HomeMy Public PortalAbout102098_Taylor Exhibit 4OF
RECORDSA
REVISED ISSUE DATE
OCTOBER 2009
Florida Department of State
State Library and Archives of Florida
Tallahassee, Florida
850.245.6750
http://dlis.dos.state.fl.us/RecordsManagers
EX.
DEP
DATE� FC
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
PREFACE................................................................................................................................. 3
I. AN INTRODUCTION TO RECORDS MANAGEMENT ............................................. 4
A. THE OBJECTIVES OF RECORDS AND INFORMATION MANAGEMENT ................ 4
B. THE BENEFITS OF RECORDS MANAGEMENT........................................................... 5
II. RECORDS MANAGEMENT IN FLORIDA................................................................. 6
A. FLORIDA'S RECORDS MANAGEMENT PROGRAM ................................................... 6
B. REGULATORY MANDATE FOR RECORDS MANAGEMENT .................................... 7
(1) Chapter 257, Florida Statutes.......................................................................................... 7
(2) Chapter 119, Florida Statutes.......................................................................................... 8
(a) What is a Public Record?............................................................................................. 8
(b) Inspection and Examination of Public Records........................................................... 9
(c) Exemptions from Disclosure Requirements of Florida's Public Records Law ........... 9
(3) Florida Administrative Code......................................................................................... 10
III. STARTING YOUR RECORDS MANAGEMENT PROGRAM .............................11
A. INVENTORY PROCEDURES: IDENTIFYING RECORDS .......................................... 12
B. RETENTION OF PUBLIC RECORDS: RETENTION SCHEDULES ............................. 13
C. FINAL DISPOSITION OF PUBLIC RECORDS.............................................................. 18
(1) Records Disposition Documentation............................................................................ 19
a) Distinguishing between the different types of retention period requirements........... 19
b) Records Volume Conversion to Cubic Foot Measurements ..................................... 20
(2) Factors That Might Influence the Disposition of Records ............................................ 21
(3) Final Disposition of Records......................................................................................... 22
(4) Records Disposition Compliance Statement and RMLO Designation ......................... 23
D. DEVELOPING A RECORDS MANAGEMENT POLICY .............................................. 24
IV. ADDITIONAL RECORDS MANAGEMENT INFORMATION ............................. 26
V. ARCHIVES AND ARCHIVAL RECORDS................................................................. 27
VI. GLOSSARY................................................................................................................... 30
APPENDICES....................................................................................................................... 33
APPENDIX A: OBTAINING SCHEDULES, HANDBOOKS, AND OTHER RESOURCES ................. 33
APPENDIX B: RECORDS INVENTORY WORKSHEET.............................................................. 34
APPENDIX C: RECORDS MANAGEMENT LIAISON OFFICER (RMLO) DESIGNATION FORM.. 36
APPENDIX D: DEPARTMENT OF STATE RECORDS MANAGEMENT AND PUBLIC RECORDS
REQUESTPOLICY.......................................................................................... 37
APPENDIX E: PUBLIC RECORDS AND FREEDOM OF INFORMATION POLICY SOURCES.......... 53
APPENDIX F: PROFESSIONAL ORGANIZATIONS................................................................... 54
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
The goal of Florida's Records Management Program 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 in the
21" century. Our society 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 challenge is the rapid
advance of technology. This results in vast quantities of information and the equally rapid
evolution of the principles of law that govern the legality and admissibility of records
created or maintained by 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 consistent with law and best practices.
In Florida, those of us in the business of managing information are faced with yet another
challenge. Not only must we control costs through the application of sound records and
information management principles, but we must also apply these principles in light of the
public's right to know. Florida's Public Records Law is one of the most open public
records laws in the country, and is a model for other states. Florida has had some form of a
public records law since 1909, and we are recognized nationally for the leadership role we
take regarding public records and accessibility to public information. As we go about our
business, we must remember the dual responsibility we have as public records and
information managers: to reduce government agencies' costs of doing business and to
guarantee the public's right to know what their government is doing.
The benefits of 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, and reduction of expenditures for records filing
equipment are just a few of the benefits that good records management can help achieve.
The Basics of Records Management is intended to serve as an effective introduction to
records management and a useful guide to the ways in which Florida's Records
Management Program can help you achieve your goals.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
lt;'AN INTRODUCTION TQ L2EGORAS MANAGEMENT;
The primary concern of Florida's Records Management Program is the efficient, effective,
and economical management of public records and information. Proper records
management ensures that information is available when and where it is needed, in an
organized and efficient manner, and in an appropriate environment.
While the importance of records management might not be obvious to everyone, its impact
on the ability of an organization to function effectively is indisputable. It is only through
the operation of a well-run records management program that an organization retains
control of its corporate memory, which allows an organization, either public or private, to
conduct business. Records management is more than retention, storage, and disposition of
records. It entails all recordkeeping requirements and policies that allow an organization to
establish and maintain control over information flow and administrative operations.
Records management can help answer important questions such as:
• 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 their retention period?
• What records are vital to the continued operation of the organization?
• 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?
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Identification of historical records. Records managers play a vital role in the
identification and protection of historical records. Often they are responsible for
preserving and making available records having archival value. Records management
programs should include procedures for identifying and ensuring the care of Florida's
documentary heritage.
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http://dlis.dos.state.fl.us/RecordsManaizers
Florida's Records Management Program is part of the Division of Library and Information
Services of the Department of State. The Secretary of State is the official holder of the
Great Seal of the State of Florida and official recordkeeper of the state. The Program's
role in this organizational hierarchy is to establish guidelines and provide assistance in
managing official government records.
The primary purpose of the Records Management Program is to provide guidance and
assistance to local and state government agencies in establishing records and information
management programs and in managing the public records and information they create and
use daily. To that end, the Program offers a variety of services related to records and
information management:
® Establishes standards for controlling, retaining, and destroying or preserving public
records.
® Provides consulting services and training in the following areas:
o Compliance with state laws, regulations, and policies
o Records inventory and appraisal, including archival appraisal
o Records retention and disposition
o Records storage
o Records preservation principles
o Records system design, including creation and maintenance
o Records filing, indexing, and retrieval equipment
o Micrographic cameras, storage, indexing, and retrieval equipment
o Electronic recordkeeping requirements and guidelines
o Vital records protection planning and disaster planning and recovery
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
® Provides source document microfilming and computer output microfilm (COM)
production 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-capacity, low-cost media alternatives like
microfilm and microfiche.
Provides off-site records storage at the Edward N. Johnson Records and
Information Center ("State Records Center"). Tallahassee -area state and local
government agencies may store non-current or inactive records at the State Records
Center. This state-of-the-art facility is equipped to store paper records, microfilm,
and electronic records. Microfilm and electronic media are stored in secure
temperature- and humidity -controlled vaults.
These services are directed toward the ultimate goal of achieving effective and efficient
handling of government records and information.
(1) Chapter 257, Florida Statutes
Florida's Records Management Program is a cooperative effort between the Division of
Library and Information Services and state and local government agencies throughout
Florida. The Program provides assistance to these state and local government agencies in
promoting the efficient management of public records.
Chapter 257, Florida Statutes, vests in the Division of Library and Information Services the
authority to oversee the records management functions of state and local government
agencies. Specifically, Section 257.36(1)(a), F.S., 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.
Section 257.36(5), F.S., also specifies the responsibilities 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.
(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 accomplished by a
letter from the agency to the Division of Library and Information Services. Please refer to
Part III Starting Your Records Management Program, for information regarding the
appointment of the RMLO and the duties expected of that position. See Appendix C for an
RMLO designation form.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
(2) Chapter 119, Florida Statutes
In order to understand the vital role of records management in the state of Florida, one
must have a basic understanding of Florida's Public Records Law. Florida has 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, the current version of the Public
Records Law, has specific provisions covering important issues such as the definition of
public record, access, and exemptions.
(a) What is a Public Record?
The definition of a public record in Section 119.011(12), F.S., is broad and all-inclusive.
The statute reads as follows:
"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.
The Florida Supreme Court further defined public records in a seminal 1980 legal decision.
In Shevin v. Byron, Harless, Schaffer, Reid, and Associates (379 So. 2d 633, Fla. 1980),
the Court ruled that 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.
Therefore, any document meeting the above criteria set forth by the Court is a public
record regardless of whether it is in final form or is designated by the agency as a "draft,"
"working copy," or "preliminary version." If an agency has circulated a "draft" for review,
comment, or informational purposes, that draft is a public record.
To clarify this definition, the Court further ruled:
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
prepared for filing, even though not apart 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.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
(b) Inspection and Examination of Public Records
Florida's Public Records Law provides for unparalleled access to the records of
government. Section 119.07(1)(a), F.S., states that:
Every person who has custody of a public record shall permit the record to be
inspected and copied by any person desiring to do so, at any reasonable time,
under reasonable conditions, and under supervision by the custodian of the public
records.
Every agency's records management policies and procedures should clearly define what
constitutes reasonable times and conditions and proper supervision. Many factors will
determine the "reasonable" period of time in which the information can be provided by any
particular agency: 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 requested to copy public records, agencies have the right to charge for those copies
under the fee provisions of Section 119.07(4), F.S. These charges apply unless otherwise
authorized 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. Again,
what constitutes extensive use of either clerical staff or information technology resources
should be addressed in each agency's records management policies and procedures.
(c) Exemptions from Disclosure Requirements of Florida's public Records Law
Not every record generated by local and state government is open for inspection. Some
public records are provided by law to be confidential or exempt from the public disclosure
requirements of Section 11 9.07(l), F.S., and Section 24(a), Article I of the State
Constitution.
