MI No. 3-28

Records & Information Management Office

MANUAL OF INSTRUCTION

Director of General Services

MI No. 3-28

February 16, 2015

SUBJECT: Records & Information Management Instructions

1. SCOPE: These instructions implement the city policy set forth in AR 3-22, “Records &

Information Management” by standardizing procedures, establishing responsibilities and

providing information to city staff. City records are “government” property, whether in the form

of paper or recorded information, including electronic records. Such “property interest” warrants

attention to these instructions regarding the use, transfer, storage, protection and disposition of

city records.

2. APPLICATION: These instructions apply to all city officers and personnel, and set

forth specific instruction to all departments, boards and agencies having care, custody and

control of city records.

3. AUTHORITY: These instructions are set forth pursuant to the Code of Ordinances,

sections 2-771 through 2-782 and incorporate by reference certain Missouri regulations and

statutory provisions.

4. RESPONSIBILITY:

4.1 The Missouri Municipal Records Retention Schedule (MMRRS) and the Missouri

General Records Retention Schedule (MGRRS) serve as the legal authority for the retention and

disposition of city records. They identify the different types of records a municipal agency uses

and establish the minimum retention associated with each of these records series. They also

provide guidance on the maintenance and disposal of all records.

4.2 The Records Control Committee is a six member committee established by

the City Council and governed by the Code of Ordinances to oversee and control the

management, retention, storage and disposition of city records. This committee is responsible

for reviewing requests for disposal of records and addressing records management issues.

4.3 The Manager of Records & Information Management oversees the city’s

record management program and provides education, training, and staff assistance to city

departments and agencies.

4.4 The Department Records Coordinator acts as the point of contact for the

department director or head of agency or board, and consults, cooperates and interacts with the

Records Control Committee and the Manager of the Records & Information Management Office,

as needed. The Records Coordinator will appoint a Records Custodian based on management’s

recommendation. See additional responsibilities set forth in Appendix A (See appendices).

4.5 The Records Custodians have the responsibility of preparing records and

documentation for the transfer or disposal of city records. They will coordinate with the Records

& Information Management Office on daily issues that pertain to city records and nonrecords.

4.6 City Employees come in contact with city records that often contain an

individual’s confidential information, the distribution of which may involve an invasion of one’s

privacy. Improper disclosure and/or distribution of an individual’s “Protected Health

Information” may result in a violation of Health Insurance Portability Accountability Act

(HIPPA) and State law. Before disclosing or distributing any individual’s confidential

information to third parties, employees should inquire about “the need to know” and consider

limiting the use of the information to only that is needed to achieve the justified objective.

Employees should confer with legal counsel if any invasion of privacy appears to be involved.

5. PROCEDURES: City departments retain documents that are either records or

nonrecords. Proper maintenance and applying the appropriate retention will prevent records from

being disposed of too soon or retained too long. Original records are subject to the Missouri

Municipal Records Retention Schedule (MMRRS) and the Missouri General Records Retention

Schedule (MGRRS). Request for records disposals must go through the appropriate department

manager and be forwarded to the Records Control Committee for approval. Nonrecord

documents are not subject to a retention schedule. (See the MGRRS and the MMRRS for a

definition of a record and a nonrecord).

5.1 Preparing the Index of Files Plan. The designated Records Custodian will

prepare an Index of Files Plan identifying all records and nonrecords for the office. The Records

& Information Management Office will be available to assist, if necessary. A list of records

series can be found in the Missouri General and Municipal Records Retention Schedules. (See

record series definition at Appendix C.) The Index of Files Plan will contain the following

information:

An item number

A record series title (found in the MMRRS or MGRRS)

A retention number and retention schedule (found in the MMRRS or

MGRRS)

The media (e.g., paper, magnetic tape, hard drive, diskette, CD, etc.) and its

location (e.g., File Cabinet #, Director’s Office, Central Files, Iron Mountain

Offsite).

The format used for the Index of Files Plan is:

Item # Records Series Title Retention (MGRRS/MMRRS) Media/Location

1 Index of Files Plan (0048) Until superseded or revised Paper/File Cabinet #1

2 Budget (Adopted) (0008.1) Permanent Binder/Director Office

3 General Correspondence (GS012) 3 years Paper/File Cabinet #1

Break or end files at regular intervals, usually at the close of a fiscal or calendar year, to permit

their disposal or transfer in complete blocks and to permit the establishment of new files.

The Records Custodian will provide the Index of Files Plan to the appropriate department

manager and Department Records Coordinator for their review and signature, and forward the

final plan to the Supervisor of Records & Information Management for final approval. The

approved file plan will be maintained by the Records Custodian in a place that all designated

employees can access. A copy can be provided to individual office personnel, if necessary. See

Appendix C for an example of the Index of Files Plan. The Records Inventory Form in

Appendix B can be used to assist in conducting an inventory of records and nonrecords.

5.2 Filing Procedures. A combination of alphabetical, chronological and numerical

and subject filing systems may be used in developing a filing system to meet the needs of the

office.

