u._,.
&::.i!.!Il f1lnam\ J...:\{'..!Ir..nr ClTr:rs..lst
Winter Springs, Florida
Records Management Plan
.
.
Factory Configurations: !Add-in Card RAID 5 for Backplane Drives/ RAID 1 for Media Bay
~rives
I · R5R 1 - [340-6481 ]
Chassis Style: Rapid Rails for Dell Rack, PE2600
RPDRAIL - [310-1721 ]
Hardware Support 3Yr Same Day 4Hr Response Parts + Onsite Labor (7 Days x 24
Services: Hours)
U3Y7X24 - [900-6350] [960-1305] [900-6362]
Installation Support No Installation
!Services: NOINSTL - [ 900-8997]
Power Supplies: Redundant Power Supply, without V-cord
REDPWNY - [310-4717]
2nd Network Adapter: Intel Pro 100S w/ IPSEC Network Adapter
IN100S - [430-0369]
14th Hard Drive: 146GB 10K RPM Ultra 320 SCSI Hard Drive
1461032 - [340-7968]
5th Hard Drive: 146GB 10K RPM Ultra 320 SCSI Hard Drive
1461032 - [ 340-7968 ]
6th Hard Drive: 146GB 10K RPM Ultra 320 SCSI Hard Drive
1461032 - [ 340-7968 ]
3rd Hard Drive: 146GB 10K RPM Ultra 320 SCSI Hard Drive
1461032 - [340-7968]
Media Bay Hard Drive 1X2 Media Bay for Rack Orientation,PE2600
Cage: CAGERK - [340-6416]
Media Bay 1 st Hard Drive: 73GB,U320,SCSI, 11N 15K, Removable
3RM5U3 - [340-8381 ]
Media Bay 2nd Hard Drive: 73GB,U320,SCSI,1IN 15K, Removable
3RM5U3 - [340-8381 ]
Total Price* $13,199.23
E-quote E004412728 Details
Saved By
Saved On
Michael J van Zwieten(mvanzwieten@flcities.com)
5/10/2004
6/24/2004
(407) 835-3471
Laserfiche Server for Winter Springs
Expires On
Phone Number
Description
Notes I Comments
Florida Contract Number
250-000-03-1
Purchasing Agent's Name
Notes I Comments
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 381
8/16/2004
.1'.11lI1D41.1,......f(lrC:IT'.,..'N<~
Winter Springs, Florida
Records Management Plan
.
Fujitsu 4120C & 4220C Color Duplex Workgroup Scanners
~3"
t\,')
<.Q
-.
~
<.Q
Speed one r<Jb,'Il:>J~y Wlltl10\lf ,;hl'IICIl al compact (1IIlnlll"e <Ies.<grn;
fi-4120C/fi-4220C
Color Duplex Workgroup Scanners
Fast, 25-ppm scanning in color, monochrome anel grayscale
.
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....un 5().pl>iIe ltllh'llnBllC document leeder; nalbl?:l
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.
@ Florida League of Cities, Inc.
All rights reserved.
Page 382
8/16/2004
i~'
...~ 1t41'IDIlID.tr......urnr<:tm"'~
Winter Springs, Florida
Records Management Plan
.
.
fi-4120C/fi-4220C
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@ Florida League of Cities, Inc.
All rights reserved.
Page 383
8/16/2004
;.tV'.. P,__Ir.""",,,.elTlu.,,,,,
Winter Springs, Florida
Records Management Plan
.
Fujitsu - 4340C Color Duplex Document Scanner
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fl-4340C
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tile department level.
.
. f' as( oo'ior ~.cllllning up It) 4A ;pm (\50 dp; oorlrllil)
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.
@ Florida League of Cities, Inc.
All rights reserved.
Page 384
8/16/2004
~I!W!,.
I::J.!.!IIl Pl.tMlln-\J:.r..\a1r_nr CITrt''''- I~
Winter Springs, Florida
Records Management Plan
.
fi-4340C
Color Duplex Document Scanner
.
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Page 389
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Winter Springs, Florida
Records Management Plan
Contex - E-Size Drawing Scanning Technology
The Conle" Chameleon 25. Scanner. Idclll for wide (annal document scllMing.
I Solulions I ScaIInfloIa I SOIIwatll I Contxt I SUl)I)OTI I AI Comox
Pa~1: 1 0(\
Go Local I
contex
. '~1~:1 I; "I
Ch.:Ime_ 'h ;U" CoI",
SCANNING TECHNOlOGY 'Wi<1o J:Qf""'1l SM.."""r~
CHAMt!.U!OH Tlc :to" 8<:lo""""
_ FonnldColor s.:.......",
. Prod"'" o..,M,,<<
S;ttOti~t;Jft';
PrlJi.t;Ux9 V~(J~
a~l.CO
t~r.:.c.:s'l 0\1<<...,"'....
Gel ~ J,a(~"'II'lGM""
.
--;;....;.;;;,;.,0"'" ~
ThO 00"10< CHAMELEON 'ra 311" "",,"1lOlS are CC=i."ed to g;."
p'ol~ ~ 5poll4 monoc:llfO'1l0sc.aMln{j will>
tNt aOidl'lo<>a; 0$)1i:)f1 01 ~ t;tj.(lI wanl'lng lrlr spocbl jo:uL
ThO """m....$ 311" ~ "'.." Io:snd:ell Co$izelAO a...;I"".y"'!l
=.~""'~. bIIle;:ri.l$.lIll;li~. clel:liled mllP', d",...in;1S
"""
""9" <Xlla """t....., WlII> tJ:grcy t>sl ""0 ell0c:W0 monotlYOme
~
_ U.. Qj>1i:)f1 h:l aGA" in porlOd COla1. "'Mo" IIl;hl, _l>ll.o
.,."'_ Oller 8 (lOi'-QIf$(llNO 601",00/\ l(lf~. AEC A<'od GIS
Jll'O'O$$i3"llI.~e.
~
'-''Ht'""
F4.nUf'Oc':
. F~ moroocl",,~ _,..... _ 8oddlllll>>W CI!~'liIllJe$,
. O,,~ cae" .l;lttIMII-
. (.a!I. trlonodY1)me ao:&nnittg wilh -Ct"'>1 <<.... O~nd"'~#
. 14 !Ill Qr.)......... copt"'" Iol' pcltllld mptO(lUtliDn 0' 91......'''"''....
. 4Z.oc c:dar ClJIl....... "', plloIl>of...t",tic: .i.i:l 0Cl.....,
. One TOIler> S<>>n "'"l~ l(lf _....~. AIld."'" b <lM;lil,
. 1lolMlnc::e<l im.3l1'" cr:h:onte<neTlt i.duel"" .t\:npermlJ, aultCtring. lAJ.. 2o..CllI,",,",. A,Ol. C091 end
""""'.
. 0lltrnl11 'Cll" end tAr,Jr mOll". celli!J""" ~0C4l1y rot _"._ Ili<1l &8 6(lp;&. b/Wl"lnl. ~
. A"'WMliI.om. prflClsitlo 1100""0 ~y5l4l", for" 4lTAI(llllotAII ""t" w.olhCIlA d.\$tor1ion.
. Bllll1~n P'lll:J::ioo Cclot .~illl Co:1Il..."tkm 101 ,t>:irle ...., 1lfCd~1>le ocrIC< <n:l:IUl.