Section 119.071, F.S., lists certain records that are exempt from public disclosure, usually
for reasons of public safety, public health, law enforcement, and/or personal privacy, and
additional exemptions are specified elsewhere throughout the Florida Statutes. However, it
is important to remember two key points. First, Florida's Public Records Law emphasizes
a "general state policy on public records" that "...all state, county, and municipal records
are open for personal inspection by any person" (Section 119.01 (1), F.S.). In other words,
government records are open to public inspection unless specifically exempted by law.
Second, "exempt" records are exempt from the public disclosure requirements of Section
119.0 1, F.S. and Section 24(a), Article I of the State Constitution, but they are not exempt
from other legal records management requirements such as those concerning records
retention scheduling and disposition.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
See Appendix E for sources of additional information on public records access and
exemption issues.
(3) Florida administrative Code
Florida's Administrative Code includes the following rules, which have been promulgated
to aid agencies in establishing and maintaining a records management program:
(a) Rule IB -24, Public Records Scheduling and Disposition: This rule establishes
standards and procedures for the scheduling and disposition of public records to
promote economical and efficient management of records and to ensure that
records of archival value are so designated and ultimately transferred to the State
Archives of Florida (for state agency records) or to a formally established local
government historical records repository (for local government records).
(b) Rule IB -26.0021, Records Management - Standards and Requirements -
Microfilm Standards: This rule provides standards for microfilming of public
records to ensure that the film, photographing methods, processing, handling, and
storage are in accordance with methods, procedures, and specifications designed to
protect and preserve such records on microfilm.
(c) Rule IB -26.003, Records Management - Standards and Requirements -
Electronic Recordkeeping: This rule provides standards for public records created
and/or maintained on electronic media.
(d) Rule IB -31, Real Property Electronic Recording: This rule provides standards
for electronic recording of real property documents in those Florida counties in
which the county recorder elects to accept electronic real property documents for
recordation.
For single copies of the statutes and rules governing the management of Florida's public
records and the operation of the Department of State's Records Management Program, call
the Program at 850.245.6750, visit http://dlis.dos.state.fl.us/RecordsManagers, or complete
the order form in Appendix A and mail or fax it to the Records Management Program.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Establishing the procedures required to operate an agency records management program
might at first appear daunting. The startup will indeed require a concerted effort, patience,
cooperation from colleagues, and time. All of this presupposes support from management.
Without initial support from management to allocate resources to the project and
continuing managerial commitment to the program, implementation of an effective records
management program will be extremely difficult.
Florida's Records Management Program is charged with the responsibility of providing
guidance and assistance to help Florida government agencies initiate and sustain records
management programs. We will be available to assist you upon request in whatever way
we can.
One of the first responsibilities in initiating a records management program is the
appointment of a Records Management Liaison Officer (RMLO). Every agency is
required to designate an RMLO to serve as the primary point of contact between the
agency and the Division's Records Management Program (Section 257.36(5)(a), F.S.). To
appoint an RMLO, an agency needs to submit to the Division an RMLO designation form
(see Appendix C) under signature of the records custodian or other authorizing official
indicating who the agency's RMLO will be. Because the RMLO is in close contact with
the Division, he or she will be an important source of information within your agency
about Division policies and procedures.
The RMLO might perform a variety of records management functions as assigned by the
agency, including:
e inventorying agency records
® working with the Division to establish new records retention schedules and to
ensure the appropriate disposition of records eligible for destruction
® training and advising agency staff in records management practices
® participating in agency decision-making for issues such as microfilming, digital
imaging, storage, and disposal
® working with agency information technology staff to provide input on records
management requirements when the agency is designing or enhancing automated
systems that will contain public records
o responding to public questions regarding agency records and records management
practices
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
e reporting annually to the Division regarding the agency's compliance with records
management statutes and rules
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An effective records management program requires an inventory of records maintained by
an agency and the identification of existing retention schedules or the establishment of new
retention schedules that can be applied to those records. Retention schedules identify
agency records and establish minimum periods of time for which the records must be
retained based on the records' administrative, fiscal, legal, and historical values. Once the
minimum retention has been met, disposition of the records is recommended. Disposition
may be by physical destruction, transfer to another agency, or in the case of electronic
records, erasure. State agency records appraised by Division staff as having long-term
historical value can be transferred to the State Archives.
An inventory might take many forms and can be as detailed as the agency requires, but at
minimum should identify and describe each record series created and maintained by the
agency. A record series, as defined in Rule 1 B-24, Florida Administrative Code, is:
... a group of related public records arranged under a single filing arrangement or
kept together as a unit (physically or intellectually) because they consist of the
same form, relate to the same subject, result fi^om the same activity, document a
specific type of transaction, or have some other relationship arising from their
creation, receipt, or use.
Examples of series might be Personnel Files, Client Case Files, Project Research Files,
Equipment Maintenance and Repair Records, or Procurement Files. Each record series
might contain records in a variety of forms and formats that document a particular
program, function, or activity of the agency. The following information should be
compiled for each record series:
Record Series Title. A brief phrase summarizing the form, function, and/or subject of the
records without using agency jargon or abbreviations is recommended. For instance,
Communications Services Use Tax Returns is a more meaningful record series title than
Form DR -700019; Highway Planning Maps would be a more meaningful record series title
than Road Files; and Executive Director's Correspondence and Administrative Files is a
more meaningful record series title than Bob Smith's Files.
Description. The description of the record series identifies the purpose and function of the
record series with regard to the agency's operation. The description indicates how the
record series is used, why it was created, and the type(s) of information or subject matter
the records contain. Additional information in the description might include the medium
on which the record series is, recorded, the office or position holding the record (master)
copy, the routing path of duplicate copies (if any), statutory requirements for creating the
records, and any other information that would enable someone not familiar with the record
series to identify it and understand its contents.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Inclusive Dates. It is important to determine the date range covered by each record series
in order to determine when they are eligible for disposition under the appropriate retention
schedule. Some series might be ongoing and will therefore be disposed of in increments.
Volume. The quantity of records in each record series is usually expressed in terms of
cubic feet. A cubic foot is one standard records storage carton or its equivalent (see Part
III -C Final Disposition of Public Records, for a conversion chart to cubic foot
measurements). Ongoing record series will increase in quantity over time. Because
records storage space requirements can be considerable, an agency can realize significant
savings by identifying and destroying records that have met their retention requirements.
Space -savings often is the first benefit realized through the operation of an effective
records management program.
Retention. If a retention schedule is already approved, the retention requirement(s) should
be noted on the inventory form. If no retention schedule exists for the record series, note
the time period that the record series is administratively active and start the process of
establishing a retention schedule for the records (see Part III -B Retention of Public
Records: Retention Schedules).
Vital Records. The inventory should indicate whether each record series is considered a
vital record in your agency. Vital records are those that are essential to the continuation of
operations in an agency in the event of a disaster or emergency.
Once this information has been compiled for each record series, the basic information of
the inventory has been completed. The next two sections of the handbook will illustrate
how this data can be used.
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A records retention schedule describes a record series and sets a MINIMUM period of
time for which the records must be retained before final disposition of the records can be
made. Every record series must have an approved retention schedule in place before
records from that series can be destroyed or otherwise disposed of. Retention and
disposition requirements stated in records retention schedules are based upon the
administrative, legal, fiscal, and historical values of each record series.
There are two types of retention schedules: General Records Schedules and Individual
Records Schedules. General Records Schedules establish retention requirements for
records common to several or all government agencies, while Individual Records
Schedules establish retention requirements for records that are unique to particular
agencies.
All of these retention schedules establish the MINIMUM length of time a record series
must be maintained. Retention schedules do not tell you when you must dispose of
records; they tell you how long you must retain records before you can dispose of them.
Agencies have the discretion to retain records beyond the minimum retention requirements
if needed for administrative, legal, or other purposes. We highly recommend that agencies
dispose of records that have met their retention requirements and are no longer needed, and
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
that agencies specify in their records management policies if, as a matter of practice, the
agency will retain certain records for a period of time beyond the minimum. Adhering to
formalized, consistent records management practices will benefit your agency in the event
of litigation.
We also recommend that different record series not be interfiled or boxed together.
However, if two or more record series listed in the retention schedules are filed together in
your agency, the combined file must be retained through the longest established retention
period of those record series.
(1) General Records Schedules establish retention requirements for records documenting
administrative and program functions common to several or all government agencies, such
as personnel, accounting, purchasing, and general administration. General records
schedules can cover up to 75-80 percent of an agency's record series.
The General Records Schedule GSI -SL for State and Local Government Agencies can be
used by all Florida state and local agencies in determining their records retention
requirements.
Certain agencies can use other general records schedules in conjunction with the GSI -SL.
General records schedules have been established for groups of agencies conducting
equivalent functions. For example, General Records Schedule GS5 for Universities and
Community Colleges establishes retention requirements for program records unique to the
functions and activities of those types of institutions; General Records Schedule GS9 for
State Attorneys establishes retention requirements for program records unique to state
attorneys' offices; and General Records Schedule GSI 2 for Property Appraisers
establishes retention requirements for program records unique to property appraisers'
offices. Please contact the Records Management Program to verify which General
Records Schedules are appropriate for use by your agency.
If a similar record series is listed in two general records schedules, the retention
requirements contained in the program schedule will usually take precedence. For
instance, if a record series is listed in both the GS 1 -SL and the GS2, law enforcement
agencies would usually abide by the retention requirements cited in the GS2. There are
exceptions, so please contact the Records Management Program to ensure that you are
using the correct schedule in the event of a conflict.
