FLGISABestPractices

ElectronicRecordsManagement
EndorsedbytheFloridaRecordsManagementAssociation(FRMA)

1. GeneralGuidelines/Assumptions
a. Records......................................................................................................................................1
b. Publicrecordsdefinition............................................................................................................1
c. CompliancewithStateStatutesandRules................................................................................1
d. ITandRMcollaboration.............................................................................................................1
e. Legalrequirements....................................................................................................................1
f. Training......................................................................................................................................2
g. Archiving,retention,andeDiscoveryrequirements.................................................................2
h. DevelopmentofPublicRecordsRequestprocedures...............................................................2
i. Retentionschedulesminimumrequirements........................................................................2
j. FederalRulesofCivilProcedure................................................................................................2

2. PublicRecords
a. Definedbycontent....................................................................................................................2
b. Examples....................................................................................................................................2
c. Recordcopy...............................................................................................................................2
d. Duplicatecopies.........................................................................................................................2
e. Scannedimages.........................................................................................................................2
f. ITelectronicrecordsresponsibility............................................................................................3

3. RecordsRetentionPolicy
a. WrittenRecordsRetentionPolicyforJurisdiction.....................................................................3
b. Recordsinventory......................................................................................................................3
c. Retentionschedules...................................................................................................................3
d. Retentiontypes..........................................................................................................................3
e. Retentionpractices....................................................................................................................3
f. Recordsdisposition....................................................................................................................4
g. RecordsManagementComplianceStatement..........................................................................4
h. ElectronicRecordsManagementSystem..................................................................................4

4. SpecificConsiderationsRegardingEmail
a. Emailpolicyandtrainingprogram.............................................................................................4
b. Eachemployeesresponsibility..................................................................................................4
c. Fivestepapproachtoemailretention......................................................................................4
d. Retentiondetermination...........................................................................................................4
e. Subjectline.................................................................................................................................4
f. Twotypicalemailrecordseries.................................................................................................4
g. Nonpublicemail........................................................................................................................4
h. Noautomaticretention.............................................................................................................4
i. Emailmanagement....................................................................................................................4
j. Finaldisposition.........................................................................................................................5

Resources................................................................................................................................................5

FLGISABestPractices
ElectronicRecordsManagement

1. GeneralGuidelinesandAssumptions
a. Arecordisarecordisarecord.Althoughelectronicretentionofemailhasreceivedalotofattention,
theprinciplesinthisdocumentareintendedtoaddressissuesrelatedtoallelectronicdocumentrecords
retention.
b. EmailandotherelectronicdocumentsareapublicrecordifdefinedassuchbySection119.011(12),F.S.:
Public records means all documents, papers, letters, maps, books, tapes, photographs, films, sound
recordings,dataprocessingsoftware,orothermaterial,regardlessofthephysicalform,characteristics,
or means of transmission, made or received pursuant to law or ordinance or in connection with the
transactionofofficialbusinessbyanyagency.
c. Policies and procedures must comply with State Statutes and Rules pertinent to records management
requirementsandguidelines:
Chapter119,F.S.

PublicRecordsLaw
Chapter257,F.S.

PublicLibrariesandStateArchives
Rule1B24,F.A.C.

PublicRecordsSchedulingandDisposition
Rule1B26.0021,F.A.C.
MicrofilmStandards
Rule1B26.003,F.A.C.
ElectronicRecordkeeping
Rule1B31,F.A.C.

RealPropertyElectronicRecording
Chapter2.4302.440
Florida Rules of Judicial Administration Judicial
Branch/Courtrecords
d. InformationTechnology(IT)personnelshouldworkwithRecordsManagers(RM)todevelopaRecords
ManagementPolicyandtocomplywithit.
i.
IT:
a) Buildthesystemandmaintainserverandbackups,butdonotmanagecontent.
b) BuildandmaintaintheinfrastructurenecessarytosupportRMpolicies.
c) Provideemailasaservice,notasanarchivalorretentiontool.Archiving/retentionshould
beevaluatedasitsownsolutionandistypicallyanindependentsystem.
ii.
RM:establishpolicyforrecordsmanagementandrecordsretention.
iii.
YourjurisdictionsRecordsManagementPolicyshouldbeajointeffortbytheRM,IT,andlegal
counsel,andapprovedbyuppermanagementandtheelectedofficials.
e. Legalrequirementsforelectronicrecords.
i.
Publicaccessmustbeprovidedtorecordsregardlessoftheelectronicrecordformat.
ii.
Electronicsystemsmustmaintainthesecurityandintegrityoftherecords.
iii.
Whereapplicable,developappropriatedisclaimer(s)toattachtoemailmessages,basedonyour
jurisdictionandposition.Forexample:
a) Confidentialitynotice.[ConfidentialityNotice:Thismessageandanyattachmentsareforthesole
use of the intended recipient(s) and may contain confidential and privileged information that is
exemptfrompublicdisclosure.Anyunauthorizedreview,use,disclosure,ordistributionisprohibited.
Ifyouhavereceivedthismessageinerror,pleasecontactthesender(byphoneorreplybyemail)and
thendestroyallcopiesoftheoriginalmessage.]
b) Noticethataddressesthenatureofemailasapublicrecord.(PleaseNote:Floridahasavery
broad Public Records Law. Most written communications to or from State and Local Officials and
agenciesregardingStateorLocalbusinessarepublicrecordsavailabletothepublicandmediaupon
request.Youremailcommunications,includingyouremailaddress,maythereforebesubjecttopublic
disclosure.)

iv.

