CITY OF PHOENIX RECORDS MANAGEMENT AND E-PRIVACY

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CITY OF PHOENIX RECORDS MANAGEMENTANDE-PRIVACY

• Margie Pleggenkuhle
• City Clerk Department
• March 18, 2004

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Purpose

• Records Management Defined
• - Retention
• - Disposition
• Public Records Law - Basics
• City of Phoenix Policies
• - Imaging Standards
• - E-Mail Policy
• - E-Privacy Policy

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What is a Record?

• Information made or received
• - In connection with transaction of
• public business
• - In pursuance of law

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What is a Record?

• Information preserved or
• appropriate for preservation
• - As evidence of the organization, functions,
  policies, decisions, procedures, operations
• - As informational / historical value

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Regardless of Physical Form

• Paper documents
• Scanned images / Web files
• Electronic data / Databases
• E-Mail / Word Processing Documents
• Microforms / Maps
• Photographs / Books
• Spreadsheets / Calendars

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What is Records Management?

• System of controlling records from creation
  through disposition
• Efficient and economical management of
  information during records life cycle

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Mandated by the State

• Records are property of State of Arizona, not
  personal property, not property of county/local
  government
• Class 4 felony to destroy public records without
  lawful authority
• Records retention schedules approved by State
  become lawful authorization to retain/ destroy
  ALL records even electronic ones

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Any Felons Here?

• Public officer imprisoned for four years, and
  levied a fine of up to 150,000
• Public employee imprisoned 1.5 years and fine of
  up to 150,000
• A.R.S. 38-421

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Why Retain Records?

• Provide evidence of the organizations functions,
  policies, decisions, operations
• Preserve information with legal, administrative,
  historical, fiscal, or informational value
• To maintain the publics confidence in government

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Retention Requirements

• Applies to information, not format
• No difference
• - If paper
• - If electronic
• Applications must have means of deleting data as
  well as storing it
• Documents need expiration date

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Reliability and Legality

• Record integrity
• - Use in daily course of business
• - Verify accuracy
• Record security
• - Processes in place to prevent corruption
• - Migrate accurately
• Must be able to certify accuracy for
  admissibility in Court

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Disposition of Records

• Retention based on value of information
• NOT based on storage capability
• Determine retention requirements
• System needs capability of disposition
• E-Records are discoverable
• E-Records are open to disclosure

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Public Records Other Matters

• Open to inspection
• By any person
• In the office
• During office hours
• Jessica Gifford Funkhouser
• Special Counsel, AZ Attorney Generals Office

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What is a Public Record?

• If Law requires you to create it
• If Law requires you to receive it
• If not required, but received or created and
  related to Official Duties

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Public Record is Anything in Office

• Created with government property
• On government time
• Received as part of office work

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Anything in Office

• If have copy, no original
• - Must produce copy
• - Copy good as original for discovery
• Copy could be on computer
• Remember - E-Mail is like LETTER TO EDITOR

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Duty to Protect Records

• When to Withhold Records
• Confidentiality
• Privacy
• Best Interests of State

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If Confidential By Law

• Address protected Voters
• Attorney-client privilege
• Sealed bids up to certain point
• Negotiations
• Vital Records
• Examples - Jessica Gifford Funkhouser

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Privacy Violated

• Social Security numbers
• Public employees home addresses
• Date of birth
• Age
• Examples - Jessica Gifford Funkhouser

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Best Interests of State

• Includes cities towns
• Only if would jeopardize an important public
  interest
• - Ongoing criminal investigation (not in every
  case)
• - Budget for competitive bid project
• - Upper limit authorized for liability claim
  settlement offer
• Examples - Jessica Gifford Funkhouser

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Imaging Standards

• Must ensure application appropriate
• Procedures to ensure integrity of records
• Use standard formats (Open architecture)
• Must allocate funds for migrating documents
  (software/hardware)
• Must be approved by State
• Imaging not meet long-term storage requirements

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E-Mail Policy

• E-Mail is public record
• Retention is 1 month
• E-Mail is automatically deleted
• Retention determined by content
• - If content falls into record category,
  retention of that category applies
• - Must be moved to new file (electronic or
  hardcopy)

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E-Phoenix Privacy Policy

• Committed to protecting online users privacy
• Provides information gathered when site visited
• States how information used
• Whether information disclosed
• Provides choices regarding use of info

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E-Phoenix Privacy PolicyImplementation

• Standard policy for ALL web pages
• Extended policy for web pages that collect PII
  (Personally Identifying Information)
• All web applications subject to extended privacy
  and retention policy features
• Appointed Privacy and Public Access Official
• Privacy Team for oversight and policy
• Monitor legislative efforts toward privacy

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Competing Priorities
MAY VIOLATE
Disclosure
MUST ACT
MUST PROTECT
Public Records Retention
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City of Phoenix Records Management Program

• Questions?
• Contact
• Margie Pleggenkuhle
• City Clerk Department
• 602-256-3186
• margie.pleggenkuhle_at_phoenix.gov