The following general records schedules are currently in effect for Florida government
agencies:
GS1-SL State and Local Government Agencies
GS2 Law Enforcement, Correctional Facilities, and District Medical Examiners
GS3 Election Records
GS4 Public Hospitals, Health Care Facilities and Medical Providers
GS5 Universities and Community Colleges
GS7 Public Schools Pre -K-12, Adult and Vocational/Technical
GS8 Fire Departments
GS9 State Attorneys
GS10 Public Defenders
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
GSI l
Clerics of Court
GS12
Property Appraisers
GS13
Tax Collectors
GS14
Public Utilities
GS15
Public Libraries
(2) Individual Records Schedules establish retention requirements for records that are
unique to particular agencies. These schedules are used for the 20-25 percent of an
agency's record series that are not covered by a general schedule.
To establish an Individual Records Schedule, an agency must submit a Request for
Records Retention Schedule (Form LS5E-105REff.2-09), to the Records Management
Program for review and approval. This "105" form is available on the Records
Management Web site at http://dlis.dos.state.fl.us/recordsmgmt/publications.cfin and can
also be obtained by completing the order form in Appendix A and mailing or faxing it to
the Records Management Program.
Each Request for Records Retention Schedule form should be used to schedule one record
series. The accurate completion of the form requires that agency personnel responsible for
creating and maintaining that record series analyze and evaluate the content, purpose, and
use of the records. Based upon this analysis, agency records management personnel
,,.develop a record series description and an initial recommendation of the MINIMUM time
period that the record series must be kept before disposition can be authorized. Once the
agency submits the proposed retention schedule to the Records Management Program,
records analysts and archivists in the Program review and analyze the proposed schedule
and conduct research in the Florida Statutes, administrative rules, operating procedures,
applicable federal regulations, and other such sources to make a final determination of
retention requirements for each record series.
Once a retention schedule has been established for a record series, the records are eligible
for disposal action when they have met their retention requirements. The schedule remains
effective until there is a change in series content or other factors are introduced that would
affect the retention period, at which time a new individual records schedule should be
submitted for approval. If a new general records schedule is later established that requires
an equal or longer retention period for the same records, that general records schedule
supersedes the individual records retention schedule.
In addition to establishing reasonable and appropriate minimum retention requirements for
each record series, the scheduling process, involving both agency personnel and analysts
and archivists in the Records Management Program, serves the following objectives:
® To describe the use and function of the records series;
® To summarize important characteristics of the records series;
® To identify records of permanent/archival value;
® To assist in identifying vital records;
® To identify preservation issues;
® To identify regulatory or statutory retention requirements; and
® To assist in identifying reformatting needs.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Completing the Request for Records Retention Schedule Form LS5E-105REff.2-09
STEP 1. NEW OR EXISTING SCHEDULE
In the upper right corner of the page, indicate if the proposed schedule is a new schedule or
a revision to an existing schedule. If a revision to an existing schedule, indicate the
existing schedule number.
STEP 2. AGENCYINFORMATION
In the numbered spaces 1-3, identify the agency, the custodian of the record series (name
and telephone number), and the contact person or RMLO (name, telephone number, e-
mail, and mailing address). The contact person should be the individual most familiar with
the record series being scheduled and is often the person completing the form.
STEP 3. RECORD SERIES INFORMATION
In Space 4, enter the title of the record series. The title should be a brief phrase
summarizing the form, function, and/or subject of the records without using agency jargon
or abbreviations (see above under Inventory Procedures).
In Space 5, enter a description of the record series indicating the purpose and use of the
records, the type(s) of information or subject matter the records contain, if the record series
is considered a vital record in your agency (vital records are those that are essential to the
continuation of operations in an agency in the event of a disaster or emergency), and any
other information that would enable someone not familiar with the record series to identify
it and understand its contents and use.
In Space 6, indicate the primary purpose of the record series:
® Administrative value reflects use for general office operations and activities.
® 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; or the records are significant documentation of the legal rights or
responsibilities of government or citizens.
® Fiscal value indicates that the records are needed for financial audit and/or to
document financial transactions of the agency such as budgets, payrolls,
procurements, or payments.
Also in Space 6, indicate if the record series is subject to audit in your agency. Agencies
need to be aware of any audit requirements relating to such records. Audits are the means
by which independent parties examine and render opinions on financial reporting, control
adequacy, or compliance with imposed requirements. Financial audits examine the
financial records and statements of an agency or program to determine if those records are
accurate and complete. Performance audits examine the economy and efficiency and/or
effectiveness of applicable programs, activities, or functions. Operational audits evaluate
management's performance in administering assigned responsibilities in accordance with
applicable laws, administrative rules, and other guidelines to ensure compliance, economic
16
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
and efficient operations, reliability of financial records and reports, and safeguarding of
assets.
The Records Management Program does not track or maintain information on which audits
apply to which records in which agencies. Different agencies are subject to different types
of audits at different times, and each agency is responsible for knowing what audits might
be conducted and retaining needed records for that purpose. For instance, some agencies
might be subject to the Federal Single Audit, while others are not. In general, any records
relating to finances or financial transactions might be subject to audit.
Audits may be conducted by the Florida Auditor General, independent public accountants,
or other state or federal auditors, as well as grant funding agencies and national or
statewide professional accreditation or certification groups. Your finance office, your legal
office, and the Auditor General's Office are good sources of information as to which
specific records of your department should be retained for audit purposes.
Finally in Space 6, list and/or attach copies of any applicable local, state, or federal
statutes, rules, regulations, ordinances, policies, etc., relating to creation or retention of the
records. Reference to specific sections of statutes or rules will expedite the Records
Management Program's review and approval of your retention schedule and will serve as
supporting documentation should your agency's authority to dispose of the records ever be
questioned.
STEP 4. RECOMMENDED RETENTION PERIOD
In Space 7, indicate your agency's recommended retention for both the record (master)
copy and for duplicates, based on your familiarity with the record series and its function in
your office. This should be the MINIMUM length of time the record series must be
retained to meet all administrative, legal, and fiscal requirements (as discussed above)
before it is eligible for disposition. A fourth value, historical/archival value, will be
reviewed and evaluated by the State Archives staff in consultation with your agency.
The recommended retention is for the information contained in the records, regardless of
whether the records are kept in paper, electronic, microfilm, or some other format.
Retention is based on the nature, content, and purpose of the records and not their physical
format.
STEP S. AUTHORIZATION
Space 8 is for the signature of the records custodian or their designee. This person might
be the RMLO or some other person with authority to approve disposition of the agency's
records. The form will not be processed without this signed authorization.
STEP 6. OFFICIAL RECORDS RETENTION SCHEDULE
When you submit your Request for Records Retention Schedule (Form LS5E-105REff.2-
09) to the Records Management Program, a records analyst will review the submitted
information and the recommended retention schedule for compliance with legal
requirements and/or any administrative or fiscal value the records might have. The analyst
will also review established retention schedules for similar records from other agencies for
consistency with existing retention practices. In many cases, the analyst will contact the
agency for additional information or clarification.
17
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
An archivist from the State Archives will then review the schedule to determine if the
records might have long-term historical or archival value. This helps to ensure the
preservation of significant and unique records documenting the operation of government
and the history of Florida and Floridians and thereby to protect the rights and interests of
the citizens of the state. If the records are determined to be archival or potentially archival,
the descriptive language will indicate this in the final, approved retention schedule. In the
event that state government records are of archival value, the records should be transferred
to the State Archives of Florida once all retention requirements have been met. Local
government records having archival value may be transferred to local government
historical records repositories or loaned to other local historical records repositories for
preservation, provided they are maintained under the public records access provisions of
Chapter 119, F.S. Only about three percent or less of an agency's records are generally
targeted for transfer to an archives.
Finally, the analyst will complete the official retention schedule, including the final record
series title, description, and retention requirements, and authorized staff and managers will
sign the schedule. The Records Management Program will retain the original schedule and
will return a copy to the originating agency.
Should the analyst determine that the records covered by the requested schedule are
already covered under an existing retention schedule, or should the analyst be unable to get
sufficient explanatory information or justification for the schedule from the originating
agency, the analyst will disapprove the request and will return a copy of the disapproved
request to the agency.
Questions regarding the completion of the Request for Records Retention Schedule (Form
LS5E-105REff.2.09) should be addressed to the Records Management Program at
850.245.6750 or recmgtndos.state.fl.us.
...c.', ..>. e .. #.r, ri'•i v h..,, P , t?*., &.. xg. ��...� ,.�,.
Section 257.36(6), F.S. 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 (see Section 119.07, F.S.), must be
covered by a retention schedule before disposition can occur. Agencies must first identify
an appropriate current records retention schedule (either a general schedule or an
individual schedule) or create and receive approval for a new records retention schedule
before disposing of any record series.
NOTE: Internal agency documentation required for records dispositions is
discussed below. The past requirement to request Division approval for each
disposition of records was discontinued as of February 20, 2001.