. e..lbrllo:n '" bcilll "RGO "I'd NTSC ""'0' ~1lOCll$.
. :lC AlJtO-I.Ial~""noe sy&l$tl,I<lt' "'")' "'lO<Nl'" Glltllllf'il ~iilnmnnl, ..lIlQ\lng, b\Odu..."1lo pcwII scltlng
~~I:lfa~
. """,,,n.,,", Pel_ MAnl>gcmclll t)"'..llOm tOl' OCltimol WOfkiltg "'mroer:lll.lfe. ""i,,, .ec:uClio. "nd timer
aonllatled aulOtTl:ltic _.... ....Ioft.
. Slr,>pClTtI tl10 r""w... PlI.I\I "nd po",y (/>nPI In>;! SCSI ",lefl_ II>' l\aJjbi<! 8''''' Ptclt<l<r>-t<...
ocmooll.h)'.
. S(:l\If\ oo"'OF '0I~t\$1 oPt~,
. Scan tl:J~. Q1$04~ IhQ tn1ctnel.
hllp:"'''''''^'' .wnlcx.wml~nnert,lch(llllclconTx361
6/812004
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 398
8/16/2004
.1".<l<<m.....""".".e.Tml,'''''"
Winter Springs, Florida
Records Management Plan
.
"cw price leader Cbamc:leon Premier 36" seaIlncr for the CAD & GIS mlll'kc\.
PllgC lofl
contex
SCANNING TECHNOLOGY Contex Pross RQJIIl
~._'" 1bl1D. .:
t,": I"' "\ li'
press release
Contex introduces the new price leader Chameleon Premier 36"
scanner for tho CAD & GIS market.
Cont8ll &CIIl'Iftlng T.cmola;y. lho Iudlng manufadur.t 01 wiCt lonnat Blm & Whil."ann... ..wl
rela1.d aoItw..... ptoducJs hlll intIoclllC:e<l 4.... price Iodin; sa" IlIOI'lf:lCIlnl acanner. '"I'he
Ch"","on f'nImlot". The Cl\arrlol<lon Ptml$ar lncarporatn lho 1~1It Ima.tJlng llOChtl~ for high-
quality land ~d ~hIO",alk cunnln~
M'lfdl12, 2002 (~ Germallt).
For .".,..Ulft. R~..
Conlm:l: Herrik Vesterrl1lHll.
ConlcX Scmrmg T ednIoIor1Y
Eo<1l:liI: h~f,ll~<la1l1
.
~
The newCll8tr4ll\!(m P,emlet f'nplemenlll_l Ccnla.: palllMi.lllCNMll: 0fil1i0~ tiI10 rClid~ l>IJd
o:Illj:tNe - diflullion.lll,SlIlal:lng n O~~.':;:;WI techl'lOlOOIcat. \If{Il!lile ar<l 8if"ancoo l'I1O/l()clYolnO .1 Go . --, I
IIQr.n," qn 11\0 ""J~ loil"~ Cll'Ie.~..6411iuHIlec;n ~I$ to Iilllp_lS~ * Coniex ........
A.1:iC. CAD and GIS m,nkets.
Wilt. an """lda~ tila !me ri:rIllot1, !he Ch3melllOl'l Pi'en"", It CllG nn;t IllltIllr/lO$lO.~. tuPy
I<:~lurod 3G" ""0 """" aor.lil:ll:t<l o.~ l/Ie ftUlIkell<llleaa than S8OOo. Dll$lIOte lllll altoltla1lle ptIce.
ilia ~n Pmmi... <XlI'tI<:S IIhy w....-ee: wClIlln 8rnllZi'oll'~ c1pi cpllt.6l teao.\Jlion !In: ~ $;l(lfld ot
3'fAC.ln;Jlldcd in Ii>e fe_. tis! .1lI1111 fA eonteJlI u"que 12 blllm:lQe ~ri'o9 ptC~iIlg ~fiilS$ IOf
llQming poor qUlllil'f mgCl:. Al:o incIulh:d "'e. me p:llellled 2D edllpli.~ IIveshol4, I~. lOlle~.
l:ll.mng. onct tho new Gray AlSIlplive mnr.n3 mode. t:1ilt.ead of tlllPlyl~g enlll' dilfu6lOclard $erdif'Q 8 t~l
dlI:a $lRlom b 11\0 ptnb:lt IIt4lypc:ll rClllj))"Uon 0/300 dpi. \Ml nllWll<lncl Wtclata III 1200c:pllt601ulOn to
the r;riroIur.lI/1;lwire I."e pril\le< to retlin lI.....dt high<< p'illtq~oI "'" 8Clln.~~ ;"199f! as <lamJJflI1!d to il'le
l..oit _to~ '~"U:s Ht:mik Vmob:rmarl<. $:>!es & Matkefing Oit_ I... Natlh & So.,o(h AlnllOc:tI.
The Ch.:rm<llcol\ Prll1llil't utilm. ConlP', -' coecepI of 0:l6 T cut" SC8Ming, "One TollClh SC8tInl!lg
;oJo"", tile \l$Cf Ie =n to fllc tcr a.-.:nillmll p,upose... SC>n to copy tlr =n dtlid/1 to ItIe custolll/il'lS etllIlJ
s)'$1lJm ,",ill .. singic 1:lUz;h. Sl:>~ Bill MiWtcl. ConlDX Nlllional S:llrs M:3N19tf.
TMCiwnclaonfl,emitt _ ill r..-ot.av"'&;il b:!uV$fSKln wa 1lW6 vets;on. TIle b6SeVtlrslcols
upgr.uleDllla to the 1ll"".mIion U1llnll ConIex'llllf'lique Smat_ T~. "Woors really ..tiling abOl;l
tile".,.. Cha"""...... """""", l> It'''IO\lll''"~OI.m_ mAIIIl_OO. Wlll'lltlo...... Cha""lI<lon
Premier we ...... h1l"" Ihe:obiil)' 10 ~ .\JltII. aM C81it>'lllillJllj~ 8 ..~o c:tIOOtali01\ t~ ...min 5 mlnutoa.
IJI'd wilh<:ul user ~jQl\" .101M DIn B<ltVlel1. TOclWCiI Sl/;'IlOtI Mane~r 101 CcnlOx. Tho /lGW t.olly
o~ prCl:ll'.lS ullW!t IIlOICflZetJ c:ameru to emllre \;$tlS<ll lIIonmo." anll51i11lhln9,
Me""'f crot~OUgll to/tile &ClIMIlf i'OIJ~ la~o>!s t:n..lt-in..."....nt;ll(\ ~r IAllnD9cmcnt Sy:;lcm.
I'fli/:/l eNllltf<$ 8/\ O/lllllllih'(l(mg Illmp$TlllUle 1l0001~t1Illl:inQy tocl_ <::co lll)i&Q, Tile AOvanood ~tlr
MilllllQllmen1 Syslelllallo... tile Vlor 10 Ulive !he _nil' in ~ mode a"" i'"l9""" illO _ up
a_neat'l' befclfe My 811\.0 III wo1l.~.ng mOI>\lY ar41 ;or,l~ fXItlYetIlcnl:l).