- Alphabetical (use when filing by name of persons, companies, or agencies)

- Chronological (use when files are in date sequence or when the date is the

primary means of reference; place record with latest date on top)

- Numerical & Subject (use to identify or refer to files by number or subject)

5.3 Preparing the Records Transfer List. The Records Custodian will transfer

inactive records to City Hall, sixth floor or to an offsite facility, using the Gain Records

Management System. The Records & Information Management Office will process the

information and if correct will approve document(s) for labeling and print out a Records Transfer

List for signature.

5.3.1 Labeling Records Boxes. The Records Custodian will prepare the boxes by

following the procedures provided. The Records & Information Management Office will provide

barcode stickers for those boxes going offsite. Item #15 on the Records Transfer List will

contain either an onsite location or an offsite barcode.

5.4 Retrieving Records. To retrieve records stored on the sixth floor, the Records

Custodian will contact the Records & Information Management staff. A copier machine is

available on the sixth floor to make copies, or records may be checked out. To retrieve records

stored offsite the Records Custodian will send a request via email to the Records & Information

Management Office. You can request either the entire box (es) or an individual file(s). Include

the serial number, description, barcode, and the time frame the box/file (s) are needed. Records

will be checked out and in through the Records & Information Management Office.

5.5 Preparing the Records Disposal Form. The Records Custodian will complete

and submit a Request for Disposal or Destruction of Records to the Record & Information

Management Office for disposal/destruction of records. The Manager of Records & Information

Management will present the request at the next Records Control Committee for their review and

approval/disapproval. The Records & Information Management Office will contact the Records

Custodian with the committee’s decision. Although nonrecords do not have to be submitted to

the Records Control Committee, if your office cannot determine whether documents are a record

or nonrecord, notify the Records & Information Management Office for review and

determination.

5.6 Using the Missouri General & Municipal Records Retention Schedule. The

Department Records Coordinators and Records Custodians will maintain a current copy of the

Missouri General & Municipal Records Retention Schedules as provided by the Records &

Information Management Office. The schedules include records series, titles and retentions used

by city departments. In cases where there are no retention schedules for a particular records

series title, the Department Records Coordinator, or the Records Custodian, may request a

records series title by using the procedures in paragraph 5.7 below.

5.7 Requesting a Change or Addition to the Missouri General & Municipal

Records Retention Schedule. The Records Custodian or the Department Records Coordinator

may request a change to a retention schedule or the addition of a record series title, to the

Missouri Municipal or General Records Retention Schedules by completing the Request for

Records Retention Schedule Change form in Appendix D and submitting it to the Manager of

Records & Information Management. The Manager of Records & Information Management will

submit the request to the Records Control Committee for their review and approval. If approved,

the document will be forwarded to the Missouri Secretary of State Office, Local Records Board

for consideration.

5.8 Handling Confidential Information. Confidential records and non-records can

contain social security numbers, personal information, sensitive information, and attorney client

privilege communications. Records Coordinators, Records Custodians and city employees will

identify and safeguard records and nonrecords to ensure that the information is not compromised.

All confidential records must be approved by the Records Control Committee be for they can be

destroyed. The Destruction/Disposal process will be handled by the Records and Information

Management Office by the approved method. The official witness will sign the disposal form at

block 15. Nonrecords will follow the same procedures, but do not require a witness.

5.9 Vital Records. Vital records are records essential to a government operation or

to the protection of the rights and property of government and citizens. These records require that

special care and consideration be given to their storage condition and preservation. Contact the

Records & Information Management Office for assistance with storing and preserving vital

records.

5.10 Electronic Records.

5.10.1 Electronic records include electronic mail and files independent of media

(i.e. disk, cds, dvds, tapes, etc.) that meet the definition criteria for city records. All electronic

records must be maintained in accordance with the laws, statues, ordinances, Administrative

Regulations and this Manual of Instruction governing city records. Electronic records

procedure/policy for storage, retention and disposal will be approved by the Records Control

Committee.

5.10.2 One example of a process to handle emails that are considered to be

records would be to print, initial, date and file the emails with the project involved. Another

example would be to annually download two copies of the electronic information to the current

removable media, like a CD or DVD. These procedures would be reviewed by the Records

Control Committee

(See Appendix G for state guidelines related to e-mails. Refer to Appendix F for state

guidelines related to electronic media. Current information, including guidelines on managing e-

mail records and digital imaging systems, can also be obtained from the state’s web site at

www.sos.mo.gov/records. )

5.11 Glossary of Terms. The glossary in Appendix E is provided to help users

understand records terminology.

Appendix A

Subject: Role and Responsibilities of the Records Coordinator

Ordinance No. 010414, Chapter 2, Administration, Codes of Ordinances, Division 3, Records

Control Committee, Sec. 2-773. Membership; Officer, states the department director, head of

each agency or board will designate an employee as Records Coordinator to consult, cooperate

and act with the committee as may be needed.

The Records Coordinator will act as the point of contact for the department director, head of

agency or board and will consult, cooperate and act with the committee as may be needed.

The Records Coordinator will act in accordance with federal, state and local laws, and the Code

of Ordinances as it relates to the management of city records.

The Records Coordinator will submit in writing any issues that cannot be resolved or may

request to address the Records Control Committee at its scheduled meeting.

The Records Coordinator will be familiar with and communicate the procedures and laws

governing the retention and destruction/disposal of city records to the contact person(s) within

the divisions, sections, etc.

