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8.3. SR 01-06-2014 City of Elk - Request for Action River O. To Item Number Mayor and City Council 8.3 Agenda Section Meeting Date Prepared by General Business January 6, 2014 Tina Allard, City Clerk Item Description Reviewed by Records Management Policy Cal Portner City Administrator Reviewed by Action Requested Adopt by motion the Records Management Policy. Background/Discussion State law governs the creation,maintenance, and destruction of city records. The city has adopted and follows the State Records Retention Schedule for Minnesota Cities. Developing a Records Management Program will help to provide uniform and consistent guidance to employees for the management of all city records. Updating our Records Management Policy is the first step to establishing a good program. Items to note in the policy include: • Addressing issues related to technology, such as electronic records and cloud computing • Designating a person in each department who is responsible for the records of their department • Outlining responsibilities of the City Council and staff • Destruction of records not in the State Records Retention Schedule for Minnesota Cities • Suspension of destroying some records for legal reasons Next steps in our Records Management Program will include educating and training record coordinators and scheduling time with each department to identify records not listed on the retention schedule so we can obtain state approval for destruction of these items. We'd also like to move forward with storing more of our records electronically by utilizing a volunteer who can scan documents. Financial Impact N/A Attachments • Current Records Retention Policy • Proposed Records Retention Policy • Link to Records Retention Schedule for Minnesota Cities: http://www.mcfoa.org/vertical/sites/%7B067FFB 58-E3CD-42BA-9FB 1- 11EFC7933168%7D/uploads/General Records Retention Schedule for MN Cities - �uly 2013.pdf P 0 W I R I 1 6r NaA f RE] Records Management Policy It is the policy of the city and its staff to manage and protect city records to ensure continuous and effective service to the citizens of Elk River. Objectives of the Records Management Program are: 1. To protect vital records and provide the City with the ability to retrieve or reconstruct necessary data as needed. 2. To save space by destroying or removing from the office records which are no longer required in daily operations; and,by maintaining a regular and controlled flow of records from office to destruction, or from office to storage to destruction. 3. To save time in finding records by removing inactive records from office files; and by providing for orderly storage and indexing of inactive records. 4. To save money by minimizing purchase of expensive filing equipment; by providing inexpensive storage for inactive records and by reducing filing equipment through destruction of unnecessary records. 5. To protect the City in legal matters by complying with all applicable State and Federal guidelines for retention and destruction of records, thereby minimizing the City's risk. The cooperation of all city employees is vital to the success of the program. Joan Schmidt, City Clerk Date Spin- city of IH ver Records Management Policy AN Records Management Policy Policy The City of Elk River provides for efficient, economical, and effective controls over the creation,distribution, organization,maintenance, use, and disposition of all city records— regardless of form. The Office of the City Clerk is responsible for maintaining city records per the State Record Retention Scbedule for Minnesota Cities in accordance with the requirements outlined by the State of Minnesota. Authority Minnesota Statutes 138.17 and 15.17 establish the authority and assign the responsibility of the records management program and creates the administrative framework through which the purposes of the program are achieved. Designation of Records Coordinators by Department Directors Based on State of Minnesota Statute,the city clerk is responsible for all city records. Each department director is responsible for the records their department creates and receives. Each director shall designate a staff member to serve as a Records Coordinator to administer the Records Management Program for their department. General Records Retention Schedule for Minnesota Cities A Records Retention Scbedule is a document used to ensure that records are kept only as long as legally and operationally required, and that obsolete records are disposed of in a systematic and controlled manner. The city has adopted the State Record Retention Scbedule for Minnesota Cities. Before any record may be destroyed,the records and their retention period must be listed on the State Record Retention Scbedule for Minnesota Cities. Records not listed on the adopted schedule may be destroyed only upon completion of a separate administrative process specified in state law as discussed below. Electronic Records There is no single retention period that applies to all electronic records such as email. Retention periods are determined by the content,nature, and purpose of the record, and are set based on their legal, fiscal, administrative, and historical values,regardless of the format in which they are kept. Electronic images of record documents are official records and must be managed in accordance with retention requirements specified in the schedule. Cloud Computing Records management requirements apply to public records maintained on the cloud just as they apply when stored on city-owned hardware. Before using cloud storage the City must consider and in some cases ensure: confidentiality, record destruction capability of all copies exceeding retention schedule,location/access,legal/policy compliance (exp. HIPAA,PCI, etc.), e-discovery,interoperability (ensure records are not trapped in a proprietary system that will require considerable expense and effort to move to access),and security. It is important to have the provider demonstrate that they can meet retention requirements and to clearly outline them in the contract with the provider. Development and Use of Records Management Policy and Procedures This policy is designed to enable the city clerk to fulfill the responsibilities outlined by state statute. The policy defines the records management program and assigns the responsibilities and authorities to administer the program. The procedures outline the responsibilities and actions required to implement the program. Governance and Responsibilities City Council Per MN Statute 15.17 Subd. 3,when a responsible officer's term of office expires,they must deliver all government records in their possession to their successor. The successor must issue a receipt for all records received, and must file a signed acknowledgment of delivery in the clerk's office. City Clerk ■ Provides management oversight of the Records Management Program. ■ Secures funding to implement and support the ongoing functions of the program. ■ Provides guidance and oversight in the development of an effective communications strategy to promote the program. ■ Encourages ongoing adherence to the program by all city employees and elected officials. • Develops procedures to ensure permanent preservation of historically valuable records in accordance with Minnesota Historical Society guidelines. • Provides records management advice and assistance to city departments through the development and implementation of the policy,procedures, and training programs. • Monitors records retention schedules and administrative rules issued by the State of Minnesota and provides documentation as required according to statute/rules. • Designs and implements a communications program to disseminate information concerning state laws, administrative rules, and relevant major litigation that may affect records management. • Provides positive support for the program and the use of the retention schedule by staff and others. • Reviews and signs destruction authorization forms for records that have met the retention requirements. Directors ■ Cooperate with the city clerk to carry out the established policy and procedures. ■ Assign a Department Records Coordinator to manage records and retention. ■ Ensure that the transactions of city business are properly documented,including services,programs,and duties. ■ Ensure their staff follows the retention, storage, and destruction requirements of the Records Management Program. Records Coordinators • Assist the city clerk in the review, migration, and purge of records per the State Records Retention Schedule for Minnesota Cities. • Develop and implement filing systems to manage large volumes or groupings of records. • Assist in the review of records that are identified for destruction maintained in the department and the Records Center. ■ Coordinate and implement the Records Management Program for their department. ■ Disseminate information to department staff concerning the Records Management Program. Destruction of Records under the Retention Schedule Records Kept in Departments Minnesota law requires that a record of all destruction must be created and maintained. Prior to the destruction of a record, a Record Destruction Request Form must be completed and a signed authorization must be obtained from the department director and city clerk.The department is responsible for documenting its records destruction. Records in Records Center When records become inactive they may be transferred to the Records Center. A Transfer to Record Center Form must be completed and submitted with the records to the city clerk. When records scheduled for destruction reside in the Records Center, a Record Destruction Request Form is submitted to the department director for review and approval. The city clerk completes the Record Destruction Request Form to document the destruction of records in the Records Center. Destruction of Records Not on State Records Retention Schedule It is a crime to destroy government records except by the authority provided for in state law. The city may not destroy government records that are not listed on the State Record Retention Schedule for Minnesota Cities without specific authorization from the State Records Retention Panel. The panel is made up of the state attorney general, state auditor, and director of the Minnesota Historical Society. Under special circumstances, a record not yet listed on the State Record Retention Schedule for Minnesota Cities can be destroyed. The Office of the City Clerk must submit a PR> Form- Authority to Destroy Record to the State Records Disposition Panel and receive approval from the panel before these records can be destroyed. Suspension of Records Destruction - Pending Litigation, Government Investigation or Audit If litigation is pending or threatened,the retention policy must be suspended for the document that could be subject to the litigation (litigation hold). The director and the records coordinator must review all records prior to destruction to ensure that pending actions (litigation,government investigation, or audit) will not be affected by the destruction. If a department has been notified that litigation,government investigation, or audit is imminent or pending, all destruction must be suspended for records involved with the action. Departments should contact the city attorney to clarify the specific records involved in an action to ensure that all record production and discovery obligations can be met. Records Management Policy History City Council Adopted Unknown if officially adopted by Council Revised January 6, 2014 Item 8.5