De~",.inlllhe promba al.arnDool."~: et/l Chi>mett<lll P'MII<< <lamea ~1ete wil7lan ~JSW 5llil"dlIrO
1J/Ull and play, usa ...IOIUoe. Thi$ .a<.i$ne6 a ooi(le, .aliety 01 ~1' usera ""'<> I(e 600!IJno .&5oot Il$oIl >oIlh
r~b _e6.i1y. TIul Ch1lmeleoon Prernie< iUl>llIlOr1etJ 01> \'11",,0-,,'$ llS. MI:, 2000 8114 Xf'.
hup:l/wwv.'.contex.com/pres:sroom/relcllscSi'2002IPR_ 032002_ CHAJ\iPREM.htm
6/8/2004
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 399
8/16/2004
~ l"tlII'n.Lo'''.....nrefTlJ'''-''''',
Winter Springs, Florida
Records Management Plan
.
Premier Tx 36" monochrome wide rormatscl1llners
Page 1 of2
co ntex
SCANNING TECHNOLOGY
g)
WIDE FORMAT SCANNEI'lS
Ptamicr T. 3S" Monochrome ScAMOf'
~. -::_;:.~:'--..
.-
.~
MMCCllIOtIl8 wille IormaIICllMO!lI.
The CoII!iU PIt11li<< 1); 36'wld&-lcnrlat scannett: ll>"Cl ~
10 ll"~ ptC/~ the bOOlln lOtge I'Otmalll'.Qnoa.-omo
ollC:!lMitlQ. Th6 38" 'Wide lmaglng.rea NAlI10S llli'gO Eo$~AO
engil&e'OlO _.. llIClllleCllnI5kOlchla. lNlP$.
CloQin~ lift) e!9lall.
Tho f'rlll!lillt T\! 36' $Cllfltlllfll otle, IDpolcv<>t 1tn:1ge
_Illy 81 b:l,"1l)m.llMll IlritO$. mating IIRmI (he pcolflld ClCll:1~
~bn lilt CAl). AEC lIna GI$ pn;t~ ill ""9" en~ tmlJU bnIine~lI$$.
l'ea.III(..
.
. ~ Wpll fotmat ~ll $~Dlen alIctdable pr.oe.
. (;r1~c;:lII...b1~nd.wllib:l.
. '.l:ilgr3y1Or1l>cIl;llute fQ( perllld ,l!ll((ldJIltionOljlliy$"8Clell.
. AJ:or.m",.d itn:Jge ellhancemet\1llld.lCes ~ ,o1tllnlrQ. llIl1f. 2O-8Cla;:LIIO, AOI." (lQIIY;>rod m-.
. 0ptiU!!:Cll.1 llrtd t:D'I'If modes del>bNlG 'l*mClllI~ lOr OOQ,Imcnlli GU;tl;l$ $llPi;I.IllUl:p'illl, ale.
. AJl.WI.efl.DlNe loUt! t:DUlltor lilu$lTl1OllI for a ~1llght scan jlillh .......IIOUl ~
. 3C Ma!tIlenance .~m tor oaay ClImotll elill"/llCfll. $IiIcn;,g. ~d<Mnao pai'" teWng and Cll1il:t:a1l:ln.
. SCIIfllD PDFIO,,"alop:icm,
. SCIIlIO _rk. al50 a= Il'l(l ntomOl,
. Re~1l:l& OCll'IflIICl'M/:i - J<~W"o ""9 an:lPby;md SCSI.
6~1~",i_
P'emitt T. 36" IllQnQth_ $c""n",, IAOll<Il eASE ~US
""".imum RosolUlHln: (ill dpl} 000 ~
Opllcal ReaolllllOll: (!,,(lpil 400 400
Sean ACQlracy: 0.1%..... I pire! X X
VarI.". R..oIvl.ion -ntr. \rom 50 dpl in one CI:lI ""","",ms 1\ x
Scan Speed: <4Olklp;Tuftlo. 24 bit ROB .cana .
SCln $Pfilt, .cOOclpl TU11Io, flll1lndu color san. -
Sc.an Speed: <4Olklp; TLiftlo. BIW 4call4 4.0'1. !.O'IG
Modi", ~'mlrrl Wkfth: 4:l'.,092lm1.1 X II
,...dla MI.'m,,", 'flllct.....: 0,4'1 l!lomm J( X
Sean Wkfth: 361ncn.s (91. nun X X
Oigllllllm.1lgo PnM:llSli"!l:
0.... 20~ Enmncem...., J( J(
DJei 2\)~olkiG erlll X X
A.OL' Efl'Of DIIlUSI:ln HSl.'lCtlIM X J(
2O.S,'1:If'PmIOQ'2().ScIle<\itm'2fJ.Blu, Filet X )(
2'i>-A:I- TtvlJ$hQI""'" X X
Sc:an UoCo.:
a ll\l ""'\=0 ma<lo ...it" 2Slll:r:J't 1tMl1. X I )(
,
hltp:N~;ww..conlc:x.comlscannertlprem.ietT x36JprelllierTx36prinl.hlnl
618,'2004
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 400
8/16/2004
A f'._,"'I....M:<...nrClTl7"'."r.
.
I'rcmier Tx 36~ lnoltOChrome wide fomlal scnnncl'S
Cal>'l rnod<os ....,'!l> QlD\/1lh1l<l~ I /( I )(
8,W 0UlI' 2D-AC3P1Nc 11'0<:0 X I )(
1 tiJ l:tm:lw>_f1~e )( I )(
:Ie AlaO-MDlI1tlll\llnC4 S~lem:
AuID~QMl(lnllo II ftlldion CIl " t'JJobI )( )(
AulO-6l4t!'llMIO a t~llOft 01 a oixel X X
lla.ic C:d'b<lslim X X
Auto ~llOfloo !Ill(! COf19Ction stl(;.'Il~. olael;-"lld_ho """'I' JC X
s.~:
OOu!:loPl OOl!I(ll'll(llltBWCCO$ x X
lS.000 _. RGB tritlel!ll JC X
1t tlilS or Qfa'flIOOQ claw ~ X X
All.Dqu$Q1Il=. X X
One r....eh Stann_ Isean, eoov. em'lI : JC X
"""""cad P_ Man.llJllmDIII:
Te'Ulet'811l1'9 Ccnl/(ll X X
Loov _l.Iodc ;II X
Proiltammaele 0Cl_ UO 1lIntf X X
"''''WhWodnv&: Clfteition ro;",. 6. alliIOJt lltJiL~I/!'Itf\t X X
Uclll1 SDUfi:G: Cdo, ma:CM(l I\)oro~ liImllll OU.g5 X X
ODl~s: Tar,ion Slablit"" f\:l( IY.lfltll:llllv X X
1000.tf.....:
'"lOW." X X
UIlJ1)tl;: SCSI ;II X
:a nili' lt1tllI1llQl) ...0 WIA INrdllWS Image ~1iIln) X X
DimtllslOns:
~!1'...;:o s 7.3'hiah. 18-3"dee'Jl 11342. 1SS II 4e&Ml.l 57l<l:l X X
Po....,: Ho.'22tV24W. G1lIbOu 1llOW X X
InletTllu bOllnlllMludGd : X X
WiJ)&ySIV<n Kil (i<lduct.ol;
Ct;.,w.SC"61t Clifrll4Pj>.. r,wnl__llollw-.'O. ~l:Intcn:moo X X
"le1!1
CO... &on...."' '001_1: JET,"~ NE.T X X
. Sc;a" .DfI,...~ oollon.l: W10Eml"'" NET X )(
Floor$l"nd 1000iemol : IlldUl'les tlOCI.lMel\'l bas~el X X
Thkk Media SUODott Tllbllt Collen,,1 : Fl1>or ""'I'd mauired X X
1<<011 PlalrOIl'M:
VM:l0W9 93. 9SSE ME. :IJlOO. XP wrtft SCSI )( I )(
V.'!n1ows ME. roOO. XP w?JI .neW1'lI )( I X
Power MllC'nlO$!> X I )(
Winter Springs, Florida
Records Management Plan
Imp:l/wv,'W .COnlcx.comlscanncl-slpranierTx36ipl'CntierTx36prirtl-hlm
.
