Notice of Proposed Rule

DEPARTMENT OF STATE
Division of Library and Information Services
RULE NO: RULE TITLE
1B-24.001: General
1B-24.003: Records Retention Scheduling and Dispositioning
PURPOSE AND EFFECT: The purpose of this amendment is to update guidelines for scheduling and disposing of public records. Updated guidelines reflect current best practices in managing public records and ensuring their retention and secure disposition in accordance with public records provisions of Florida Statutes, Chapters 119 and 257.
SUMMARY: This amendment properly alphabetizes and clarifies existing definitions and adds or deletes definitions as needed; reorganizes certain sections to put like subjects together and provide better flow; clarifies requirements for disposition documentation; adds new language regarding methods of destruction; and provides improved language, grammar, and punctuation throughout.
SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS: No Statement of Estimated Regulatory Cost was prepared.
Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.
SPECIFIC AUTHORITY: 119.021(2)(a), 257.14, 257.35(7), 257.36(6) FS.
LAW IMPLEMENTED: 119.021(2)(b)-(d), 257.35, 257.36 FS.
IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE HELD AT THE DATE,TIME AND PLACE SHOWN BELOW(IF NOT REQUESTED, THIS HEARING WILL NOT BE HELD):
DATE AND TIME: Monday, December 8, 2008, 2:00 p.m.
PLACE: Conference Room 307, R. A. Gray Building, 500 S. Bronough Street, Tallahassee, FL 32399
Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 3 days before the workshop/meeting by contacting: Jim Berberich, Program Manager, Information Resources Management, (850)245-6750. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Jim Berberich, Program Manager, Information Resources Management, Division of Library and Information Services, M.S. 9A, Tallahassee, FL 32399-0250, phone (850)245-6750, e-mail jberberich@dos.state.fl.us

THE FULL TEXT OF THE PROPOSED RULE IS:

PUBLIC RECORDS SCHEDULING AND DISPOSITIONING

1B-24.001 General.

(1) This chapter establishes standards and procedures for the scheduling and dispositioning of public records to promote economical and efficient management of records and to ensure that records of archival value under an agency’s control are so designated and ultimately transferred to the Florida State Archives or to a local records office, archives, or historical records repository.

(2) Each agency in the State of Florida is responsible for complying with the provisions of this chapter.

(3) For the purpose of this chapter:

(a) “Agency” means any state, county, or municipal officer, department, district, division, board, bureau, commission or other separate unit of government created or established by law.

(b) “Custodian” means the elected or appointed state, county, district, or municipal officer charged with the responsibility of maintaining the office having public records, or his or her designee.

(c) “Disposition” means final 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. “Database Management System” means a set of software programs that controls the organization, storage, and retrieval of data (fields, records and files) in a database. The system also controls the security and integrity of the database.

(d) “Division” means the Division of Library and Information Services of the Department of State.

(e) “Electronic records” means any information that is recorded in machine readable form. “Florida State Archives” means the program maintained by the Division for the preservation of those public records and other papers that have been determined by the Division to have sufficient historical or other value to warrant their continued preservation by the State and which have been accepted by the Division for deposit in its custody.

(f) “General Records Schedules” means retention requirements issued by the Division to establish disposition standards for public records common to specified agencies within the State of Florida which state the minimum time such records are to be kept.  “Florida State Archives” means the program maintained by the Division for the preservation of those public records and other papers that have been determined by the Division to have sufficient historical or other value to warrant their continued preservation by the Sstate and which have been accepted by the Division for transfer to deposit in its custody.

(g) “Electronic Records” means any information that is recorded in machine readable form. “General Records Schedules” means retention requirements established issued by the Division to establish disposition standards for public records common to all agencies or specified types of agencies within the State of Florida indicating which state the minimum time such records must are to be kept.

(h) “Intermediate files” (processing files) are temporary 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 for the purposes of this chapter. “Public Records” are those as defined in section 119.011, Florida Statutes.

(i) “Record (Master) Copy” means public records specifically designated by the custodian as the official record. “Public rRecords” are those as defined in Section 119.011, Florida Statutes and include records that are designated by statute as confidential or exempt from public disclosure.

(j)(i) “Duplicate (or Convenience) Records” means reproductions of record (master) copies, prepared simultaneously or separately, which are designated as not being the official copy. “Record (mMaster) cCopy” means public records specifically designated by the custodian as the official record.

(k) “Record sSeries” means a group of related public records documents 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 certain common characteristics. A record series might contain records in a variety of forms and formats that document a particular program, function, or activity of the agency.

(l) “Records Retention Schedule” means retention 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 a standard approved by the Division for the agency’s orderly retention, transfer, or disposition of public records taking into consideration their legal, fiscal, historical, and administrative values.

