1. CITY OF PHOENIX RECORDS MANAGEMENT AND E-PRIVACY Margie Pleggenkuhle City Clerk Department March 18, 2004

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

3. What is a Record? Information made or received Information made or received - In connection with transaction of public business public business - In pursuance of law

4. What is a Record? Information preserved or Information preserved or appropriate for preservation appropriate for preservation - As evidence of the organization, functions, policies, decisions, procedures, operations - As informational / historical value

5. “Regardless of Physical Form” Paper documents Paper documents Scanned images / Web files Scanned images / Web files Electronic data / Databases Electronic data / Databases E-Mail / Word Processing Documents E-Mail / Word Processing Documents Microforms / Maps Microforms / Maps Photographs / Books Photographs / Books Spreadsheets / Calendars Spreadsheets / Calendars

6. What is Records Management? System of controlling records from creation through disposition System of controlling records from creation through disposition Efficient and economical management of information during record’s life cycle Efficient and economical management of information during record’s life cycle

7. Mandated by the State Records “are property of State of Arizona, not personal property, not property of county/local government” 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 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 Records retention schedules approved by State become lawful authorization to retain/ destroy ALL records even electronic ones

8. Any Felons Here? Public officer imprisoned for four years, and levied a fine of up to $150,000 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 Public employee imprisoned 1.5 years and fine of up to $150,000 A.R.S. 38-421

9. Why Retain Records? Provide evidence of the organization’s functions, policies, decisions, operations Provide evidence of the organization’s functions, policies, decisions, operations Preserve information with legal, administrative, historical, fiscal, or informational value Preserve information with legal, administrative, historical, fiscal, or informational value To maintain the public’s confidence in government To maintain the public’s confidence in government

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

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

12. Disposition of Records Retention based on value of information Retention based on value of information NOT based on “storage capability” NOT based on “storage capability” Determine retention requirements Determine retention requirements System needs capability of disposition System needs capability of disposition E-Records are discoverable E-Records are discoverable E-Records are open to disclosure E-Records are open to disclosure

13. Public Records & Other Matters Open to inspection Open to inspection By any person By any person In the office In the office During office hours During office hours * Jessica Gifford Funkhouser Special Counsel, AZ Attorney General’s Office Special Counsel, AZ Attorney General’s Office

14. What is a Public Record? If Law requires you to create it If Law requires you to create it If Law requires you to receive it If Law requires you to receive it If not required, but received or created and related to Official Duties If not required, but received or created and related to Official Duties

15. Public Record is Anything in Office Created with government property Created with government property On government time On government time Received as part of office work Received as part of office work

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

17. Duty to Protect Records When to *Withhold Records When to *Withhold Records Confidentiality Confidentiality Privacy Privacy Best Interests of State Best Interests of State

18. If Confidential By Law Address protected Voters Address protected Voters Attorney-client privilege Attorney-client privilege Sealed bids – up to certain point Sealed bids – up to certain point Negotiations Negotiations Vital Records Vital Records * Examples - Jessica Gifford Funkhouser

19. Privacy Violated Social Security numbers Social Security numbers Public employee’s home addresses Public employee’s home addresses Date of birth Date of birth Age Age * Examples - Jessica Gifford Funkhouser

20. Best Interests of State Includes cities & towns Includes cities & towns Only if would jeopardize an important public interest 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

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

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

23. E-Phoenix Privacy Policy Committed to protecting online users’ privacy Committed to protecting online users’ privacy Provides information gathered when site visited Provides information gathered when site visited States how information used States how information used Whether information disclosed Whether information disclosed Provides choices regarding use of info Provides choices regarding use of info

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

25. Privacy Public Records Retention Disclosure MUST ACT MUST PROTECT MAY VIOLATE

26. City of Phoenix Records Management Program Questions? Questions? Contact: Contact: Margie Pleggenkuhle Margie Pleggenkuhle City Clerk Department City Clerk Department 602-256-3186 602-256-3186 margie.pleggenkuhle@phoenix.gov margie.pleggenkuhle@phoenix.gov