@ Florida League of Cities, Inc.
All rights reserved.
Page 401
Pllge 2 0(2
6(8/2004
8/16/2004
I.ft~4iJI. rl.O'lJn,Lr.";mo..r(:n"",,,,~
Winter Springs, Florida
Records Management Plan
.
Digital Image Sizes for Storage Requirements
Digital Image Sizes
Computer storage requirements fnr various digitized document types IEnimates "" n..md'" and adj""'" fo, """ of"",,) (Page I of 6)
Scanned Letter Size Pages (All images "" swmod I bit "...p;,"~ blacl< 8< whit.. 0Dd~, unl...o""';" ootod.)
I .canned page (8 1/2 by II inches, A4) = SO KiloBytes (KByte) (on average, black & white, ccrn G4 compl'eSsed)
IliIe cabinet (4 dmwer) (JO,OOO pages on average) = 500 MegaBytes (MByte) = 1 CD (Compact Disc) (ROM or WORM)
2 file cabinets = 10 cubie feet (ct)= 1,000 MegaBytes = I GigaByte (GByte); 10 liIe cabinets = I DVD-R (WORM) (see below)
2.000 filc cabinets = 1.000 GigaBytes = I TeraByte (TByte); 2.000 file cabinets = 200 DVDs
I box (in inches: 15 112 long x 12 wide x 10 deep) (400 x 300 x 250 mm) (2.500 pages) a I file dmwer= 125 MegaBytes
I box (packed) = 2 linear fee' (500 mm) of files (loose enough for active filing) a 25 (rounded) linear inches = 125 MegaBytes
I linear inch (-20 mm) = 100 pages = 5 MegaBytes; I thousand linear inches = 100 thousand pages = 5 GigaBytes
I cubic 1'00' (et) (-.025 cubic meter) = 2000 pages = 100 MegaBytes; 10 cubic feel (-.25 cubic meters) = 20 thousand pages = I GigaBytes
8 boxes = 16 linear feet = 2 file cabinets = I GigaByte; 8.000 boxes a 16.000 linear feel = 1,000 GigaBytes = I TeraByte
For paper and microform dOCUJllCll! imaging. see also AJIM (Associarioo for Infonn&tioo and Image Management) [hnp:/Iwww.AJlM.org]
For records IlDd infonuticn mIlJl88mImt, see also ARMA (Association (lrRcc:crd5 Managcn and Admini5rmOI"!l) [httpJ/www.ARMA.orgJ
Scanned Engineering Drawings I Large Format Documents
I E size dmwing (48 inehes by 36 inches) (AO size) = 16 letter size pages (8 1/2 by II inches, metric A4) a 800 KiloBytes To place an E
size drawing in a file folder in 8 file cabinet drawer, the drawing must be folded in half 4 times and is then 16 sheets arpaper thick when folded.
NB: Scanning must accommodate the older, untrimmed, US paper sizes. because it is the older drawings that are digitized by scanning,
.
Metric Trimmed Paper Sizes
United States Paper Sizes
us New Slu Old Size Equivalent
::\'Ime (Trimmed) (Untrimmed) l...ctkr Siu
In Inche!! in Incbes Pagn
Storage
Metric Metric Size in Siu in Inehe! Number or Nnmber or
Name MilIimders Squa~ A4 Size
Mecen Pages
A8 l2x 74 2,07 x 2,91 1/2l6 1/16
A7 74xIOl 2,91x4,13 1/128 1/8
A6 IOlxl48 4,13 x l,83 1/64 1/4
Al 148x 210 l,8lx 8.27 1/32 1/2
A4 210 x 297 8,27x 11.69 1/16 1
A3 297x 420 11.69 x 16,54 1/8 2
A2 420xl94 16.l4x23,39 1/4 4
AI 194x841 23,39x33,11 1/2 8
AO 841 x 1189 33,11 x 46,81 I 16
2A0 1189 x 1682 46,81 x 66.22 2 32
Paper sial R:l'amccs: MJL-M986J.O, Mierofilmin& of ~ Documau. 3SMM. F 28 x 40 varies
~n:: ~o.~70,,~ ~~ ~~2-~~ ~~~I;.~= 0 11 x (22 1/2 to 90) varies
reprocIuClion syaan. U AupsI, 1966; A.'1SI V 14.1, 19so. Dnwms Sbcct 5Ia mil fomlllt, H 28 x (44 to 143) varies
plbIbhcd by ASME (Americ:aa Sockt) or ManufaaurhJa Enpnem), New Vort; MClne J 34 x (55 to 176) varies Sizes G, H, J, and K
=)~~:;'~~:'~=~~.7=J=:=:'~ K 40x{55 to 143) varies are US roll siz.es
Newspapers: A double \ruck (..nler fold) full broadsheet is 24 in x 36 in, equivaJenllO an old D size drawing in size. Because. neWspaper page would be
scanned et a higher resolution and contains detailed graphics, a double truck would require about 1 MegaByte and. single full broadsheet page (18 by 24
inches) would require about 1/2 MegaByte:, See also NAA (NewspapCl'" Association of Amcricn) Chttp://www.NM.org]
lxl
Digitlllmlgr:
Storage
Requirtmenll
5 KiloBytes
10 KiloBytes
Business Can!
3d
Microfiche
lxK
A
B
C
D
E
lx8
81/2x II
II x 17
17 x22
22x 34
34x 44
9x 12
12 x 18
18 x24
24x36
36x48
I
2
4
8
16
25 KiloB es
50 KiloB es
100 KiloBytes
200 KiloBytes
400 KiloBytes
800 KiloBytes
1.6 MegaBytES
600 KiloBytes
Scanned Microforms
I roll or 16 mm microfilm (100 ft. -30 meters) (24X reduction) - 2.500 letter size images"" I box at I file cubinet drawer"" 125 MegaBytes
J rol1 or35 nun microfilm (100 ft) (12X reduction. open spacing. normaJ SCIl1l)'" 1,000 Imer size images - 50 MeGaBytes
1 microfiche (105 mm film) (24X reduction) = 100 letter size images- 5 MegaBytes (avcrage): 200 microfiche - 20,000 images - I GigaBytc
In !!WI)' rtcord terics. each mietofiche coataillS only .. few images beCI.U$1Il each fiche repruents .. I. record in the series (e.ll. one fiche per penon in .. pcnotmd ~d laic.). In lbiJ
cue filmina bnab tlIl rcoonh. rather lhan being contiJ'luous. To a ~Kf etttnt mIl is 1110 true for roll film. In thelt ~... die amount of norage required depePCIs on the I1lm1ber of images
on the (lIm, nOlthenumbaafmicrofdle ortbeoumbc1orrolllorfitm. A tull,Jt&ndard24Xmicrofldle has 7 roWI of 14lmerlizc (8112 x II or A4) imaaes (ara tolal 0(98 images.