The Records Coordinator will replace the Records Custodian(s) as deemed necessary to ensure

the continuity of the management of city records and provide the name to the Supervisor of

Records Management.

Title of Record Series Form No. (If any) Current Retention

Department Division Section

Location V o l u m e (In Inches) No. of Drawers Inclusive Dates

Office

Storage

Media Paper

Photograph

Map

Sound Recording

Magnetic Disk/Tape

Optical Disk/Tape

Cassette

Microfilm/Microfiche

Vital Record Yes No

Inventoried By : Date:

To be completed by records management

Legal Retention:

Comments:

Final retent ion

dec is ion:

Approved By :

Years in Office Years in Storage Date:

1271-400 (Rev 1/14)

City of Kansas City, Missouri General Services Department

Records & Information Management Office

RECORDS INVENTORY (Appendix B)

Name: ______________________________________ Phone Number __________________________

Department Name: ______________________________________ Date: ______________________

Please add the following records to the Missouri Municipal Records Manual

Records Series Title ________________________________________

Please make the following retention changes to the Missouri Municipal Records Manual

Records Series Title _______________________________________________________

Current Retention _________________________________________________________

Requested Retention ______________________________________________________

Reason for Change ________________________________________________________

Department Director's Signature Date

Division Head's Signature Date

For Records Control Committee Use:

Supervisor Records Management Date

______________________________________________________________________________________________________________________

Records Control Committee Approve/Disapprove Date

City of Kansas City, Missouri General Services Department

Records & Information Management

Office

REQUEST FOR RECORDS RETENTION SCHEDULE CHANGES (Appendix D)

Appendix E GLOSSARY Access The availability of or the permission to consult records, archives or manuscripts. Accession (1) The act and procedures involved in a transfer of legal title and the taking of records or papers into the physical custody of an archival agency, records center or

manuscript repository. In records center operations, transfer of legal title may not be involved. (2) The materials involved in such a transfer of custody. Action copy That copy of a communication directed to an information copy. Active records Records necessary for conducting the current business of an office and which therefore must be maintained in office space and equipment. In government usage

records are regarded as current or active if there is at least one reference use per cubic foot per month.

Administrative value In appraisal, the usefulness of records to the originating or succeeding agency in the conduct of current business. See also Evidential value; Informational value.

Alphabetical filing Arrangement of records in accordance with the alphabet. The records may be arranged by subject, name, organization or place. Alphanumeric A filing system combining alphabetic and numeric symbols to develop codes for classifying information.

Aperture card A card with a rectangular hole cut into it which is designed to hold microfilm. Frequently used for oversize documents or records such as plats and engineering/architectural drawings. Appraisal (1) The process of determining the value and thus the disposition of records

based upon their current administrative, legal and fiscal use; their evidential and informational or research value; their arrangement; and their relationship to other records.

(2) The monetary evaluation of records. See also Intrinsic value. Archival standards Standards set by the United States Bureau of Standards and the American National Standards Institute (ANSI) to assure permanence of microfilm images. Archival value The determination in appraisal that records are worthy of indefinite or

permanent preservation by an archival agency. Sometimes referred to as historical, continuing or enduring value. Archives (1) The noncurrent records of an organization or institution preserved because of their continuing value; also referred to, in this sense, as archival materials or archival holdings. (2) The agency responsible for selecting, preserving and making available archival materials; also referred to as an archival agency. (3) The building or part of a building where

such materials are located as in an archival repository/depository.

Archives administration The management or direction of the program of an archival agency, including the following basic functions; appraisal, disposition, accessioning, preservation, arrangement, description, reference service, exhibition and publication. Archivist A person responsible for or engaged in one or more of the following activities in an

archival repository; appraisal and disposition, accessioning, preservation, arrangement, description, reference service, exhibition and publication. Blip Coding mark(s) located beneath a microfilm image and used in automated indexing systems. BPI Bytes per inch; density of data on magnetic tape.

Camera That part of a micrographics recorder which houses the lens, the film advance

mechanism, the shutter and unprocessed film.

Camera, planetary Type of microfilm cameral in which the document being photographed and the film remain in a stationary position during the exposure. The document is on a plain surface at the time of filming.

Camera, rotary Type of microfilm camera that photographs documents while they are being fed through a roller system. The document movement and film movement are synchronized. Camera, step and repeat Type of microfilm camera which can individually expose a series of images of film according to a predetermined format, usually a microfiche. Camera is modeled after the planetary type.

Caption Information that appears on the label of guide, folder or file drawer. Card file An orderly arrangement of selected items of information recorded on separate cards.

Cartridge, microfilm A roll form of micrographics in which a single film spool is contained in a self threading unit.

Case file A folder or other file unit containing material relating to a specific action, event, person, place, project or other subject. Cassette, microfilm A roll form of micrographics in which both the supply spool and the takeup spool are contained in one unit.

Central files The files of several offices or organizational units physically and/or functionally centralized and supervised in one location. Charge out (1) The action of recording the removal and loan of documents from a file, or loan of the entire file. (2) The document used to record this action. See Out-card.