18
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
(1) records Disposition Documentation
There are two general requirements for disposing of public records: 1) You must ensure
that the records have met all retention requirements; knowledge of disposal eligibility is
the responsibility of the agency; and 2) you must document internally the disposition of
any public records in your custody, per Rule 1B -24.003(9)(d), Florida Administrative
Code, which requires that:
Prior to records disposition, agencies must ensure that all retention requirements
have been satisfied. For each record series being disposed of, agencies shall
identify and document the following:
1. Records retention schedule number,-
2.
umber;2. Item number;
3. Record series title;
4. Inclusive dates of the records;
S. Volume in cubic feet for paper records; for electronic records, record the
number of bytes and/or records andlor files if known, or indicate that the
disposed records were in electronic form; and
6. Disposition action (manner of disposition) and date.
Agencies are not required to document the disposition of records with a retention
of "Retain until obsolete, superseded or administrative value is lost" (OSA) except
for records that have been microfilmed or scanned as part of a retrospective
conversion project in accordance with Rules IB -26.0021 or 1B-26.003, EA. C.,
where the microfilm or electronic version will serve as the record (master) copy.
Your agency's internal documentation of the disposition of public records can be done
using the Records Disposition Document available on the Records Management Program
Web site at hq://dlis.dos.state.fl.us/recoi-dsmamt/Tublications.cfm or by using any form of
documentation that is convenient for you and that ensures that you maintain the required
information.
a) Distinguishing between the different types of retention period requirements
When trying to determine when records are eligible for disposition, you need to be aware
of the different types of retention requirements. For instance, records with a retention of
"3 anniversary years" will have a different eligibility date from records with a retention of
"3 fiscal years" or "3 calendar years."
® Anniversary year — from a specific date
Example: 3 anniversary years
If a record has a "3 anniversary years" retention, the eligibility date would be 3
years after the ending date of the record series.
Calendar year — January 1St through December 31St
Example: 3 calendar years
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
If a record has a "3 calendar years" retention, the eligibility date would be 3 years
after the end of the calendar year of the last record in the series.
® Fiscal year
Example: 3 fiscal years
° state government agencies, school districts — July 1St through June 30th
° local government agencies —October 1St through September 30th
If a record has a "3 fiscal years" retention, the eligibility date would be 3 years after
the end of the fiscal year of the last record in the series.
® 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 disposition whenever it is no longer of any
use or value to the agency. The retention could vary from less than one day to any
length of time thereafter.
® Triggering event — Records become eligible for disposition upon or after a specific
triggering event. Examples:
Retain until youth turns age 25.
Retain for life of the structure.
3 anniversary years after final action.
Calculating Eligibility Dates
Example: Let's say that the ending date for a specific record series is 7/31/2007. When
are these records eligible for disposition under different retention period types?
Retention Period
Date to start
counting
Add # of
ears
Date eligible for
disposition
3 anniversary ears
7/31/2007
+3
= 7/31/2010
3 fiscal years localgovt.)
10/1/2007
+3
= 10/1/2010
3 fiscal years school district
7/1/2008
+3
= 7/1/2011
3 calendar years
1/1/2008
+3
= 1/1/2011
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.
20
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
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.
16mm microfilm, 100 rolls
1.0 cu. ft.
35mm microfilm, 50 rolls
1.0 cu. ft.
(I roll of microfilm contains approximately 1.0 cu. ft. of records)
To calculate the cubic foot volume of a container, use the following formula:
Length x Width x Height (in inches) = c.f.
1,728
(2) Factors That Might 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, or when an agency can reasonably anticipate that
litigation might occur, records related to that cause should NOT be disposed of in
any manner. Your agency's legal counsel should inform the RMLO and/or records
custodian(s) when the records become eligible for disposition.
b) Public Records Requests — According to Section I I9.07(1)(h), 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 or copy the record was served on or otherwise
made to the custodian. If a civil action is instituted within the 30 -day period to
enforce the provisions of this section with respect to the requested record, the
custodian shall not dispose of the record except by order of a court of competent
jurisdiction after notice to all affected parties.
c) accreditation Standards — Some public agencies receive national or statewide
accreditation or certification by professional societies, organizations, and
associations. Examples may include the Joint Commission on the Accreditation of
Health Care Facilities, the American Hospital Association, and the Commission on
Office Laboratory Accreditation. In an effort to enhance the professionalism of
their members, these groups may place more stringent recordkeeping requirements
on public agencies than those mandated under state or federal law. Agencies may
therefore choose to maintain their records for a longer period of time than required
by records retention schedules in order to meet recordkeeping requirements for
accreditation. However, if a professional society requires a shorter retention period
than that required in an approved retention schedule, the retention period in the
approved retention schedule prevails.
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
d) Records in Support of Financial or Performance Audits — These records should
be retained in accordance with the following guidelines provided by the Florida
Office of the Auditor General:
Records must be retained for at least three fiscal years (most financial
records must be retained for a minimum of five fiscal years in accordance
with guidelines of the Department of Financial Services and the Office of
the Auditor General). If subject to the Federal Single Audit (pursuant to
31 USC, Section 7502, and OMB Circular A-133, Audits of States,
Local Governments, and Mon -Profit Organizations, Subpart E) or
other federal audit or reporting requirements, records must be
maintained for the longer of the stated retention period or three years
after the release date of the applicable Federal Single Audit or
completion of other federal audit or reporting requirements. Finally, if
any other audit, litigation, claim, negotiation, or other action involving the
records has been started before the expiration of the retention period and the
disposition of the records, the records must be retained until completion of
the action and resolution of all issues which arise from it. However, in no
case can such records be disposed of before the three fiscal year minimum.
The Records Management Program does not track or maintain information on
which audits apply to which records in which agencies. Different agencies are
subject to different types of audits at different times, and each agency is responsible
for knowing what audits might be conducted and retaining needed records for that
purpose. For instance, some agencies might be subject to the Federal Single Audit,
while others are not. In general, any records relating to finances or financial
transactions might be subject to audit.
Audits may be conducted by the Florida Auditor General, independent public
accountants, or other state or federal auditors, as well as grant funding agencies and
national or statewide professional accreditation or certification groups. Your
finance office, your legal office, and the Auditor General's Office are good sources
of information as to which specific records of your department should be retained
for audit purposes.
e) Federal, state, or local laws and regulations regarding recordkeeping and records
retention for specific agencies or specific types of records might require a longer
retention than indicated in general records schedules. Agencies should be aware of
all laws and regulations relating to their records and recordkeeping requirements
and should submit a Request for Records Retention Schedule (Form LS5E-
105REff.2-09) when such requirements are not already reflected in existing
retention schedules.
(3) Final Disposition of Records
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
22
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
transfers records to a public historical records repository, then the custody of those records
becomes the responsibility of the agency to which the records are transferred. However, if
a private historical society requests a loan of certain records, the agency may loan the
records but is still the legally responsible custodian of those public records and is therefore
not transferring, or disposing of, the records.
Physical destruction of public records should be in accordance with the guidelines set forth
in Rule 1B-24.003(10), Florida Administrative Code, which reads as follows:
Agencies shall ensure that all destruction of records is conducted in a manner that
safeguards the interests of the state and the safety, security, and privacy of
individuals. In destroying records containing information that is confidential or
exempt from disclosure, agencies shall employ destruction methods that prevent
unauthorized access to or use of the information and ensure that the information
cannot practicably be read, reconstructed, or recovered. The agency shall spec
,the manner of destruction of such records when documenting disposition. Where
possible, recycling following destruction is encouraged.
(a) For paper records containing information that is confidential or exempt from
disclosure, appropriate destruction methods include burning in an industrial
incineration facility, pulping, pulverizing, shredding, or macerating. High wet
strength paper, paper mylar, durable -medium paper substitute, or similar water
repellent papers are not sufficiently destroyed by pulping and require other
methods such as shredding or burning.
(b) For electronic records containing information that is confidential or exempt
from disclosure, appropriate destruction methods include physical destruction of
storage media such as by shredding, crushing, or incineration; high-level
overwriting that renders the data unrecoverable; or degaussing/demagnetizing.
(c) For other non paper media containing information that is confidential or
exempt from disclosure, such as audio tape, video tape, microforms, photographic
films, etc., appropriate destruction methods include pulverizing, shredding, and
chemical decomposition/recycling.
(d) Agencies shall not bury confidential or exempt records since burying does not
ensure complete destruction or unauthorized access.
(4) Records Disposition Compliance Statement and RMLO Designation
Once a year, each agency should receive from the Records Management Program a
Records Management Compliance Statement form on which the agency must indicate its
compliance with records management laws and rules and provide updated agency and
RMLO information. Your agency should complete and return the form promptly, as
compliance data from all agencies is compiled and submitted annually in a report to the
Governor and Legislature.
23
4 .
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Compliance reporting is in accordance with Rule 1B-24.003(11) and (12), Florida
Administrative Code, which requires that "Each agency shall submit to the Division, once a
year, a signed statement attesting to the agency's compliance with records management
laws, rules, and procedures... The Division shall compile an annual summary of agency
records scheduling and disposition activities to inform the Governor and the Legislature
regarding statewide records management practices and program compliance."
If your agency does not receive a Records Management Compliance Statement by the end
of November each year and a parent agency is not reporting for you (for instance, a city
police department being reported by the city), please contact the Records Management
Program.
o Y10
Developing and adhering to a formal, written records management policy is the best way to
ensure that records management requirements are met in a consistent, effective, and
efficient manner. A formal records management policy will help to minimize your
agency's vulnerability to potential public records litigation and is also a useful tool in
training new employees. Agencies should therefore work closely with their legal office in
developing their records management policies.
The following are some common components of a records management policy. The
Department of State's internal records management policy is provided in Appendix D as an
example. The specific components or information included in any agency's policy will
depend on the needs and circumstances of that particular agency.
Introductory matter. Indicate the overall state, county, and/or municipal policy objectives
that the records management policy is intended to achieve and the legal authority (statutes,
administrative rules, county or municipal ordinances, etc.) that drives those policies.