As with any microform. scanned aperture card imnges require the SIl1JlC storage as images scenned from the paper original of the document in the aperture.
comprt:lSion) docl no( change the document. That is.. rMll of eomprcaioa. II is oftm u.aul to ovaJu..lc lhe Co.Il anings
decompre$SCd document il idc11ticaJ to the original rllIVNinf III ct. b aJnWncn bnrc. The ccm (Comia! COlllUUtl"
documelU before compression was done. l.o$$Ieu =-&nd~~T~ft~~~(~~~
comprt5S.ion is often needed to meet 1eg:a1 n:KjuircmenLs rru ~ T~ Urion) ["lztpl^"-.rru.n]J
for doeumem SlotlgC. The most common fonn of one bit The 04 InJ ~tiorl T.6 (11181), flcUmilc c:odina
(per pi_d), biton&! (11le tWO tOllCS or color Mt lW1) dladea of grq' Jt:bcmc:t I1Id wdin8 WII1roJ ftlllCtionl for Or~ 4 f"aairolli=
atUctlarebldU1d wbile.~ kI.$slcsa;~ uaod inTIfFQ4 apparetul, is onpagea 41-S7 oftbc CClTT BILle Dook, VoIumevtl
and Adobe 'OF (,enable I>oa.JrncnI FormIZ). is lhe ccm 04 . Fucidcl VII,]. TmniJlll Equipmeoll tneI Protocolsll:Jr Tdcnwic
tGroup 4) r~milc ~ ronnel. RlIIb,.. uam, &II)' otlw Sc:rviccs. Rcam:mtndl.lions T.O. T.lll, ISOt'< 9'2-61.(1lCiII-2
Compression
All documents are stored and transmitted in
compressed fonnat. All compression fonnalS arc
assumed 10 be lossless or uscd with 8 losslcss
leoioB. except MPEG (Movin; Picture E1;pert1 QI"OUp),
unk$s olberwise stated. Lotsless C'K nou-destructive
cnmpreuion (as. opposed to los.sy or de5truclive
-- -----
~~!IIP \~,\\\.~\I.:~\..'I\lIild\...I:-iL'\tlllli.ll'llhll...'Jdail' -, (~IO)9':;7-7001l "I~I'!,lt.\,
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, , J' ,
. l',_m,"',,,,,R'l1rCIT...",""'_
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Winter Springs, Florida
Records Management Plan
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Appendix J - Glossary of Terms
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Records Management Plan
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ADF ~utomatic Document Feeder) - This is the means by which a scanner feeds the paper
document.
Annotations - Additions to a document displayed on the viewer (i.e., sticky notes, red underlines,
highlighted text, redaction, or other electronic tools) designed to draw attention to information that
is of particular importance or interest. Also see Redaction. Annotations should be overlaid and
not change the original document.
AIIM (Association for Image and Information Management) - The Trade association and
professional society for the document imaging/management markets.
ARMA (Association of Records Managers and Administrators, Inc.) - The trade association
and processional society for the records and information management profession.
ASCII (American Standard Computer Information Interchange) - Used to define computer text
that was built on a set of 255 alphanumeric and control characters. ASCII has been a standard,
non-proprietary text format since 1963.
.
ASP (Active Server Pages) - A technology that simplifies customization and integration of Web
applications. ASPs reside on a Web server and contain a mixture of HTML code and server-side
scripts. An example of ASP usage includes having a server accept a request from a client,
perform a query on a database, and then return the results of the query in HTML format for
viewing by a web browser.
Backup - A duplicate copy of data placed in a separate, safe place to guard against loss in the
event the original data becomes inaccessible.
Bar Code - A small pattern of vertical lines that is read by a laser or an optical scanner, and
which corresponds to a record in a database. An add-on component to imaging software, this
feature is designed to increase the speed with which documents can be archived.
Batch Processing - The name of the technique used to input a large amount of information in a
single step, as opposed to individual processes.
Bitmap/Bitmapped - See Raster/Rasterized.
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BMP - A native file format of Windows for storing images called "bitmaps."
Boolean Logic - The use of the terms "AND," "OR" and "NOT" in conducting searches. Used to
widen or narrow the scope of a search.
Briefcase - A method to simplify the transport of a group of documents from one computer to
another.
Burn (CDs or OVOs) - To record or write data on a CD or DVD.
Cache - Portion of high-speed memory used for temporary storage of frequently used data
and/or image files on a hard disk for later migration to permanent storage, like an optical or CD
jukebox. Cashing reduces the time it takes to access data.
CO Publishing - An alternative to photocopying large volumes of paper documents. This method
involves coupling image and text documents with viewer software on CDs. Sometimes search
software is included on the CDs to enhance search capabilities.
.
CO-R - Short for CD-Recordable. This is a CD, which can be written (or recorded) only once. It
can be copied to distribute a large amount of data. CD-Rs can be read on any CD-ROM drive
whether on a standalone computer or network system. This makes interchange between systems
easier.
CD-ROM - Compact Disc Read Only Memory. Written on a large scale and not on a standard
computer CD burner (CD writer), they are an optical disk storage media popular for storing
computer files as well as digitally recorded music.
CD-ROM Drive - A computer drive that reads compact discs.
Client-Server Architecture vs. File-Sharing - Two common application software architectures
found on computer networks. With file-sharing applications, all searches occur on the workstation,
while the document database resides on the server. With client-server architecture, CPU
intensive processes (such as searching and indexing) are completed on the server, while image
viewing and OCR occur on the client. File-sharing applications are easier to develop, but they
tend to generate tremendous network data traffic in document imaging applications. They also
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expose the database to corruption through workstation interruptions. Client-server applications
are harder to develop, but dramatically reduce network data traffic and insulate the database from
workstation interruptions.
COLD (Computer Output to Laser Disk) - A computer programming process that outputs
electronic records and printed reports to laser disk instead of a printer. Can be used to replace
COM (Computer Output to Microfilm) or printed reports such as green-bar.
COM (Computer Output to Microfilm) - A process that outputs electronic records and computer
generated reports to microfilm.
COM Object (Component Object Model) - COM refers to both a specification and
implementation developed by Microsoft Corporation, which provides a framework for integrating
components of a software application. COM allows developers to build software by assembling
reusable components from different vendors.
.
Compression Ratio - The ratio of the file sizes of a compressed file to an uncompressed file,
e.g., with a 20:1 compression ratio, an uncompressed file of 1 MB is compressed to 50 KB.
Confidential Records- Those public records specially exempted by law from public inspection.
CPU (Central Processing Unit) - The "brain" of the computer.
Custodian - The elected or appointed officer charged by law with the responsibility of
maintaining the office having public records, as defined in Chapter 119, F.S.
De-shading. Removing shaded areas to render images more easily recognizable by OCR. De-
shading software typically searches for areas with a regular pattern of tiny dots.
De-skewing - The process of straightening skewed (off-center) images. De-skewing is one of the
image enhancements that can improve OCR accuracy. Documents often become skewed when
they are scanned or faxed.
De-speckling. Removing isolated speckles from an image file. Speckles often develop when a
document is scanned or faxed.
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Dithering - The process of converting grays to different densities of black dots, usually for the
purposes of printing or storing color or grayscale images as black and white images.
Document Imaging - The ability to electronically capture, store, manage, retrieve, display,
process and distribute documents and information in a digital format.