Chronological filing Filing in sequence according to date. When records are filed in this

manner, the latest date is usually in front. Cine mode A manner of positioning an image on microfilm when the data lines on the image run the width of the film. As in motion picture film. Closed file (1) A file unit or series containing documents on which action has been

completed and to which additional documents are not likely to be added. (2) A file unit or series to which access is limited or denied. Coding The act of writing file designations on records in the process of classification for filing.

Collating The operation of placing several different parts of a form or report into a desired sequence. Comic mode A manner of positioning an image on microfilm where the data lines on the

image run the length of the film as in comic strips. Commercial records center A records center, operated by a private company, housing the

records of many different companies on a fee basis. Computer output microfilm (COM) A process of converting on-line data or the data on a magnetic computer tape directly onto microfilm by means of a cathode ray tube, electron beam, or other electronic process. Convenience file Extra copies of records, personal papers or publications, maintained for

ease of access and reference. Copy A reproduction of the contents of an original document, prepared simultaneously or separately, usually identified by function or by method of creation. Copies identified by

function include action copy, comeback copy, file or record copy, stayback copy and tickler

copy. Copies identified by method of creation include carbon copy, mimeograph copy, ribbon copy and electrostatic copy.

Correspondence Letters, postcards, memoranda, notes, telecommunications and any other form of addressed, written communications sent or received.

Cross reference A notation in a file or on a list showing that a record has been stored somewhere else. Cubic feet A measurement of volume for records, archives and manuscripts. Deacidification The process by which the pH of paper documents is raised to a minimum of 7.0 to assist in their preservation.

Decentralized files Records located and maintained in or near the offices immediately responsible for the functions in connection with which they are accumulated. Description The process of establishing intellectual control over record and archive holdings

through the preparation of finding aids.

Destruction, certificate of Written notification indicating that records already approved for destruction have been destroyed. Diazo film A print film used in microfilm duplication that possesses an image surface which is composed of diazonium salts and ago dyes which are sensitive to ultraviolet rays. The images are developed by exposure to ammonia vapor or alkaline solution.

Dispersal Sending copies of vital essential records to locations other than those where the originals are housed. Disposition The actions taken with regard to noncurrent records following their appraisal. The actions include transfer to a records center for temporary storage, transfer to an archival agency, donation to an eligible repository, reproduction on microfilm and

destruction.

Disposition schedule A document governing, on a continuing basis, the retention and disposition of the recurring records series of an organization or agency. Also known as a records schedule, a records control schedule, a retention schedule, and a records retention schedule.

Document (1) Recorded information regardless of medium or characteristics. Frequently used interchangeably with record. (2) A single record or manuscript item. Duo mode A method of microfilming in which images are placed in consecutive order down one half of a strip of film and back the other half of the strip.

Duplex mode A method of filming both front and back sides of a document simultaneously. EDP Electronic data processing; the use of a computer to process data.

Essential records Those records containing information necessary to continue the operation of government, affirm the powers and duties of government and to protect the rights and interests of persons.

Estray The legal term applied to a record or document not in the custody of the original records creator or its legal successor. Evidential value A phrase that refers to the value of those records of an agency that are "necessary to provide an authentic and adequate documentation of its organization and functioning." Popularized by T.R. Schellenberg. See also Administrative value; Informational

value. Facsimile A duplicate of a document in content, form and appearance, but not necessarily in size. The emphasis is on the similarity of appearance.

Feeder, automatic An accessory unit used to move documents, one at a time, at a high

rate of speed into the exposure area of rotary cameras. These devices are capable of moving small documents (checks, tab cards) at a rate of approximately 600 per minute.

File (1) An accumulation of records maintained in a predetermined physical arrangement. Used primarily in reference to current records, the term in archival usage may refer to either a series or a file unit such as a folder or case file. (2) To place documents in a predetermined

location according to an overall plan of classification. (3) In machine-readable records/archives, two or more data records of identical layout treated as a unit. The unit is larger than a data record, but smaller than a data system, and is sometimes known as a data set. (4) Storage equipment, such as a filing cabinet. See also Series. File integrity Accuracy and completeness of the records.

Files Collective term applied to all records of an office. Files Management The management function which provides for the analysis of filing systems and equipment to determine the most efficient type of system and equipment for a given operation at the most economical price.

Filing The process of arranging and sorting records so that they may be retrieved rapidly

when needed. Filing systems The planned method of indexing, arranging and housing records. Filing unit Each word, abbreviation, or initial used to file information.

Finding aids The descriptive media, published and unpublished, created by an originating office, an archival agency, or manuscript repository, to establish physical or administrative and intellectual control over records and other holdings. Basic finding aids include guides, inventories, registers, card catalogs, special lists, shelf and box lists, indexes and for machine-readable records, software documentation. Flood load The capacity of a floor area to support a given weight expressed in terms of

pounds per square foot.