(m) “Retrospective conversion project” means the bulk microfilm or digital reformatting of existing backfiles; it does not refer to day-to-day scanning of current items conducted as part of daily workflow. “Records Management Liaison Officer” means an individual designated by the agency that serves as a contact person to the Division and is assigned responsibilities by the Custodian.

(n) “Intermediate Records” (Processing Files) are temporary records used to create, correct, reorganize, update, or derive output from master data files. Intermediate records are precursors of public records, and are not, in themselves, public records which must be retained. Intermediate record only exist provided a final product is subsequently generated which perpetuates, communicates, or formalizes knowledge of some type. In the absence of such a final product, processing files constitute final evidence of the knowledge to be recorded and shall not be construed as intermediate files for the purposes of this chapter.

(o) “Supporting Documents” means public records assembled or created to be used in the preparation of other records which are needed to trace actions, steps, and decisions covered in the final or master record.

(p) “Drafts” are materials, which constitute precursors of governmental “records” and are not, in themselves, intended as final evidence of the knowledge to be recorded. Information in a form which is not intended to perpetuate, communicate, or formalize knowledge of some type and which is fully represented in the final product is a “draft” and not a “public record.”

Specific Authority 257.14, 257.35(7), 257.36(6) FS. Law Implemented 257.35, 257.36 FS. History–New 1-8-80, Formerly 1A-24.01, 1A-24.001, Repromulgated 3-23-93, Amended 2-20-01, __________.

 

1B-24.003 Records Retention Scheduling and Dispositioning.

(1) The Division issues General Records Schedules which establish minimum retention requirements for record series common to all agencies or specified types of agencies based on the legal, fiscal, administrative, and historical value of those record series to the agencies and to the State of Florida.

(2)(1) For each record series not covered by General Records Schedules established by the Division, each Each agency shall submit to the Division a request for a records retention schedule on Department of State Form LS5E-105REff.1-091, “Request for Records Retention Schedule” which is hereby incorporated by reference and made part of this rule, for all records series. A copy of Form LS5E-105REff.1-091, effective, January 20091, may be obtained from the Division of Library and Information Services Bureau of Archives and Records Management, Department of State, Mail Station 9A, The Capitol, Tallahassee, Florida 32399-0250, or from the Division’s Records Management Web site at http://dlis.dos.state.fl.us/RecordsManagers. This schedule shall be developed to reflect the legal, fiscal, historical and administrative requirements of the agency for each record series The schedule shall designate whether the series constitutes a record (master) copy or duplicate. Form LS5E-105REff.1-01 is to be signed by the custodian of the records, or his or her designee, and submitted to the Division for determination of official retention requirements.

(3) In completing Form LS5E-105REff.1-09, “Request for Records Retention Schedule,” the agency shall consider the legal, fiscal, administrative, and historical value of each record series to the agency and to the State of Florida. The custodian of the records or his or her designee shall sign the Form LS5E-105REff.1-09 and submit it to the Division for determination of official retention requirements.

(4)(2) Retention and scheduling of intermediate files are not feasible due to their transitory nature; therefore, and do not require submission of Form LS5E-105REff.1-091, “Request for Records Retention Schedule” is not required for intermediate files.

(5)(3) Each Request for Records Retention Schedule is shall be an analyzed by the Division in the context of the submitting agency’s statutory functions and authorities. Florida Statutes, administrative rules, operating procedures, applicable federal regulations, and other such sources shall be researched to assist in the Division’s determination of the value and retention requirements of each record series a record’s value.

(6)(4) The Division shall review Request for In addition, the Records Retention Schedule forms is reviewed to determine whether the records may merit transfer to further retention by the State in the Florida State Archives or to a local records office, archives, or historical records repository, This determination is based upon whether the records enduring have significant legal, fiscal, administrative, and or historical information values (archival value) to merit such further retention.  If the Division determines that the records may have archival value, an indication of such potential archival value shall be made on the Request for Records Retention Schedule form. The main objectives of this determination are to identify and ensure the preservation of preserve those records of archival value pertaining to the operation of government and to protect the rights and interests of the citizens of the state.

(5) In the event that records are of archival value, an indication is made on the Records Retention Schedule that such historical records are to be transferred to the Florida State Archives as part of the retention requirements.

(6) Local government records having archival value may be loaned to local historical records repositories for preservation provided they are maintained under the provisions of Chapter 119, Florida Statutes.