Dots Per Inch (DPI) - A measurement of output device resolution and quality. Measures the
number of dots a printer can print per inch both horizontally and vertically.
Drag-and-Drop . The movement of on-screen objects by dragging them across the screen with
the mouse.
Duplex Scanners VS. Double-Sided Sca nning - Duplex scanners automatically scan both sides
of a double-sided page, producing two images at once. Double-sided scanning uses a single-
sided scanner to scan double-sided pages, scanning one collated stack of paper, then flipping it
over and scanning the other side.
.
Duplicate - A copy of the previous generation of the record.
DVD (Digital Video Disc or Digital Versatile Disc) - A plastic disc, like a CD, on which data can
be written and read. DVDs are faster, can hold more information, and can support more data
formats than CDs.
Electronic Document Management - Imaging software that helps manage electronic
documents.
Erasable Optical Drive - A type of optical drive that uses erasable optical discs.
Flatbed Scanner - A flat-surface scanner that allows users to input books and other documents.
Florida Administrative Code (F.A.C.) - The codification of state agencies operating rules as
provided by Chapter 120, F .S.
Folder Browser - A system of on-screen folders (usually hierarchical or "stacked") us ed to
organize documents, For example, the File Manager program in Microsoft Windows is a type of
folder browser that displays the directories on your disk.
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Records Management Plan
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Forms Processing - A specialized imaging application designed for handling pre-printed forms.
Forms processing systems often use high-end (or multiple) OCR engines and elaborate data
validation routines to extract hand-written or poor quality print from forms that go into a database.
This type of imaging application faces major challenges, since many of the documents scanned
were never designed for imaging or OCR.
FRMA (Florida Records Management Association) - The trade association and professional
society for Florida government agency records managers.
Full-text Indexing and Search - Enables the retrieval of documents by either their word or
phrase content. Every word in the document is indexed into a master word list with pointers to the
documents and pages where each occurrence of the word appears.
Fuzzy Logic - A full-text search procedure that looks for exact matches as well as similarities to
the search criteria, in order to compensate for spelling or OCR errors.
.
Galleries- An arrangement of specifically tailored document imaging software work tools that
enable users to complete daily tasks.
General Records Schedule - Schedules issued by the Florida Department of State, Bureau of
Archives and Records Management to establish disposition standards for public records common
to specified agencies within the State of Florida, and which state the minim um time such records
are to be kept.
GIF (Graphics Interchange Format) - CompuServe's native file format for storing images.
Gigabyte - One billion bytes. Also expressed as one thousand megabytes. In terms of image
storage capacity, one gigabyte equals approximately 17,00081/2" x 11" pages scanned at 300
dpi, stored as TIFF Group IV images.
Grayscale - See "Scale-to-Gray."
Hierarchical Storage Management (HSM) - Software that automatically migrates files from on-
line to near-line storage media, usually on the basis of the age or frequency of use of the files.
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Records Management Plan
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ICR (Intelligent Character Recognition) - A software process that recognizes handwritten and
printed text as alphanumeric characters.
Image Enabling - Allows for fast, straightforward manipulation of a client through third-party
applications. Image enabling, launches an imaging client, which will display search results in the
client, and brings up a scan dialogue box, all from within a third party application.
Image Processing Card (IPC) - A board mounted in either the computer, scanner or printer that
facilitates the acquisition and display of images. The primary function of most IPCs is the rapid
compression and decompression of image files.
Index Fields - Database fields used to categorize and organize documents. Often user-defined,
these fields can be used for searches and document retrieval.
.
Internet Publishing - Specialized imaging software that allows large volumes of paper
documents to be published on the Internet or intranet. These files can be made available to other
departments, offsite colleagues or the public for searching, viewing and printing.
IPX/SPX - Communications protocol used by Novell networks.
1515 and TWAIN Scanner Drivers - Specialized applications used for communication between
scanners and computers.
1509660 CD Format - The International Standards Organization format for creating CD-ROMs
that can be read worldwide.
JPEG (Joint Photographic Experts Group (JPEG or JPG)) - An image compression format
used for storing color photographs and images.
Jukebox - A mass storage device that holds optical disks and loads them into a drive.
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Records Management Plan
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Key Field - Database fields used for document searches and retrieval. Synonymous with "index
field."
Machine Readable Records - A record capable of being converted into symbols, which can be
read by a machine and processed, stored and retrieved.
Magnetic Tape - A spooled ribbon of plastic, coated with magnetic material, on which
information may be written, stored and read by means of a tape drive.
Magneto-Optical Drive - A drive that combines laser and magnetic technology to create high-
capacity erasable storage.
MAPI (Mail Application Program Interface) - This Windows software standard has become a
popular e-mail interface and is used by MS Exchange, GroupWise, and other e-mail packages.
MFP (Multifunction Printer or Multifunctional Peripheral) - A device that performs any
combination of scanning, printing, faxing, or copy.
.
Near-Line - Documents stored on optical disks or compact disks that are housed in the jukebox
or CD changer and can be retrieved without human intervention.
NetWare Loadable Module (NLM)
An application that runs as part of the network operating system (NOS) of a Novell NetWare
server.
NT (Network Technology) - Refers to Microsoft Windows NT server and workstation software.
n-tier architecture - The term can apply to the physical or logical architecture of computing. The
term refers to a method of distributed computing in which the processing of a specific application
occurs over "n" number of machines across a network. Typical tiers include a data tier, business
logic tier, and a presentation tier, wherein a given machine will perform the individualized tasks of
a tier. Scalability is a primary advantage of n-tier architecture.
OCR (Optical Character Recognition) - The ability of a scanner with the proper software to
capture, recognize and translate printed alphanumeric characters into machine-readable text.
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Records Management Plan
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Off-Line - Archival documents stored on optical disks or compact disks that are not connected or
installed in the computer, but instead require human intervention to be accessed.
On-Line. Documents stored on the hard drive or magnetic disk of a computer that are available
immediately.
Optical Disks - Computer media similar to a compact disc that cannot be rewritten. An optical
drive uses a laser to read the stored data.
Optical Jukebox - See "Jukebox."
Phase Change - A method of storing information on rewritable optical disks.
Pixel - Picture Element. A single dot in an image that can be black and white, grayscale or color.
.
Portable Volumes - A feature that facilitates the moving of large volumes of documents without
requiring copying multiple files. Portable volumes enable individual CDs to be easily regrouped,
detached and reattached to different databases for a broader information exchange.
Public Records - All documents, paper, 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 in connection with the transaction of official business by any agency.
(See Section 119.01(1), F.S.
Quality Control (QC) - The process of reviewing a scanned document on the monitor to ensure
the document is complete and readable and that no page was missed during the scanning
process.
RAID (Redundant Array of Independent Disks) - A collection of hard disks that act as a single
unit. Files on RAID drives can be duplicated ("mirrored") to preserve data. RAID systems may
vary in levels of redundancy, with no redundancy being a single, non-mirrored disk as level 0, two
disks that mirror each other as level 1, on up to level 5, the most common.
Raster/Rasterized (Raster or Bitmap Drawing) - A method of representing an image with a grid
(or "map") of dots or pixels. Typical raster file formats are GIF, JPEG, TIFF, PCX, BMP, etc.
.
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Record Copy - A public record designated by the custodian to be kept as the official record.