Indicate how the agency's internal administrative policies support those state, county,
and/or municipal policies. Note the specific purpose for implementing the policy and its
scope of coverage, including to whom the policy does or does not apply.
Definitions. Define key terms to ensure that all employees and others who read and use
the policy have the same understanding of the terminology used in the policy.
Agency authority and responsibility. Indicate where in the agency's organizational
structure the records management program and the designated RMLO are located. As a
best practice and to increase the chances for success, the records management
responsibility should be placed at a senior level or report to a senior manager. Note which
office or position is designated as the legal custodian of public records for specific program
areas or for the agency as a whole.
Inventory procedures. Outline procedures for developing or maintaining an inventory or
equivalent method of maintaining current information on the agency's public records,
including those designated as vital records.
24
. • •
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Filing and storage. Indicate how the agency organizes and files records for efficient
retrieval, including protection of and access to vital records.
Record copy designation. Indicate which office or position maintains the record copy of
specified records when copies are distributed to other offices.
Retention. Note which retention schedules apply to the agency's records (general
schedules and/or individual agency retention schedules) and where staff can consult those
retention schedules to ensure that records are retained for the required period of time. Also
note if it is the agency's policy to retain certain records for a period beyond the minimum
retention period and the justification for doing so.
Disposition. Indicate who is responsible for conducting disposition of public records,
including methods of physical destruction of records that have satisfied all retention
requirements and are no longer needed as well as transfer of records having archival value
(see Part V, Archives and. Archival Records) to an appropriate public historical records
repository or otherwise ensuring the preservation of archival records. Specify the agency's
disposition documentation procedures.
Legal holds. Indicate the agency's procedures for placing and lifting legal holds on
records relating to current or potential litigation to ensure that such records are not
disposed of until any such litigation or threat of litigation is resolved.
Electronic records. Note how the agency integrates management of electronic records,
including e-mail and other "born digital" records, into its overall records management
program and procedures.
Public records requests. Indicate the agency's overall policy and specific procedures for
responding to requests for public records. Note timeframes for responding to requests;
methods of accepting payment for copies; formulas for calculating any extensive use fees
as authorized by Section 119.07(4)(d), F.S.; procedures for ensuring the protection of
information that is statutorily confidential and/or exempt from public disclosure, including
redaction procedures; times and conditions for inspection of records; and any other related
procedures.
25
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
The Division of Library and Information Services has a Records Management Web site at
http://dlis.dos.state.fl.us/RecordsManagers providing general information, guidance, and
resources regarding Florida public records. The Web site includes complete general
records schedules as well as information about retention scheduling and disposition,
RMLOs, applicable statutes and rules, disaster recovery, and training opportunities.
The Division also produces handbooks providing additional information on records
management topics. These handbooks and other publications and forms are available on
the Records Management Web site. For those lacking Internet access, an order form is
included in Appendix A. Available handbooks include:
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
26
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
�Rf.N>CUF,C ANP ARCNiUA ..`RFCORE
Archival records are records selected for permanent preservation because they have been
determined to have permanent or enduring value. Archival records are often referred to as
historical records, but their value can be historical, administrative, legal, or financial. An
archives is the agency responsible for collecting, preserving, and malting available records
determined to have archival value. "Archives" also refers to the building in which an
archival institution is housed.
Archival records are an invaluable source of information on the history and development
of the state, its government, and the lives of its citizens. Archival records document our
personal lives, our businesses and professions, our government, our environment, and our
society and culture. Historical records need to be preserved because our government is
obligated 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 programs and functions of government, to prove ownership of
property, and to document family history. Archival records document and therefore
protect our rights and privileges as citizens and the responsibilities, duties, and limitations
of our government.
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 identified and managed in the
office and that, through the scheduling and disposition process, archival records are
preserved. Archivists in the Division of Library and Information Services review retention
schedules and State Records Center disposition notices for records of archival value.
Agencies are notified if records stored in the State Records Center are determined to have
archival value.
When archivists appraise records to determine archival value, they consider a number of
factors in addition to age and format. Records and information being created today can
have archival value equal to that of records created over 100 years ago. Information
maintained electronically can have archival value equal to that of records on paper or
bound in a volume. The characteristics of records that justify their continued retention as
archives include such values as:
® Evidential value — the value of the evidence records provide of the origins,
structure, functions, and operations of the agency that created them
® Informational value — the research or reference value of the information contained
in the records
Financial, legal, and administrative value — the value of the records for the conduct
of current and future agency business
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FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
® Intrinsic value — value of records deriving from their association with a historical
event or person or their unique physical format
The State Archives of Florida, a program of the Division of Library and Information
Services, serves as the central repository for the archives of state government. In the
broadest sense, the purpose of the State Archives of Florida is to preserve and make
available the permanent public and private records in its custody. The Archives' specific
mandate in Section 257.35, F.S., authorizes the State Archives of Florida, Division of
Library and Information Services, to collect, preserve, and make available for research the
historically significant public records of the state, as well as private manuscripts, local
government records, photographs, and other materials that complement the official state
records. The Division is also empowered to direct and effect the transfer to the Archives
of any records determined by the Division to have historical value such as to warrant their
continued preservation or protection, unless the head of the agency that 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 State Archives of Florida is vested in the Division.
Public records in the State Archives are available to the public and the creating agency in
accordance with Florida Statutes.
All public records transferred to the State Archives of Florida must be properly scheduled
through the Records Management Program as described above. Once the scheduling
process is complete, state agencies should contact the State Archives staff (850.245.6750)
for instructions and assistance in completing a transfer, including types of storage boxes to
use, packing and labeling the boxes, and documenting the records transfer.
Some local government agencies and jurisdictions also have formal archives programs.
Local government archival records reflect and touch the lives of most citizens. Such
records may document property ownership, birth, death, marriage, school attendance,
work, and many other aspects of our lives. The valuable information they contain must be
not only preserved but made available for people to use. There are many avenues a local
government can take to preserve and make available its archival records; not all 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 authorizing the operation of a records management and
archives program. This demonstrates the local government's commitment to preserving its
historical records and emphasizes the importance of this activity to managers, employees,
and the public. There are several options a local government might consider when
planning to care for its archival records. Governments can:
Include the identification, preservation, and availability of archival records as a part
of the government's overall recordkeeping process. This option requires the
records custodian(s) 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
28
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
with few archival records, such as school boards, and is economical in that office
staff and facilities are used to maintain the records.
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
RMLO or another individual can be given the archives responsibility and can serve
as the point of contact for researchers using the records. This option should include
provisions for a proper storage environment for the archival records.
® 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.
® Create a multi -government archival program where several local agencies or
jurisdictions pool their resources to preserve and make available local historical
records. For example, the county Clerk of Court, Board of County Commissioners,
and School Board could work together to form one archival program documenting
the county's history, or a city and county could form a cooperative archives
program.
Local governments interested in establishing an archives program are encouraged to
contact the Division of Library and Information Services for assistance. The Division can
provide technical assistance and training in all areas of archives management including
program establishment, records identification and selection, access and public programs,
general preservation principles, and program assessment.
29
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
7�SA
Active Records: Records that still have sufficient administrative, fiscal, legal, or historical
value to warrant their continued storage in an easily accessible area (e.g., office area).
Agency: "[A]ny state, county, or municipal officer, department, district, division, board,
bureau, commission or other separate unit of government created or established by law."
(Rule 1B -24.001(3)(a), F.A.C.)
Appraisal: The process of determining the value and thus the disposition of records based
upon their current administrative, legal, and fiscal use; their long-term evidential and
informational or research value; their arrangement; and their relationship to other records.
Archives: An organization dedicated to the preservation of records deemed to have
enduring historical significance. Usually an archives will accept, arrange, and preserve
such records according to approved archival practices. See also State Archives of Florida.
Custodian: "[T]he 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." (Rule 18-24.001(3)(b), F.A.C.)
Disaster Preparedness: Policies and procedures for preventing, responding to, and
assessing and recovering from the damage resulting from a natural or man-made disaster or
emergency situation, including the systematic identification of those records that are vital
to an agency's purpose and operations and a plan to protect such records. See also Vital
Records.
Disposition: "[F]inal actions taken with regard to public records that have met all retention
requirements and are no longer needed for current government business as indicated in
General Records Schedules or Records Retention Schedules. Disposition may include
either destruction of public records or transfer of public records to the custody of another
public agency such as the Florida State Archives or a local government archives or records
repository." (Rule 1B -24.001(3)(c), F.A.C.)
Division: "[T]he Division of Library and Information Services of the Department of
State." (Rule 1B -24.001(3)(d), EA. C)
Drafts: Materials that constitute precursors of public records, have not been communicated
or circulated for review or comment, and are not in themselves intended as final evidence
of the knowledge to be recorded. Information in a preliminary form that is not intended to
perpetuate, communicate, or formalize knowledge of some type and that is fully
represented in the final product is a "draft" and not a "public record."
Duplicate (or Convenience) Records: Reproductions of record (master) copies, prepared
simultaneously or separately, which are designated as not being the official copy.
30
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Electronic Records: "[A]ny information that is recorded in machine readable form."
(Rule IB -24.001(3)(e), F.A.C.; Rule 1B -26.003(5)(e), F.A.C.)
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 facilitate appropriate disposition.
Florida State Archives: See State Archives of Florida.
General Records Schedules: "[R]etention requirements established by the Division for
public records common to all agencies or specified types of agencies within the State of
Florida indicating the minimum time such records must be kept." (Rule 1B -24.001(3)(g),
EA. C) See Appendix A for a complete list of Florida's general records schedules and
information on obtaining them.