Flowchart A graphic illustration of the procedural steps in an operation. Form All printed material with blank spaces for the insertion of choice of variable data used to record or transmit information. It includes: (1) All office and plant forms, reports, letterheads and envelopes; continuous fanfold, snapout, salesbooks and other specialty

forms. (2) All the above forms, whether printed or produced on any type of duplicating equipment; whether temporary or permanent; and whether produced internally or purchased from commercial suppliers. Forms management The function that establishes standards for the creation, design, analysis and revision of all forms within an organization and assures that they are designed,

produced and distributed economically and efficiently. Fumigation The process of exposing records and manuscripts, usually in a vacuum or other airtight chamber, to poisonous gas or vapor, to destroy insects, mildew or other forms of life

that may endanger them. General schedule A records retention schedule covering records common to several or all

of the departments of an organization or units of a governmental agency. Guide (1) At the repository level, a finding aid that briefly describes and indicates the relationships between holdings, with record groups or comparable bodies of material as the units of entry. (2) A divider used in files to identify sections of the file and to provide physical support for records.

Holdings The total volume of records stored in a records center, archival agency or other depository/repository.

Housekeeping records Records of an organization that relate to budget, fiscal, personnel,

supply and similar administrative or facilitative operations normally common to all agencies, as distinguished from program or substantive records that relate to an organization's

primary functions. See also Program records. Image That area on a microfilm which contains the photographic representation of a document or computer generated data.

Image rotation The capability possessed by a microfilm reader to rotate the microfilm images on its screen. Inactive records Records no longer required in the conduct of current business that can therefore be accessioned by an archival repository, temporarily stored in a records center or destroyed.

Information management The administration of information, its use and transmission and the application of theories and techniques of information science to create, modify or improve information handling systems.

Informational value A phrase referring to the value of records that derives from the information they contain "on persons, place, subjects and the like with which public agencies

deal; not from the information that is in such records on the public agencies themselves." A term popularized by T.R. Schellenberg. See also Administrative value; Evidential value. Input Data entered into a system for future retrieval. Interfile The process of putting documents in their proper sequence and place in a file when

they have not previously been withdrawn. Intrinsic value Inherent value and, in manuscript appraisal, the worth, in monetary terms, of a document dependent upon some unique factor, such as its age, the circumstances regarding its creation, a signature, or an attached seal. Inventory (1) A basic archival finding aid that generally included a brief history of the

organization and functions of the agency whose records are being described; a descriptive

list of each record series giving as a minimum such data as title, inclusive dates, quantity, arrangement, relationships to other series and description of significant subject content; and, if appropriate, appendices which provide such supplementary information as a glossary of abbreviations and special subject terms, lists of folder headings on special subjects, or selective indexes. (2) In records management the term is used to describe a survey of records prior to disposition or the development of records retention schedules.

Item The smallest unit of record material which accumulates to form file units and series, e.g. a letter, memorandum, report, leaflet, photograph or reel of film or tape. Jacket Clear plastic envelopes which have openings into which strips or individual frames of microfilm can be inserted.

Lateral files Side-open file cabinet; may also mean shell filing. Leader A strip of film at the beginning of a roll of film and used for threading.

Legal size (1) A standard paper size 8 1/2 x 14 inches. (2) Capable of holding legal size documents or papers.

Legal value Value inherent in records that provide legal proof of business transaction. Letter book (1) A book of blank or lined pages on which letters have been written. The letters may be drafts written by the author or fair copies made by authors or clerk. (2) Copies of letters originally on loose sheets and most frequently carbon copies, bound together, usually in chronological order.

Letterpress copybook A book of tissue papers in which documents (usually letters sent) were copies by transfer of ink through direct contact with the original using moisture and pressure in a copy press. Method frequently used between 1820 and 1920.

Letter size (1) A standard paper size 8 1/2 x 11 inches. (2) Capable of holding letter size

papers or documents.

Machine-readable records Records whose informational content is usually in code and has been recorded on media such as magnetic disks, drums, tapes, punched paper cards or punched paper tapes, accompanied by finding aids known as software documentation. The coded information is retrievable only by machine.

Manuscripts Documents of manuscript character usually having historical or literary value or significance. All manuscript records may thus be regarded as manuscripts, but generally the term is used to distinguish nonarchival from archival material. Included in the term are bodies or groups of personal papers with organic unity, artificial collections of documents acquired from various sources usually according to a plan but without regard to provenance, and individual documents acquired by a manuscript repository because of their special

importance. Master The original medium which bears an image or images from which duplicate copies of those images are reproduced.

Microfiche Microform containing multiple microimages in a grid pattern on a transparent sheet of film. Usually 148 mm wide x 105 mm long.

Microfilm Microform containing multiple microimages in a roll format on 16mm or 35 mm film. Also used as a generic term for any microform. Micrographics The art and science of producing or reproducing information in miniature form.

Microreprography Reproduction by means of miniaturization. Miniaturization Any process that reproduces the image of a document in greatly reduced dimensions. Non-record material Material not usually included within the definition of records, such as

unofficial copies of documents kept only for convenience or reference, stocks of publications

and processed documents and library or museum material intended solely for reference or exhibition. Numeric filing Arrangement of records in sequence by number. Official record In law, a record having the legally recognized and judicially enforceable

quality of establishing some fact. Out-card A card to indicate what material has been taken from the file and by whom. Papers A natural accumulation of person and family materials as distinct from records.

Permanent record A record, because of its administrative, legal or historical value, is to be retained forever. pH value A measure of the intensity of the acid content of paper. Also referred to as

hydrogen ion concentration, pH is expressed in terms of a logarithmic scale from 0 to 14. 7.0 is the neutral point; values above 7 are alkaline; values below 7 are acid.