Records Disposal - The systematic process of legally purging unneeded public records through
retention scheduling.
Records Management - The systematic control of records from the time they are created,
throughout their useful life and eventual disposition or permanent preservation.
Records Management Liaison Officer (RMLO) - An individual or individuals designated by an
agency to maintain coordination with the Florida Department of State, Bureau of Archives and
records Management to promote an active Records Management Program as required by
Section 257.36, F.S.
.
Record Series - A group of documents, records, volumes or folders 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.
Redaction - A type of document annotation that provides word-level security by concealing from
view specific portions of sensitive documents. Like all annotations in a document imaging system,
redactions should be image overlays that protect information but do not alter original document
images.
Region (of an image) - An area of an image file that is selected for specialized processing. Also
called a "zone."
Retention Schedule - An approved standard for the orderly retention, transfer or disposition of
records, taking into consideration their legal, fiscal, historical and administrative value.
Scale-to-Gray - An option to display a black and white image file in an enhanced mode, making it
easier to view. A scale-to-gray display uses gray shading to fill in gaps or jumps (known as
aliasing) that occur when displaying an image file on a computer screen. Also known as
grayscale.
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Scalability - The capacity of a system to expand without requiring major reconfiguration or re-
entry of data. Multiple servers or additional storage can be easily added.
Scanner - An input device commonly used to convert paper documents into computer images.
Scanner devices are also available to scan microfilm and microfiche.
SCSI (Small Computer Systems Interface) - Pronounced "skuzzy." A standard for attaching
peripherals (notably mass storage devices and scanners) to computers. SCSI allows for up to 7
devices to be attached in a chain via cables. The current SCSI standard is "SCSI II," also known
as "Fast SCSI."
SCSI Scanner Interface - The device used to connect a scanner with a computer.
SQL (Structured Query Language) - The popular standard for running database searches
(queries) and reports.
TCPIIP - Network communications protocol. This is the protocol used by the Internet.
.
Templates, Document - Sets of index fields for documents.
Thumbnails - Small versions of an image used for quick overviews or to get a general idea of
what an image looks like.
TIFF (Tagged Image File Format) - A non-proprietary raster image format, in wide use since
1981, which allows for several different types of compression. TIFFs may be either single or
multi-page files. A single-page TIFF is a single image of one page of a document. A multi-page
TIFF is a large single file consisting of multiple document pages. Document imaging systems that
store documents as single-page TIFFs offer significant network performance benefits over multi-
page TIFF systems.
TIFF Group III (compression) - A one-dimensional compression format for storing black and
white images that is utilized by most fax machines.
TIFF Group IV (compression) - A two-dimensional compression format for storing black and
white images. Typically compresses at a 20-to-1 ratio for standard business documents.
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Video Scanner Interface. A type of device used to connect scanners with computers. Scanners
with this interface require a scanner control board designed by Kofax, Xionics or Dunord.
Workflow, Ad Hoc - A component of a document imaging system that concentrates on
automating the process of documents - scheduling processing and routing documents
automatically among departments and tracking document status.
Workflow, Rule-Based - A programmed series of automated steps that route documents to
various users on a multi-user imaging system.
WORM Disks (Write Once Read Many Disks) - A popular archival storage media during the
1980s. Acknowledged as the first optical disks, they are primarily used to store archives of data
that cannot be altered. WORM disks are created by standalone PCs and cannot be used on the
network, unlike CD-Rs.
.
Viewer - The document imaging system software component that used drop-down menus,
toolbar icons, and a view space for displaying documents.
ZIP - A common file compression format that allows quick and easy storage for transport.
Zone OCR - An add-on feature of the imaging software that populates document templates by
reading certain regions or zones of a document, and then placing the text into a document index
field.
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City of Winter Springs
Records Management Technology Plan
5 Year Plan
August 23, 2004
Regular 501
ATTACHMENT 2
Department & Function Description FY 03-04 FY 04-05 FY 05-06 FY 06-07 FY 07-08 Comments
Cost Cost Cost Cost Cost
Server Hardware Cost I
Document Management Server Server $13,200 $20,000 Server Replacement in FY08
SQL Server License 2 Server Processors $7,000 $3.500 each
Subtotal -Server Hardware $20,200 $0 $0 $0 $20,000 $40,200
Software Cost
Records Management Edition Enterprise (15 Database) I $35,000 Includes LF United & Audit Trail
Records Management Edition Annual Maintenance $7,000 $7,000 $7,000 $7,000 $7,000
LF Plus Plug-In CD File Creation $3,795 Export files to CD with LF Runtime Software
LF Plus Plug-In Annual Maintenance $1,590 $1,590 $1,590 $1,590
User License - Full -$550 each 40 Total $5,500 $5,500 $5,500 $5,500 FY04 - 10. FY05 - 10. FY06 - 10. FY-07 - 10
User License - Full- $110 each Annual Maintenance $1,100 $2,200 $3,300 $4,400 $4,400
E-mail Plug-In - $80 40 Total $800 $800 $800 $800 FY04 - 10. FY05 - 10. FY06 - 10. FY-Q7 -10
E-mail Plug-In - $16 Annual Maintenance $160 $320 $480 $640 $640
Snapshot User License - $100 40 Total $1,000 $1,000 $1,000 $1,000 FY04 - 10. FY05 - 10. FY06 - 10, FY-07 - 10
Snapshot User License - $20 Annual Maintenance $200 $400 $600 $800 $800
User License - Retrieval - $220 30 Total $2,200 $2,200 $2,200 FY05 - 10, FY06 - 10, FY07 - 10
User License - Retrieval - $44 Annual Maintenance $440 $880 $1,320 $1,320
Scan Connect 10 Pack - $915 $915 $915 $915 30 Scanners
LaserFiche Quick Fields Per Scan Station (4) $1,980
LaserFiche Quick Fields Annual Maintenance $400 $400 $400 $400
Real Time Lookup $495
Real Time Lookup Annual Maintenance $100 $100 $100 $100
Zone OCR Standard Forms $2,495
Zone OCR Annual Maintenance $500 $500 $500 $500
Integrator's Toolkit $2,500 Integration with ather applications.
Integrator's Toolkit Annual Maintenance $750 $750 $750 $750
WebLink Enterprise $15,995 I Provides access to documents via the web.