Inactive Records: Records that have lost some of their value or have been superseded by
new records but have not yet met all of their retention requirements. These records can be
stored off-site until final disposition. Sometimes referred to as "semi -active records."
Intermediate Files/Processing Files: "[T]emporary electronic files used to create, correct,
reorganize, update, or derive output from master data files. Intermediate files are
precursors of public records, and are not, in themselves, public records which must be
retained. Intermediate files 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 ..." (Rule IB -24.001(3)(h),
F.A. C.)
Public Records: "[A]ll 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."
(Section 119.011(12), F.S.)
Record (Master) Copy: "[P]ublic records specifically designated by the custodian as the
official record." (Rule 1B-24.001(3)0), EA. C.)
Record Series: "[A] group of related public records arranged under a single filing
arrangement or kept together as a unit (physically or intellectually) because they consist of
the same form, relate to the same subject or function, result from the same activity,
document a specific type of transaction, or have some other relationship arising from their
creation, receipt, or use. A record series might contain records in a variety of forms and
formats that document a particular program, function, or activity of the agency." (Rule 113-
24.001(3)(k), EA. C.)
Records Center: A facility especially designed and constructed for the low-cost and
efficient storage and furnishing of reference service on inactive records pending their final
disposition.
31
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Records Inventory: The systematic categorization of records in an agency conducted to
develop or identify appropriate retention schedules for the agency's records.
Records Management: The application of systematic and scientific controls to recorded
information required in the operation of an agency's business. Records management seeks
to manage and control records throughout their life cycle, from their creation, distribution,
filing, and use through their final disposition, whether by destruction or permanent
retention.
Records Management Liaison Officer (RMLO): The individual designated by the
agency who serves as a contact person to the Division and is assigned records management
responsibilities by the Custodian.
Records Retention Schedule: "[R]etention requirements established by the Division for
public records held by a specified agency within the State of Florida indicating the
minimum time such records must be kept." (Rule 1B-24.001(3)(1), EA. C) Agencies can
initiate the process by submitting to the Division. a Request for Records Retention
Schedule, Form LS5E-105REff.2-09.
Retention Period: The minimum period of time for which a record series must be retained
before final disposition, based upon the administrative, legal, fiscal, and historical values
of the record series. Retention values are determined by the nature, content, and purpose
of the record series and not by the physical format (paper, electronic, microfilm) in which
the series resides.
Semi -Active Records: See Inactive Records.
State Archives of Florida: "[T]he 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 transfer to its custody."
(Rule 113-24.001(3)(f), EA. C) See also Archives.
Supporting Documents: Public records assembled or created to be used in the preparation
of other records that are needed to trace or explain actions, steps, and decisions covered in
the final or record (master) copy.
Vital Records: Records that are essential to the operations of an agency and/or to
protecting the rights of individuals and that are needed in order to resume the critical
business of the agency after a disaster or emergency. Vital records should be identified as
part of a disaster preparedness program. See also Disaster Preparedness.
32
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
Appendix A
The publications and resources of Florida's Records Management Program are available on the records
management Web site at http://dlis.dos.state.fl.us/RecordsManagers. We recommend that you consult these
publications on the Web to ensure that you are working with the most current information. The Program does not
print or stock quantities of these resources to hold down expenses. However, if you are unable to access these
materials on the Web, we can provide you with individual copies. Please complete and mail or fax this form to:
State Library and Archives of Florida
Records Management Program
Mail Station 9A
Tallahassee, Florida 32399-0250
FAX: 850.245.6795
PLEASE CHECK THE ITEMS DESIRED
❑ GS1-SL, State and Local Government Agencies
❑ GS2, Law Enforcement, Correctional Facilities, and District Medical Examiners
❑ GS3, Election Records
❑ GS4, Public Hospitals, Health Care Facilities and Medical Providers
❑ GS5, Universities and Community Colleges
❑ GS7, Public Schools Pre -K-12, Adult and Vocational/Technical
❑ GS8, Fire Departments
❑ GS9, State Attorneys
❑ GS 10, Public Defenders
❑
GS 11, Clerks of Court
❑ GS 12, Property Appraisers
❑ GS 13, Tax Collectors
❑ GS 14, Public Utilities
❑
GS 15, Public Libraries
❑ Request for Records Retention Schedule (Form L S5E-I05REff.2-09)
❑ 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
❑ Chapter 119, F.S.- Public Records
❑ Chapter 257, F.S.- Public Libraries and State Archives
❑ Rule 113-24, F.A.C.- Public Records Scheduling and Disposition
❑ Rule 1B-26.0021, F.A.C.- Microfilm Standards
❑ Rule 1B-26.003, F.A.C.- Electronic Recordkeeping
Name/Title:
Agency:
Address:
33
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX B
Fillable Worksheet form in Word format available at
htt_p:Hdlis dos state.fl.us/recordsmgmt/publications.ef n
RECOMS INVENTORY WORKSHEET
Dtmen iISection
Co ntact
Tho ne No.
Looatio n of Records
Scheflu le No.
item No.
Room File
R+eeards Series Title
ft
e�i
Remo rd) File Title
Deseription(ConiEnts Purpose.andUse: Inoludi"form title and rjUri bers,ifany,
12 RezordCopy Duplicatacopy
FileType
Cut -Off Date
Arrangement
AuthorizationforSeries
Subject
Calendar'fear
Alpha:beticby
� Alphanumerichy
_
i a, statute
�t b, Regulations
CaserBusinessActiuity
Working Papers
Fiscal Year
Anniversary
�
hturneric by
, c. Administrative
Reference
Continuous
Chronniog.1cal by
(Citation)
Index
Gther
Other
Record Foran
94)2," x 99" paper (letter siae) 99 x 15" computer printouts
' ter
Com.puterdisks
� Compaetdises
8417, x94"paper {legal size, xS1)2"compuprintouts
Bound books.. catalogs Roll microfilm
Microfiche
Computer tap.esfeartndges
Video tapes
3" xS"Cards
3" x 67'Cards b'? other _
Fr
optioal discs:
Eie ctroni c Records F iling
a. What isthe naaneof'the system? t$
:b:. Who o'wns,the system
c. What operati ng system i s needed to retrieve and view f iles? �£ �
d.. y4h.atappJicationsoftvrare=is:neededtoret 6eve andview tile 0M E
e<. V�hatfs:thefilafdrmat? j.doc,.xls..tif;.rtF,ets.(��
f. What is currentageof neiisonwhichrec<ords,arestored?(9y�r,5y�ears,etc,�f��
g, How quickly is thisinformationusuallyrneeded?{r.vithinminutes.days, weeks etrjl�" xj
h.. Howoften isthisinforinationaccessed?idaiIy,Ns^eekiy,rMnth ly„etc:,r r?
L What husnes. activity dothese records supPort? �N�.
j. Are there any reoordsrelated tothese r'ezords? 51
k. Do you need rno re ass ista nz a with assessi rte these rrecc ords? �*
Current Holdings
Year Paper Electranc
y e `'tem Type Filing Equipment Used Quantity
jlna lusiue Dates] Cubic Feet count
'.: t' °u`,. 1
)
q ail R iU
Nam 2777— - _1.'
L � .g£
MEN—
ME
771
34
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX B
How active acre these recap rd rs?
€ Aa:tivve:(aacessed frequently; weekiy or lydme'diateirf}
Senii-actine(dcc-essedperiodically;m;i]nth l}8rf'c55 OftEii
Inactive. (no need to retain in the active office areal
Who a ses: these records?
1-:i
y ,,
f°lacean 'Vin the;prrperoolurnn (iftha.answeris"yes". please explain below.)
YES
NO
i. IsthisDepartment theofficialreoord holder?
2. Are. there e opies of this record series for Major portion of it) in this f. isparli@ en.t?
:3. Are there copies ofthisrecordseries for major. ortlonofit) inanother de aftent?
4. Doestbisrecordseriesa.ontaininformatxone T¢i tfram ublica ess?
"f
5, is there any 7. al requirementaffe.oting disposal ofthisrscoTd series?
f:. Doesthisrecord seriesoontain information subjecttorellulatory requirements?
a. Does this record ittol ..y1r uireiaients?`
& Doesthi:sre or'd seriescontaininfnrmation used inor subjeat �to audits?
t3 ;
.5, Isthisrecordseries needed because ofarchivalorhistoriointerest?
°l
10. Are these vital record s?
0i
Responses to Questions and Additional Comments
Retention
Recommended Retention
nve By
ROV!,vived By
Date
35
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX C
Please provide current information about your agency RMLO in the spaces below.
Agency Name:
RMLO Name:
RMLO E-mail Address:
RMLO Mailing Address:
Telephone Number:
Fax Number:
Authorizing Official Name:_
Authorizing Official Title:.
Authorizing Official Signature:
Date:
PLEASE RETURN TO:
State Library and Archives of Florida
Records Management Program
Mail Station 9A
Tallahassee, FL 32399-0250
Fax.: 850.245.6795
E-mail: recmgt ,dos. state. fl. us
36
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
1. Introduction
The records that Florida's state and local government agencies keep in the course
of carrying out their duties and responsibilities are public records. Public records
are different from records of businesses and private organizations because Florida
law requires public records to be readily accessible and available to the public upon
request. All employees must ensure that public records in their custody are
maintained and accessible as required by Florida law. Employees and agencies do
not have the authority to withhold records deemed "sensitive." The only records
that can be withheld from public disclosure are those specifically designated by the
Florida Statutes as confidential or exempt. This policy will provide employees
with the information necessary to understand and carry out their public records
responsibilities.