Preservation (1) The basic responsibility to provide adequate facilities for the protection, care and maintenance of archives, records and manuscripts. (2) Specific measures, individual and collective, undertaken for the repair, maintenance, restoration or protection of documents. Program records Records created or received and maintained by an agency in the conduct of the substantive functions for which it is responsible. The term is used in contrast with

housekeeping or facilitative records.

Provenance (1) In general archival and manuscript usage, the "office of origin" of records,

i.e. that office or administrative entity that created or received and accumulated the records in the conduct of its business. Also the person, family, firm or other source of personal

papers and manuscript collections. (2) Information of successive transfers of ownership and custody of a particular manuscript. (3) In archival theory, the principle that archives of a given records creator must not be intermingled with those of other records creators. The principle is frequently referred to by the French expression, "respect de fonds."

Public records (1) In general usage, records accumulated by government agencies. (2) Records open to public inspection by law or custom. Reader A machine that projects and magnifies a micro-image to a size large enough to enable it to be read by the human eye.

Reader/printer A reader with the capability of producing an enlarged paper reproduction of the microfilm image. Reading file A file containing copies of documents arranged chronological order. Sometimes known as a chronological or a day file.

Record (1) Recorded information regardless of media or characteristics. (2) In machine-

readable records, two or more data fields in predetermined order and treated as a unit. Record group A body of organizationally related records established on the basis of provenance with particular regard for the administrative history, the complexity and the volume of the records.

Records All recorded information, regardless of media or characteristics, made or received and maintained by an organization or institution in pursuance of its legal obligations or in the transaction of its business. Records archivist Specialist in the analysis and evaluation of systems and procedures involved in the creating, processing and storing of records.

Records appraisal The analysis of records with the objective of establishing retention

policy. Records center A facility, sometimes especially designed and constructed, for the low-cost and efficient storage and furnishing of reference service on semicurrent records pending their ultimate disposition. Records management The direction of a program designed to provide economy and

efficiency in the creation, organization, maintenance, use and retrieval and disposition of records, assuring that needless records will not be created or kept and valuable records will be preserved and available. Records manager Person responsible for the development and maintenance of a records management program. Responsibility may cover one or all areas of the total records

management program. Records retention schedule A comprehensive schedule showing all actions to be taken in relation to the disposition of all the records of an organization. Such schedules may include

provisions for the periodic transfer of records to records centers, as appropriate, as well as provisions for their final disposition or retention. A listing of record series by department, indicating for each series the length of time it is to be maintained in office areas, record

centers and when and if such series may be destroyed. Records series File units or documents arranged in accordance with a filing system or maintained as a unit because they relate to a particular subject or function, result from the same activity, have a particular form, or because of some other relationship arising out of their creation, receipt or use.

Reduction ratio A measure of the number of times a linear dimension of a document is reduced when photographed onto microfilm, expressed as 16X, 24X. If a drawing measuring 18" x 24" is microfilmed at 10X, the image will measure 1.8" x 2.4".

Reference service The basic function of providing information about or from archives,

manuscripts and records; making holdings available for use; and providing copies or reproductions either certified or uncertified from holdings.

Refiles Replacement of documents in records center containers or active files which have been charged out and returned to those locations.

Retention period The period of time during which records must be kept before they may be disposed of, usually stated in terms of years, but sometimes expressed as contingent upon the occurrence of an event such as the completion of an audit. Shelf lists A technique for controlling records center holdings wherein the original transfer document is prepared in several copies and filed by sending organizations and destruction date.

Target An aid to indexing which is photographed on film preceding or in the midst of the documents. While targets are also used to introduce the contents of the film file and authenticate the contents, the basic use is to provide a division of the materials so that a given document may be located with ease at some later date.

Unscheduled records Records for which no ultimate disposition has been determined.

Vital records Records essential to (1) the resumption and/or continuation of operations, (2) the recreation of the legal and financial status of the company or agency and (3) the fulfillment of obligations. Weed To examine records in order to remove permanently file units lacking continuing

value. Also know as purge. Working papers Documents such as rough notes, calculations or drafts assembled or created and used in the preparation or analysis of other documents.

A p p e n d i x F

SECRETARY OF STATE'S OFFICE

Three Things You Should Know About Electronic Records

1. A record is a record, regardless of media or format. Missouri's State and Local Records Law (RSMo 109.200 — 510) defines a record as any

" ... document, book, paper, photograph, map, sound recording or other material regardless

of physical form or characteristics made or received pursuant law or in connection with

the transaction of official business."

Many of the technologies used to create electronic records readily come to mind — electronic

imaging, e-commerce, and financial systems. However, others, such as e-mail, databases,

spreadsheets, presentations, and web pages, are not nearly as apparent. Therein lies the

challenge.

2. Electronic records will last forever - or five years whichever comes first.

There are two major problems with electronic records.

One, they are ubiquitous. Network back-ups and e-mail are two of the biggest culprits.