Post website statement regarding email addresses as public records as required by Section
668.6076, Florida Statutes: Under Florida law, email addresses are public records. If you do
not want your email address released in response to a public records request, do not send
electronicmailtothisentity.Instead,contactthisofficebyphoneorinwriting.

f.

Training
i.
IT and RM should participate in training such as that offered by DLIS (Division of Library and
Information Services of the Florida Department of State, whose website is
http://dlis.dos.state.fl.us/recordsmgmt/workshops.cfm), IOG, Florida League of Cities, Florida
RecordsManagementAssociation(FRMA),independentspecialists,etc.
ii.
EstablishregulartrainingonPublicRecordsLawsandrecordsretention.
a) Recommendannualemployeerefreshertraining.
b) Trainingisnotjustforgeneralemployees,butisessentialforattorneys,uppermanagement,
andpossiblyelectedofficials.
g. Distinguishbetweenarchiving,retention,andeDiscoveryrequirementsforyourjurisdiction.
h. EstablishPublicRecordsRequestprocedures.
i. PublicagenciesshalladheretotherequirementsoftheDLISsretentionschedules,butrecognizethat
theseareminimumretentionperiods.Thus,thekeyistoestablishyourjurisdictionsretentionpolicy,
documentit,andcomplywithit.
j. Be familiar and comply with Federal Rules of Civil Procedure as well as pertinent State Statutes and
RulesthatapplytoRecordsManagementrequirementsandguidelines(see1.c.).

2. PublicRecords
a. Publicrecordsaredefinedbycontent,notmodeofcommunication.
b. Examplesofemailorotherelectronicdocumentsthatarepublicrecords:
i.
CorrespondenceandMemoranda.
ii.
Meetingagendas.
iii.
Publicrecordsrequests.
iv.
Policiesandprocedures.
v.
Discussionofprogramspecificfunctions.
vi.
Computerlogs,diagnosticinformation,andothercomputersupportdatathatmeetthepublic
recordsdefinition.Shouldbeincludedinrecordsretentionpolicy.
vii.
Transitorymessages/information.
a) Messagesorinformationthatdoesnotsetpolicy,establishguidelinesorprocedures,certify
atransaction,orbecomeareceipt.
b) Retaineduntilobsolete,superseded,oradministrativevalueislost(OSA).
viii.
Social media (Facebook, Twitter, blogs, forums, instant messaging, etc.). Considered to be
publicrecordsifcontainingcommunicationsthatareconnectedwiththetransactionofofficial
businessbyanyagency,withretentionbasedonthecontentofthecommunication.However,
mayqualifyasduplicates,ifrecordcopyismaintainedelsewhere,ortransitorymessages,both
withOSAretention.
c. RecordCopy.
i.
Only the Record (Master) Copy needs to be retained (i.e., often, but not always, the copy
createdbythesender,orthecopyreceivedbytherecipientofemailfromoutsidesource).
ii.
TheRecordCopymedia(e.g.,paper,microfilm,electronic)isdesignatedbythejurisdiction.
iii.
IftheRecordCopyiselectronic,thejurisdictionmustpreservetheintegrityandaccessibilityof
digitalobjects.Archivedelectronicmediamustbetestedatleastevery10yearstoverifythat
themediaarefreeofpermanenterrors.Morefrequenttesting(e.g.,atleastevery5years)is
highlyrecommended.Testingshouldverify:1)theintegrityofthemedia;and2)theavailability
ofoperatingsystemsandsoftwaretointerpretthestoreddata.
d. Duplicate/conveniencecopiescanbedeletedatanytime.Dispositiondocumentationisnotrequiredfor
OSA records except for records that have been microfilmed or scanned as part of a retrospective
conversion project in accordance with Rules 1B26.0021 or 1B26.003, F.A.C., where the microfilm or
electronicversionwillserveastherecord(master)copy.
e. Scannedimages.
i.
Scanningprojectsrequirecostbenefitanalysis.
ii.
ScanneddocumentsmustbereproducedincompliancewithRule1B26.003,F.A.C.
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f.

iii.
Imagesmustbeverifiedforaccuracy.
ITcannottakeresponsibilityforelectronicrecordsnotadministeredbytheITdepartment.Ifapplicable,
IT and RMs must work together to facilitate transfer of documents from personal systems to the
recordsretentionsystem,orotherwiseaddressandassistwithcompliancetopublicrecordslaws.