2. Purpose
The purpose of this policy is to provide Department of State employees with the
information and procedures necessary to understand and carry out their
responsibilities under the Florida Public Records Law, including:
a. The requirements for managing Department of State public records, and
b. The manner in which public records requests are to be processed to ensure
that responses to the requests are organized, inclusive, and in compliance
with applicable statutes and rules.
3. Sco e
This policy applies to all Department of State employees, as well as publicly
created advisory boards and private organizations (such as Citizen Support
Organizations), that have been delegated the authority to perform some
governmental function. This policy applies to all public records of the Department
of State, regardless of the medium in which they exist (i.e., paper, electronic, or
other).
4. Policy
It is the Department of State's policy to ensure that public records in the
Department's custody are maintained and managed as required by the Florida
Public Records Law. This law provides that all materials made or received by
Florida's state and local government agencies in connection with their official
business are public records.
37
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
It is also the policy of the Department of State to ensure that all public records in its
custody that are not exempt or confidential are open for inspection and copying by
any person, for any reason, at any reasonable time, under reasonable conditions, as
required by the Florida Public Records Law. Requested public records may not be
withheld for any reason, except if the record or a portion of the record is
specifically designated under law as confidential or exempt from public disclosure.
The Department of State places a high priority on efficient, effective, and
economical management of public records to ensure. that information is available
when and where it is needed, in an organized and efficient manner, and in an
appropriate environment.
5. Authority
a. Sections 257.36(5)(b) and (6), 119.07, 119.011(11), and 119.021, Florida
Statutes.
b. Rules 1-2.0031, I13-24, 113-26.003, and I13-26.0021, Florida Administrative
Code.
6. Definitions
a. "Confidential" means public records that have been identified in the Florida
Statutes as confidential. The information in these records is not subject to
inspection by the public and may be released only to the persons and
entities designated in the statute.
b. "Department of State Individual Records Schedules" means individual
retention schedules for records that are unique to the Department of State.
The Department of State individual records schedules are available on the
Department's Intranet at http://dosintraweb/index.litmi.
c. "Exempt" means public records that have been identified in Chapter 119 or
other applicable Florida Statutes as exempt from public disclosure.
d. "GSI -SL" means the General Records Schedule GSI -SL for State and
Local Government Agencies, which is available at
http•//dlis.dos.state.fl.us/recordsmg_mt/g_en records schedules.efm.
e. "Inactive Records" means records which have lost some of their value or
have been superseded by new records, but have not reached their specified
retention. Records that are referenced less than once per month are usually
considered inactive.
f. "Public record" as defined by section 119.011 (11), Florida Statutes, means
all documents, papers, letters, maps, books, tapes, photographs, films, sound
recordings, data processing software, or other material, regardless of the
38
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
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."
g. "Record (Master) Copy" as defined in Rule 1B -24.001(3)(i), Florida
Administrative Code, means the public records specifically: designated by
the custodian as the official record.
h. "Record Series" as defined in Pule 1B -24.001(3)(k), Florida Administrative
Code, 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.
7. Procedures
a. Records Management: Records management entails retention, storage,
disposition, and all other record-keeping requirements and practices that
support Department programs, activities, operations, and accomplishments
in order to best serve the public.
i. Organization and Maintenance:
1. Public records shall be organized, arranged, and maintained
using a filing or record-keeping system that:
® is appropriate to the nature, purpose, and use of the
records,
® can be easily understood by all users, and
® facilitates the location of and access to those records
by all users, when and where it is needed.
2. All records shall be stored on an appropriate media format to
ensure their preservation for the entire length of their
required retention.
3. Inactive records can be boxed until the applicable retention
period has been met. Records shall be boxed according to
the applicable records series to facilitate disposal of the
records in a timely manner.
ii. Inventory: Each division or office in the Department must maintain
a current inventory of all record series in their custody or control.
The inventory can be in any `format at the discretion of each division
39
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
or office, including, but not limited to, one of the following
methods:
1. Document each record series the office maintains in a
Microsoft Word document or Excel spreadsheet.
2. Highlight each applicable records series in the GSI -SL and
the individual records schedules.
iii. Records Retention Schedules: All records created and maintained by
the Department must have a records retention schedule approved by
the State Library and Archives of Florida, Information Resources
Management Section.
Many of the Department's public records are covered by the
General Records Schedule GSI -SL for State and Local Government
Agencies. The Division of Elections may also use the General
Records Schedule GS3 for Election Records. The State Library of
Florida may also use the General Records Schedule GSl S for Public
Libraries.
Any records not covered by general records schedules must have an
individual records retention schedule. To establish an individual
records retention schedule, contact the department Records
Management Liaison Officer or your division Records Coordinator
(see Section 8) for assistance.
iv. Disposition: Each division or office in the Department must
systematically dispose of public records that have met their retention
requirements and are no longer needed.
1. The record holder or custodian must properly document
disposition of these records. A records disposition document
form is available from the State Library and Archives of
Florida's Web site at
http://dlis.dos.state f us/index_RecordsManagers ccfm. The
Records Management Liaison Officer or Records
Coordinator must permanently retain the completed
disposition forms.
2. Records with retention of "retain until obsolete, superseded,
or administrative value is lost" (OSA) do not have to be
documented when disposed, except for records that have
been microfilmed or scanned where the microfilm or
electronic version will serve as the record copy.
:1
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
3. Records determined by the State Archives of Florida to have
archival value shall be transferred to the Archives in
accordance with Archives procedures.
b. Public Records Requests:
i. Request:
1. A public records request is a request to either inspect or
copy, or both, public records pursuant to Chapter 119,
Florida Statutes.
2. There is no requirement that the request be made in person or
in writing, or be in any particular form.
3. The person making the request is not required to identify
himself/herself, or to provide information about the reason
for the request or how the records will be used.
4. The request must be clear enough to enable the agency to
conduct a meaningful search. The agency may ask questions
about the request in order to respond to the request fully and
in a timely manner.
5. All requests should be directed to the appropriate division or
office, with one exception. Requests for Division of
Elections records should be directed to the Public
Information Office in the Office of the Secretary of State.
6. Reference requests to the State Archives of Florida are not
considered public records requests.
ii. Responding to the request:
1. Upon receipt of a request for public records by e-mail, the
Department shall send an acknowledgment of receipt of the
request to the requestor via e-mail within two business days.
(See sample at Attachment A.) For requests received by any
other means, an acknowledgment letter is necessary only if
the request cannot be fulfilled within two days.
2. The Department shall respond to all public records requests
in a reasonable time, taking into account the extent and
nature of the request. Within five business days of receipt of
the request, the Department must take one of the following
actions:
41
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
send an invoice with a cover letter to the requestor
outlining the fees as calculated by section 7.b.iii,
"Fees," and the total amount due. (See sample
invoice and letter at Attachment B.)
notify the requestor of estimated costs and request
payment in advance if the nature or volume of the
requested records will require extensive use of
information technology resources, extensive clerical
or supervisory assistance, or both, in addition to the
actual cost of duplication or production
® inform the requestor that the Department is working
on their request; give them an estimated time of
completion and advise them about any specific
circumstances affecting completion of the request
® inform the requestor that the requested materials do
not exist or are not in the custody of the Department
3. Upon receipt of payment, the Department shall provide the
requested materials. If for any reason the materials cannot
be provided within five business days, the Department shall
contact the requestor with an estimated time of completion.
4. Certified Copies of Public Records:
Certification Statement: When more than five pages
of certified copies are requested, a certification
statement may be used, instead of certifying each
page. In.this statement, which is a cover page for the
group of documents, the custodian certifies that the
copies provided are true and correct copies of the
originals. (See sample certification at Attachment C.)
® Page Certification: When each page of the record is
requested to be certified, the following statement
shall be typed on each page, either on the bottom or
on the back of the page, depending on where space is
available, and signed by the custodian of the records:
I, (insert name, title, and section), Florida Department
of State, hereby certify that this is a true and correct
copy of the record of the Florida Department of State.
Certified this (date) day of (month), (year).
Signature
42
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
The Department may not delay production of records.
Records must be produced within the time reasonably
required to identify, collect, and copy them for the requesting
party. The Department must make a good faith effort to
satisfy the request promptly, consistent with available
resources and other priorities.
6. The Public Records Law does not require the Department to
generate or create records not already in the Department's
custody in response to a public records request. Records that
are responsive to the public records request that are available
as of the date the request is fulfilled must be provided, even
if such records did not exist as of the date the request was
received.
7. Confidential or exempt records:
If the requested records are confidential or exempt
from public disclosure by statute, the records may not
be disclosed. The Department must inform the
requestor that the records are exempt from disclosure
and cite the applicable statute establishing the
exemption. (See sample letter at Attachment D.)
If only part of the record is confidential or exempt,
the Department must redact that information and
provide the remaining record to the requestor. The
most efficient method should be used to redact
information. One method of redacting is to black out
the exempt information on a copy of the original,
photocopying the marked copy, and providing the
final photocopy to the requestor. The marked copy
may be destroyed. Other methods are acceptable and
may be used as long as the confidential or exempt
information is not released to the requestor.
For questions or guidance regarding records exempt from
disclosure, contact the General Counsel's Office.
S. The office responding to the request shall maintain the
request, acknowledgment, response, invoice, materials
produced, or a record of what was produced; any related
correspondence; and receipt of payment.
9. The Department shall not dispose of requested records for a
period of 30 days after the date on which a request for the
records was made. This requirement is in addition to, and
43
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
does not lessen, the obligation of the Department to retain
records pursuant to the otherwise required records retention
schedules.
iii. Fees
1. Fees may be paid by cash, check, or money order made
payable to the Florida Department of State.