However, there is a third, possibly more dangerous perpetrator — delete doesn't mean

destroyed. Delete just means you can't get to the information easily The way information is

written to a computer's hard drive makes it possible to recover information that has been

deleted. Pieces of information are broken apart and stored in various locations on your hard

drive. When you hit delete, you've just told the software that you don't need to get to that

information. The information is still there; it's just that your software doesn't know where to

look for it anymore. New information has to be written on top of the exact same location as the

old information — not once, but seven times — before it is completely gone.

Two, technology is a moving target. Things change and media doesn't last forever. Let's take a

quick look at each of these threats.

Media decay — magnetic media, like back-up tapes and hard drives, aren't static.

Electrons wonder over the media. Eventually, this causes damage to the recorded data.

Optical media, like CD's, are alleged to have life spans of 100+ years. However, studies

have shown that under normal conditions, 25 years is closer to reality.

Hardware obsolescence — the ever increasing pace of technology change

exacerbates the fact. Today's CDs and DVDs are tomorrow's 8-track tapes and Beta-

video cassettes. Who still has the hardware to use them?

Software obsolescence — in reality, this is the biggest threat. Think about the changes

we've experienced in the last ten years. Windows 3.1, 95, 98, ME, NE. Now

think about the changes in software applications. Remember when WordPerfect and Lotus

were kings?

3. You have to budget for change. There are no easy answers to the questions about how to manage electronic records.

Nonetheless, there are good rules of thumb (but they'll cost you).

Records with a retention period of five years or less — these are probably safe to keep

in electronic format. However, if your organization undergoes a major change in

software, hardware, or media, you should check the records to ensure you can still

access them.

Records with a retention period greater than five years and less than ten years —

you should have a written plan in place to audit these records periodically after the five

year mark. Any changes in software, hardware, or media should be signal to audit

the records.

Records with a retention period of ten or more years — unless the records remain

highly active, it will be more cost-effective to store the paper (if there is paper) in an

offsite facility than it will be to migrate the data over the many changes in

technology. Another alternative is microfilm The benchmark for State agencies is 35

years. In other words, if records have a retention period of 35 years or more, it is more

cost-effective to maintain them on microfilm than to store them on paper. There's more

to microfilm than just paper conversion. Digital information can be stored on microfilm

and digital information can be created from microfilm

The Records Management and Archives Service Division can help you determine the best

solution. Call us at (573) 751-3319. Also, visit our website

Appendix G

Secretary of State's Office

Guidelines

Managing

E-mail Records Approved and Recommended by the State Records Commission February 22, 2001

published by

Matt Blunt

Secretary of State

records management

Introduction Most everyone would agree that e-mail has changed the way in which we communicate

and conduct business. As a business tool, we use it to rapidly exchange information, collaborate

on projects, and make announcements. As a communication tool, email messages generally

have a less formal tone than was typical of written correspondence found in letters and

memorandums. Thus, many users fail to recognize that e-mail correspondence can be either a

record as defined by Missouri's State and Local Records law, RSMo. 109.200 to 109.310, or a

public record as defined by our Sunshine Law, RSMo. 610. In some cases, it may be both. If an

e-mail correspondence is determined to be a record, then it must be maintained within a

recordkeeping system. Agencies are strongly encouraged to implement an e-mail policy that

covers usage, content, public access, privacy, and records retention. Records Management

designed the following standard to assist agencies with the records retention portion of their

policies.

E-mail Records v. Nonrecords Not all records are valued equally. It is important to understand the distinction between

records and nonrecords. The meaning of the term record depends on the context in which it is

being used. In the context of these guidelines, a record is documentation created or received

and used by an office or agency in the conduct of its business. To be an accurate and authentic

record, the documentation must contain sufficient content, context, and structure to provide

evidence of an activity. However, the physical format or media in which the documentation is

conveyed is irrelevant.

Not all e-mail messages document official state business; however, many do.

Therefore, agencies must be aware of their responsibility to manage e-mail records

accordingly.

Evidence of Official State Business

E-mail messages that document decisions, policies, procedures, resource

expenditures, operations, or delivery of services are evidence of official state business.

Agencies must ensure that these messages are appropriately stored, organized, scheduled,

and disposed of according to the their approved Records Disposition Schedule. The

following examples illustrate the kinds of e-mail messages that document official state

business:

General correspondence regarding management, financial, operating procedures,

or policy matters (including items such as purchase orders)

Interoffice messages regarding management, financial, operating procedures, or

policy matters (including items such as timesheets and travel vouchers)

Messages regarding state policy or the policy process (minutes of meetings,

transcripts of hearings, etc.)

Messages regarding vital public information (for example, critical environmental

data and reports)

Listserv messages posted in an official capacity (job announcements, etc.)

Listserv messages that are relied upon in the development of management,

financial, operating procedures, or policy matters

Nonrecords with an Official Context

E-mail messages may have an official context but not be part of a business

transaction. Those messages are nonrecords and should not be retained within a

recordkeeping system. The following examples illustrate e-mail with an official context, but

no value beyond reference:

General departmental correspondence regarding routine business activities

(transmittal messages and responses to routine questions)

Interoffice messages regarding:

— Employee activities (holiday parties, etc.)

— Phone calls

— Invitations and responses to work related events (meetings, etc.)