(7) The Division, with information submitted on Form LS5E-105REff.1-091, “Request for Records Retention Schedule” and its own research into the legal, fiscal, administrative, and historical and administrative value of the record series, shall create an official “Records Retention Schedule.. Once the Division has approved an official Records Retention Schedule, the submitting agency shall adhere to the terms of that schedule for the record series described therein. Once approved by the Division, the Records Retention Schedule becomes the official retention for the record series of the submitting agency.

(8) An approved Records Retention Schedule may later need to be revised based on new statutory, regulatory, or other requirements or agency needs. When changes are necessary, the agency shall submit a new Form LS5E-105REff.1-09, “Request for Records Retention Schedule” for the record series indicating the nature of the changes and the reason they are necessary. Revised Records Retention Schedules shall be processed in the manner specified in subsections 1B-24.003(2)-(8), F.A.C., above. After an agency has established an approved Records Retention Schedule in accordance with the foregoing procedures, it may become apparent that the schedule needs to be revised. When changes are necessary, the specific record series of the approved schedule shall be resubmitted by the agency, with an appropriate explanation for the revision. The approved Records Retention Schedule shall receive the next consecutive number.

(9) General Records Schedules are originated by the Division and are used by agencies designated by the Division. Utilization of General Records Schedules eliminates the need to comply with the provisions of subsection 1B-24.003(1), F.A.C. of this chapter.

(9)(a) Public records may be destroyed or otherwise disposed of only in accordance with retention schedules established by the Division. Photographic reproductions or reproductions through electronic recordkeeping systems may substitute for the original or paper copy, per Section 92.29, F.S., Photographic or electronic copies. Minimum standards for image reproduction shall be in accordance with Rules 1B-26.0021 and 1B-26.003, Florida Administrative Code. An electronic or microfilmed copy serving as the record (master) copy must be retained for the length indicated for the record (master) copy in the applicable retention schedule. An agency that designates an electronic or microfilmed copy as the record (master) copy may then designate the paper original as a duplicate and dispose of it in accordance with the retention requirement for duplicates in the applicable retention schedule unless another law, rule, or ordinance specifically requires its retention.

(b) Any state agency record series identified by either a General Records Schedule or approved Records Retention Schedule as having possible archival value shall not be destroyed without the approval of the Florida State Archives.

(c) Where a local government has formally established a records office, archives, or historical records repository, local government agencies within that jurisdiction may transfer records of archival value to that repository. An agency may also loan records to another governmental jurisdiction or to a non-government historical records repository or historical society provided an agreement is signed by both parties specifying the required conditions of the loan, including the responsibilities of both parties for the management of public records in accordance with Chapter 119, Florida Statutes. The loaning agency shall remain the legal custodian and retain ultimate responsibility for the maintenance and preservation of the records, including ensuring accessibility to the records and non-disclosure of statutorily exempt or confidential information.

(d)(10) Prior to records disposition, agencies an agency must ensure that all retention requirements have been satisfied. For each record series being disposed of, agencies shall identify and document The minimum requirements for each records disposition is the identification and documentation of the following:

1.(a) Records retention sSchedule number;

2.(b) Item number;

3.(c) Record series title;

4.(d) The Iinclusive dates of the records; and

5.(e) The Vvolume in cubic feet. for paper records; for electronic records, record the number of bytes and/or records and/or 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 1B-26.0021 or 1B-26.003, Florida Administrative Code, where the microfilm or electronic version will serve as the record (master) copy.

A public record may be destroyed or otherwise disposed of only in accordance with retention schedules established by the Division. Photographic reproductions or reproductions through electronic recordkeeping systems may substitute for the original or paper copy, per Section 92.29, F.S. Minimum standards for image reproduction shall be in accordance with Rules 1B-26.0021 and 1B-26.003, Florida Administrative Code.

(10) 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 specify 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.

(11) 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.

(12) Any record series identified, by either a General Records Schedule or approved Records Retention Schedule, indicating archival value cannot be destroyed without the approval of the Florida State Archives.

(12)(13) The Division shall compile an annual summary of agency records scheduling and disposition activities to inform the Governor and the Legislature regarding on statewide records management practices and program compliance.

Specific Authority 119.021(2)(a), 257.35(7), 257.36(6) FS. Law Implemented 119.021(2)(b)-(d), 257.35, 257.36 FS. History–New 2-20-01, Amended_________.


NAME OF PERSON ORIGINATING PROPOSED RULE: Jim Berberich, Program Manager, Information Resources Management, Division of Library and Information Services, M.S. 9A, Tallahassee, FL 32399-0250, phone (850)245-6750, e-mail jberberich@dos.state.fl.us
NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Judith Ring, Division of Library and Information Services, Kurt S. Browning, Secretary of State
DATE PROPOSED RULE APPROVED BY AGENCY HEAD: October 30, 2008
DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAW: November 14, 2008