2. Copies or certified copies of records shall be furnished upon
payment of the fee prescribed by Section 119.07(4), Florida
Statutes:
® Up to 15 cents may be charged per one-sided copy of
not more than 14 inches by 81/2 inches.
® No more than an additional five cents may be
charged for each two-sided copy.
For all other copies, the actual cost of duplication
may be charged.
3. Certified copies of public records shall be furnished upon
payment of the fees listed below:
® Per page certification. A charge of $1 per page shall
be assessed for each individually certified page.
(Section 119.07(4), Florida Statutes)
® Certification statement. Charge of $5 for the
certification statement plus any fees for copies
calculated under section 2.
® The Division of Corporations shall furnish certified
copies in accordance with sections 608.452 and
620.1109, Florida Statutes.
4. The cost of mailing or shipping the requested material may
also be added if the requestor asks that the material be
delivered (instead of the requestor picking up the material in
person).
5. If the nature or volume of the public records requested to be
inspected or copied is such that it requires extensive use of
information technology resources or extensive clerical or
supervisory assistance by personnel, or both, in addition to
the actual cost of duplication, a special service charge may
M
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
be assessed. This charge shall be reasonable and shall be
based on the actual cost incurred for information technology
resources and/or the labor cost of the clerical and supervisory
personnel providing the service. (Section 119.07(4)(d),
Florida Statutes
Rule 1-2.0031, Florida Administrative Code, Public Records
Requests: ,Special Service Charge, provides:
"(1) When a public records request is of the nature
described in Section 119.07(4)(d), F.S., the following will
apply:
(a) The term "extensive " means more than 15 minutes
expended by personnel to complete all tasks defined in
paragraphs (b) and (c) below.
(b) The term "clerical or supervisory assistance "
includes searching for and or locating the requested record,
reviewing for statutorily exempt information, deletion of
statutorily exempt information, and preparing, copying and
re -filing of the requested record
(c) The term "use of information technology resources"
includes the setup and implementation of information
technology defined in Section 282.0041 (10), F.S.
(2) (a) The Department will determine which personnel are
appropriate to provide assistance in fulfilling the request.
The special service charge will be computed to the nearest
quarter of an hour exceeding 15 minutes based on the cost of
wages and benefits of the lowest paid personnel who, in the
discretion of the Department, has the necessary skill and
training to perform the request. The special service charge
shall be in addition to the duplication charge as provided in
Sections 119.07(4)(a) and (b), F.S., and will be assessed
regardless of the number of individual copies made. Payment
for special services shall also be imposed where extensive
use of personnel or information technology is necessary to
determine whether the public record exists or is exempt from
public disclosure.
(b) The requestor shall be required to pay any estimated
special service charges, as determined by the Department,
prior to personnel rendering such services. The Department
will refund to the requestor any monies deposited with the
45
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
Department in excess of the actual costs incurred to fulfill a
request, or, in the alternative, the requestor shall be required
to remit additional monies to pay for any costs in excess of
the deposit. In the event the requestor fails to remit
additional monies to cover costs in excess of the monies
deposited, the Department shall withhold releasing any
public records identified pursuant to that request until those
amounts are paid in full. "
6. The wa e expense portion of public records special service
charges shall be calculated based on the following
formulas 2:
Public Records Special Service Charge =
(Hourly Base Rate of Pay + Hourly Value of Benefits) X Number
of Hours Worked
Hourly Base Rate of Pay =
[Annual Base Rate of Pay (or Monthly Base Rate x 12 or
Biweekly Base Rate X 26)] /2080 Hours (# work hours per year)
Hourly Value of Benefits for Career Service and Select Exempt =
Hourly Base Rate of Pay X Benefit Factor
7. Upon receipt of payment, fees should be processed according
to the revenue receipt procedures of the division or
forwarded to the Support Services Administrator in the
Office of Support Services.
8. Notwithstanding what is stated herein, no charges will be
assessed against the requestor if the cost of production is less
than $5.00.
8. Records Management Liaison Officer and Records Coordinator
1 This charge is authorized by Section 11R.07(4)(d), Florida Statutes, and Department of
State Rule 1-2.0031(2)(a), Florida Administrative Code, which is entitled "Public Records
Requests: Special Service Charge."
2 The first two formulas (for calculation of hourly rates of pay) are derived from DMS Rule
60L-32.002, Florida Administrative Code, which is entitled "Computation of Hourly
Rate."
3 The benefit factor (in the third formula) is based on expenditures in the Department's
Salary and Benefits appropriation category, and is calculated by dividing the salary
expenditures by the benefit expenditures. This factor may be obtained from the
Department's Bureau of Planning, Budget and Financial Services.
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
The Department's Records Management Liaison Officer (RMLO) is designated by the
Secretary and serves as the department's contact for records management. In addition,
each division shall appoint a Records Coordinator who will be the RMLO's records
contact for that division. Address all questions, issues, or concerns relating to records
in the Department to the RMLO or Records Coordinator. Contact the Secretary of
State's Office or the applicable division director's office for current designations or
appointments.
9. Violation
Violation of this policy may result in disciplinary action, up to and including
termination of employment.
Approved by:
Secretary of State or Designee ---
47
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
Records Management and Public Records Request Policy
Attachment A
(Acknowledgement Letter — Use Agency Letterhead or send by e-mail)
(Date)
(Requestor's Name)
(Requestor's Address)
RE: Acknowledgement of Public Records Request
Dear (Insert name of requestor):
We have received your public records request. Your request will be processed in
accordance with the Florida Public Records Law. You will be advised as soon as possible
regarding estimated costs. Payment will be due in advance by cash, check, or money order
made payable to the Florida Department of State.
If you have any questions, you may contact me at (insert telephone number) or by e-mail at
(insert e-mail address).
Sincerely,
(Name)
(Title)
48
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
Records Management and Public Records Request Policy
Attachment B
(Invoice Cover Letter — Use Agency Letterhead)
(Date)
(Requestor's Name)
(Requestor)
RE: Public Records Request
Dear ("Insert name of requestor):
Please find enclosed an invoice for your public records request. Upon payment of the
invoice amount, we will provide you with copies of the records. Please make your check
or money order payable to the Florida Department of State and send it to
Please let me know if I may be of further assistance.
Sincerely,
(Name)
(Title)
Enclosure
49
y.,
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX D
Records Management and Public Records Request Policy
Attachment C
(Certification Statement -- Use Agency Letterhead)
I, (insert name, title, and section), Florida Department of State, hereby certify that the
attached are true and correct copies of (insert description ofpublic records, including the
number of pages), and that I am the official custodian of the records
CERTIFIED this (date) day of (month), (year).
(Insert name)
(Insert title)
(Insert sectionloffice and division)
Florida Department of State
51
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX E
The Government -in -the -Sunshine Manual, compiled annually by the Office of the
Attorney General, is a comprehensive guide to Florida's open government requirements
and responsibilities, including open meetings and public records. The Manual provides
answers to many of your questions regarding access to public records, including an
extensive list of exemptions from disclosure. To order a copy, 'contact the publisher at:
First Amendment Foundation
336 East College Avenue, Suite 101
Tallahassee, Florida 32301
Phone: 800.337.3518 (in Tallahassee: 850.222.3518)
Fax: 850.224.0435
http//www.floridafaf.org/
The "Breehner Report" is a monthly newsletter providing news and information
regarding public records, access, and freeJom of information issues. For more
information, contact the publisher at:
Brechner Center for levy edom of Information
Post Office Box 118400
3208 Weimer Hall
University of Florida
Gainesville, Florida 32611-8400
Phone: 352.392.2273
Fax: 352.392.9173
liftp:Hbrechner.org/repr.>rLasti
The Office of Open Government provides advice regarding public records access issues
to assure full and expeditious compliance with Florida's open government and public
records laws. For more information, wontact the Office of Open Government at:
ti
Office of Open Government
The Executive Office of the Governor
PL04 The Capitol
Tallahassee, Florida 32399
Phone 850.921.6099
http://www.flgov.com/o_g home
53
n V1
FLORIDA DEPARTMENT OF STATE
BASICS OF RECORDS MANAGEMENT HANDBOOK
APPENDIX F
ARMA International
(formerly the Association of Records Managers and Administrators, Inc.)
13725 West 109th Street, Suite 101
Lenexa, Kansas 66215
'Telephone: 913.341.3808 / Toll free 800.422.2762
Fax: 913.341.3742
http://www.arma.org/
National Association of Government Archives and Records Administrators (NAGARA)
90 State Street, Suite 1009
Albany, New Fork 12207
Telephone: 518.463.8644
Fax: 518.463.8656
http://www.nagara.org
Association for Information and Image Management (AIIM)
1100 Wayne Avenue, Suite 1100
Silver Spring, Maryland 20910
Telephone: 3 01.5 87.8202
Fax: 301.587.2711
ham://www.aiim.or /
Society of American Archivists (SAA)
17 North State Street, Suite 1425
Chicago, Illinois 60602-3315
Telephone: 312.606.0722 / Toll free 866.722.7858
Fax: 312.606.0728
I. 1lp,_//www.archivists.or /
Society of Florida Archivists (SFA)
Post Office Box 2746
Lakeland, Florida 33806-2746
hM- /,E)yw.florida-archivists.or /
Florida Records Management Association (FRMA)
Post Office Box 568542
Orlando, Florida 32856-8542
LgW./ www.frina.org/
54