Listserv messages other than those posted in an official capacity — unless the

messages are relied upon in the development of management, financial, operating

procedures, or policy matters

Personal Transactions

Any e-mail message that is neither created nor received in the course of routine or

official state business may be disposed of immediately. Agencies are encouraged to define

within their policies how much, if any, personal e-mail is acceptable.

Filing and Maintenance

Only the official copy of a record must be filed and maintained within a

recordkeeping system. The same is true of e-mail records Only the record copy must be filed

and maintained. Additional copies are considered convenience copies and, as such, are

nonrecords. These may be disposed of when they no longer serve a purpose.

Recordkeeping systems may be paper based, electronic, or a combination of the two. If

an agency chooses to maintain printed copies of e-mail, the procedures to do so must include

the appropriate transmission data, attachments, calendars, and task lists. If agencies use a

software program to automatically capture, manage, and identify their electronic records, it may

choose to include e-mail records within that system. Again, procedures to do so must include all

the appropriate transmission data.

Agencies should consider the ramifications of depending on the users' personal email

directories to act as the recordkeeping system. Decentralization is counter-productive. Control

of numerous copies, back-ups, and ultimate disposition is more difficult to maintain. Further,

such ad-hoc file systems may not meet the need to provide easy and timely retrieval. These file

systems are dependent upon the individual user's availability to retrieve specific records or upon

the e-mail system administrator's ability to search users' directories. This could cause undue

burden on agencies, if expedient retrieval is necessitated. RSMo. 610.023 (3) states:

Each request for access to a public record shall be acted upon as soon as

possible, but in no event later than the end of the third business day

following the date the request is received by the custodian of records of a

public governmental body. If access to the public record is not granted

immediately, the custodian shall give a detailed explanation of the cause for

further delay and the place the earliest time and date that the record will be

available for inspection. This period for document production may exceed

three days for reasonable cause.

E-mail Records Preservation

E-mail that fulfills the definition of a record must be preserved within a recordkeeping

system. Further, if the record is a public record, it must be maintain in a format that makes it

available to the public. Agencies must ensure their records are accurate

and complete regardless of physical form or characteristics throughout the retention

period. Several areas must be addressed to ensure e-mail messages are accurate and complete.

The recordkeeping system must be able to capture the appropriate information, to ensure the

records are easily accessible throughout their retention period, and to ensure for the timely

disposition of records once their retention period is met.

Transmission Agencies should attempt to ensure that as much transmission data as is

Data possible is kept within the recordkeeping system. At a minimum the

recordkeeping system must include the name of the sender(s), the

recipient(s), and the date received. Additionally, if receipt

acknowledgements are a part of the e-mail system, users should include

those as a part of the record when appropriate. (For example, it may be

appropriate to request a receipt acknowledgement when distributing a new

policy to staff.) It is important to note that many e-mail systems use aliases

to identify users. Therefore, a means of deciphering who the alias belongs

to must be maintained. The same is true for distribution lists. There must

be a method to identify to whom the individual e-mail address belong.

However, when the e-mail is received from an e-mail system outside an

agency's control, this may be an impossible task. Nonetheless, agencies

must make a reasonable attempt to do so.

Authenticity The system must ensure that once the record is a part of it, it cannot be

altered.

Attachments If an e-mail attachment meets the definition of a record, it must be

maintained within the recordkeeping system.

Calendars and Some e-mail systems include calendars and task lists for each user. If the

Task Lists information contained in the calendar or task list documents decisions,

policies, procedures, resource expenditures, operations, or delivery of

services, it may meet the definition of a record. Therefore, agencies must

develop a method of retaining those records within the recordkeeping

system.

Accessibility Missouri's Sunshine Law provides its citizens with openness in

government. RSMo. 610.011 states, "It is the public policy of this state that meetings, records,

votes, actions, and deliberations of public governmental bodies be open to the public unless

otherwise provided by laws. Sections 610.010 to 610.028 shall be liberally construed and their

exception strictly construed to promote this public policy." Some e-mail correspondence falls

under the purview of the Sunshine Law. State agencies have a duty to make these public

records available upon request. RSMo. 610.023 (2) states, "Each public governmental body

shall make available for inspection and copying by the public of that body's public records."

Therefore, we strongly encourage agencies develop systems and procedures to make e-mail

records accessible when requested.

To ensure the records are easily accessible throughout their retention period for internal, as

well as public use, the recordkeeping system must:

Provide for the clear identification of the record

Permit easy and timely retrieval of individual records and records series

Retain the records in a usable format

Provide for transfer of records with historic value to the State Archives

The content of the message determines how long it must be retained. E-mail is not

a unique record series E-mail is simply the method of transmission — like a fax

machine or the postal service. Agency recordkeeping requirements may differ.

Agencies should consult their approved Records Disposition Schedules to

determine the appropriate retention period or contact the Records Management

Division (573-751-3319) for advice.

Regardless of the type of media used to store e-mail messages, the recordkeeping

system should have a procedure for the disposition of records once their retention

period has been met. However, if e-mail records are maintained within electronic

recordkeeping systems, agencies must ensure all copies including back-ups are

purged.

Once a record series and time period have been identified as part of

litigation, a temporary hold order must be placed on the covered

records. Agencies must establish procedures to ensure that e-mail

records are included within the temporary hold order.

Disposition

Temporary

Hold Order