WebLink Enterprise Annual Maintenance $3,190 $3,190 $3,190
Installation & Training 40 Hours Annually $4,400 $4,400 $4,400
Professional Services & Support Annual Review (16 hrs) $1,760 $1,760 $1,760 $1,760 Review of indexing & volume structures for best practices,
GIS Integration 6 Layers $10,000 $2.500 1 sl Layer & $1.500 Each Additional Layer
GIS Integration Annual Maintenance $3,000 $750 1 st Layer & $450 Each Additional Layer
Subtotal - LaserFiche Software I $56,0751 $41,540 $51,360 $44,950 $22,4501$216,375
S:\Information_Services\Projects\Records Management-Document Imaging Project\5 Yr plan.xls
Tab 5 YR Implementation Cost
Page 1 of 3
City of Winter Springs
Records Management Technology Plan
5 Year Plan
August 23, 2004
Regular 501
ATTACHMENT 2
Department & Function Description FY 03-04 FY 04-05 FY 05-06 FY 06-07 FY07-0B Comments
Cost Cost Cost Cost Cost
Scanner & Printer - Equipment by Area
City Hall Common Area
Administrative - Front Counter Fujitsu fi-4099D $19,365 $897 $897 Flatbed HS Cost $18468 + $897 on-site maintenance
Community Dev - Front Counter Fujitsu fi-4220C $1,757 $89 $89 $89 $89 Flatbed Cost $1668 + $89 Partsllabor
Community Dev & Public Works Fujitsu fi-4097D $5,865 $807 $807 $807 Flatbed HS Cost $5058 + $807 on-stte maintenance
Community Dev & Public Works Contex - Chameleon $9,100 $1 ,200 $1 ,200 $1,200 E-size Scanner $7900 + $1200 Maintenance
Community Dev & Public Works HP Design jet 1050C $8,671 $1,200 $1 ,200 $1,200 E-size Printer $7471 + $1200 Maintenance
City Clerk
City Clerk Fujitsu fi-4120C $1,290 $89 $89 $89 $89 Regular Cost $1201 + $89 Partsllabor replacement
Deputy City Clerk Fujitsu fi-4340C $5,015 $1,200 $1,200 $1,200 $1,200 Flatbed Cost $3815 + $1200 on-site maintenance
City Managers
Administrative Fujitsu fi-4220C $1,757 $89 $89 $89 Flatbed Cost $1668 + $89 Parts/Labor
Community Development
Front Counter Fujitsu fi-4220C $1,757 $89 $89 $89 $89 Flatbed Cast $1668 + $89 Partsllabor
Administrative Fujitsu fi-4120C $1 ,290 $89 $89 $89 Regular Cost $1201 + $89 Par1sllabor replacement
Finance Department
Utility Counter Fujitsu fi-4220C $1,757 $89 $89 $89 Flatbed Cost $1668 + $89 Partsllabor
Finance Director Fujitsu fi-4120C $1,290 $89 $89 $89 Regular Cost $1201 + $89 Par1sllabor replacement
Finance - Accounts Payable Fujitsu fi-4340C $5,015 $1,200 $1,200 $1,200 Flatbed Cost $3815 + $1200 on-site maintenance
Fire Department
Administration Fujitsu fi-4340C $5,015 $1,200 $1,200 $1,200 Flatbed Cost $3815 + $1200 on-site maintenance
EMS Fujitsu fi-4120C $1 ,290 $89 $89 $89 Regular Cosl $1201 + $89 Partsllabor replacement
General Services
Human Resources Fujitsu fi-4340C $5,015 $1 ,200 $1,200 $1,200 Flatbed Cost $3815 + $1200 on-site maintenance
Information Services Department I
Director Fujitsu fi-4120C $1,290 $89 $89 $89 Regular Cost $1201 + $89 Par1sllabor replacement
Parks & Recreation Scanner I
Administration Fujitsu fi-4120C $1,290 $891 $89 Regular Cost $1201 + $89 Partsllabor replacement
S:\lnformation_Services\Projects\Records Management-Document Imaging Project\5 Yr plan.xls
Tab 5 YR Implementation Cost
Page 2 of 3
City of Winter Springs
Records Management Technology Plan
5 Year Plan
August 23, 2004
Regular 501
ATTACHMENT 2
Department & Function Description FY 03-04 FY 04-05 FY 05-06 FY 06-07 FY 07-08 Comments
Cost Cost Cost Cost Cost
Police Department
Administration Fujitsu fi-4220C $1,757 $89 $89 $89 Flatbed Cost $1668 + $89 Parts/Labor
Armory Fujitsu fi-4120C $1,290 $89 Regular Cost $1201 + $89 Partsl1abor replacement
Crime Analysis Fujitsu fi-4120C $1,290 $89 Regular Cost $1201 + $89 Partsllabor replacement
Criminal Investigations Bureau Fujitsu fi-4120C $1,290 $89 Regular Cost $1201 + $89 Partsllabor replacement
Code Enforcement Bureau Fujitsu fi-4220C $1,757 $89 $89 Flatbed (door hangers) Cost $1668 + $89 Partsllabor
Communications Fujitsu fi-4340C $5,015 $1,200 $1,200 Flatbed HS Cost $3815 + $1200 on-site maintenance
Community Relations Fujitsu fi-4120C $1,290 $89 Regular Cost $1201 + $89 Partsllabor replacement
Internal Affairs Fujitsu fi-4120C $1,290 $89 $89 Regular Cost $1201 + $89 Partsllabor replacement
Patrol Fujitsu fi-4340C $5,015 $1,200 $1,200 Flatbed HS Cost $3815 + $1200 on-site maintenance
Records Fujitsu fi-4097D $5,865 $807 $807 Flatbed HS Cost $5058 + $807 on-stte maintenance
Training Fujitsu fi-4120C $1,290 $89 Regular Cost $1201 + $89 Partsllabor replacement
Technical Services Bureau Fujitsu fi-4120C $1,290 $89 Regular Cost $1201 + $89 Partsllabor replacement
Public Works Department
Administration Fujitsu fi-4120C $1,290 $89 $89 $89 Regular Cost $1201 + $89 Partsllabor replacement
Scanner I Printer Hardware Cost $9,819 $51,869 $48,583 $21,097 $13,891 $145,259
Software Integration 1 1
MUNIS Integration Module $15,000 Vendor Integration Cost to LaserFiche
KIVA Integration $25,000 Vendor Integration Cost to LaserFiche
Total Software Integration Costs $40,000
1
Back Scanning of Historical Documents $80,000 I $80,000 $26,597 $186,597
FLC Implementation Plan Support Support & Quarterly Reviews $31,305 $26,305 $57,610
Records Management Total Cost $86,094 $204,7141 $206,248 $132,644 $56,341 $686,041
S:\lnformation_Services\Projects\Records Management-Document Imaging Project\5 Yr plan.xls
Tab 5 YR Implementation Cost
Page 3 of 3
City of Winter Springs
Records Management Technology Plan
3 and 5 Year Comparison
ATTACHMENT 3
3 Year Plan 03/04 04/05 05/06 06/07 07/08 Plan Totals
Hardware $21,552 $76,908 $8,407 $0 $0 $106,867
Software $50,215 $43,340 $24,250 $0 $0 $117,805
Maintenance Agreements $9,927 $31,108 $37,581 $0 $0 $78,616
Sack Scanning of Historical Documents $0 $80,000 $106,597 $0 $0 $186,597
Professional Services & Training $4,400 $37,465 $32,465 $0 $0 $74,330
Software Integration (Munis & Kiva) $0 $0 $40,000 $0 $0 $40,000
$86,094 $268,821 $249,300 $0 $0 $604,215
5 Year Plan 03/04 04/05 05/06 06/07 07/08
Hardware $21,552 $42,883 $35,226 $7,206 $20,000 $126,867
Software $50,215 $21,680 $26,410 $19,500 $0 $117,805
Maintenance Agreements $9,927 $22,686 $32,147 $37,581 $34,581 $136,922
Sack Scanning of Historical Documents $0 $80,000 $80,000 $26,597 $0 $186,597
Professional Services & Training $4,400 $37,465 $32,465 $1,760 $1,760 $77,850
Software Integration (Munis & Kiva) $0 $0 $0 $40,000 $0 $40,000
$86,094 $204,714 $206,248 $132,644 $56,341 $686,041
S:\Information_Services\Projects\Records Management-Document Imaging Project\Sreakdown for 3 & 5 year plan.xls
Tab 3 & 5 Year