CITY OF PHOENIX RECORDS MANAGEMENT AND E-PRIVACY

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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