3. GuidelinesforJurisdictionRecordsRetentionPolicyCompliance
a. HaveawrittenRecordsRetentionPolicycontainingthespecificpracticesyourjurisdictionistofollow,
andcomplywiththosepractices.TheactualpolicyistheresponsibilityoftheRM.
b. RecordsInventory.
i.
CompleteaRecordsInventoryWorksheetforeachRecordSeriesusedbyyourjurisdiction.
ii.
MaintainaMasterListingofRecordSeriesusedlocally.
iii.
Identify which document media (e.g., email, electronic document, paper copy) might be used
witheachrecordseries.
c. RetentionSchedules.
i.
RecordsRetentionSchedulemeanstheretentionrequirementsestablishedbytheDivision[of
LibraryandInformationServices(DLIS)]forpublicrecordsheldbyaspecifiedagencywithinthe
StateofFloridaindicatingtheminimumtimesuchrecordsmustbekept.(Rule1B24.001(3)(l),
F.A.C.)
ii.
GeneralRecordsSchedulesestablishedbyDLIS(e.g.,GS1SL,GeneralRecordsScheduleforState
andLocalGovernmentAgencies)provideretentionperiodswhicharetheminimumperiodsfor
whichrecordsmustberetainedbeforetheyareeligiblefordisposition.Apublicagencyisnot
permittedtoreducetheretentionperiodsstatedinageneralrecordsschedule.
iii.
Individual Retention Schedules. Submit to DLIS a Records Retention Schedule Request Form
(DLISFormLS5E105REff)foranyrecordseriesnotcoveredbyanexistingretentionschedule.
d. RetentionTypes.
i.
Anniversaryyear.
ii.
Calendaryear.
iii.
Fiscalyear.
iv.
Monthsordays.
v.
OSA(Obsolete,Superseded,orAdministrativevalueislost).
vi.
Triggeringevent.
vii.
Permanent.
e. RetentionPractices.
i.
Simplifylistofrecordsseriestominimizeretentionoptions.
ii.
Organizefolderstoidentifyretentionrequirements.
iii.
Dont assume that IT disaster recovery processes will serve as a records retention solution or
alternative. IT maintains file backup for disaster recovery purposes, but records kept for
disasterrecoverycouldbecomepartofadiscoveryprocess.Therefore,backuppoliciesshould
beconsistentwithelectronicfileretentionpolicies.Forexample,donotretainbackupcopiesof
recordsthathavebeendestroyedforalengthyperiodoftimebeyondthedestructiondate.
Retainingabackupcopyofindividualmailboxesforrecoverypurposesinaccordancewithlocal
business continuity practices is sufficient where proper retention processes are in place. The
issue is restoration versus preservation! Users must be trained to understand this principle!
The following is from General Retention Schedule GS1SL for State and Local Government
Agencies,page5,underthetitleBACKUPTAPES:
Thereisnoretentionscheduleforbackuptapesorotherformsofdatabackup.A
backuptape ordriveshouldbejustthat:adata/recordsbackup keptsolelyasa
securityprecautionbutnotintendedtoserveastherecordcopyorasarecords
retentiontool.Inthe caseofdisaster,thebackupwouldbeusedtorestorelost
records;otherwise,agencyrecordsthathavenotmettheirretentionshouldnot
bedisposedofonthebasisoftheexistenceofabackup.
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f.

Records Disposition Records shall be destroyed or otherwise disposed of only in accordance with
guidelines established by DLIS, and in accordance with the requirements of Rule 1B24, F.A.C, which
statesthatforeachrecordseriesbeingdisposedof,agenciesshallidentifyanddocument:
i.
Recordsretentionschedulenumber;
ii.
Itemnumber;
iii.
Recordseriestitle;
iv.
Inclusivedatesoftherecords;
v.
Volume 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
vi.
Dispositionaction(mannerofdisposition)anddate.
g. CompletetheRecordsManagementComplianceStatementeachyearandsubmittoDLIS.
h. Where applicable, purchase an Electronic Records Management System to facilitate retention and
disposition.

4. SpecificConsiderationsRegardingEmail
a. Jurisdictionmustestablishanemailpolicyandtrainingprogram.
b. Eachemployeeisarecordkeeper.
c. Fivestepapproachtoemailretention:
i.
Identifyemailthatisapublicrecord.
ii.
Identifyrecordsseries(i.e.,contentnotmedia).
iii.
Transfer email for retention; e.g., if the jurisdiction has an Electronic Records Management
System,trainemployeestomoveemailtoretentionsystem,ormoveemailtonetworkserveror
otherstoragesite.
iv.
Organizemessageaccordingtoretentionrequirements.
v.
Manageemaildailyorweekly.
d. Retentionbasedoncontent.
i.
Recordseries/classification.
ii.
Retentionlength.
iii.
Dateeligiblefordisposition.
iv.
Retentionmethodmustretainmetadataandattachments.
v.
Retentionrequirementsbasedoncontentofeachindividualemail.
e. Describethecontentinthesubjectlinetofacilitatecontent/recordseriesdetermination.
f. Twotypicalemailrecordseries:
i.
CorrespondenceandMemoranda:AdministrativeRetention3FY(GS1SL,#17).
ii.
CorrespondenceandMemoranda:ProgramandPolicyDevelopmentRetention5FYprovided
applicableauditshavebeenreleased(GS1SL,#338).
g. Deleteemailthatisnonpublicrecord.
i.
Personalemail.
ii.
Email from LISTSERVS, unless it is made or received pursuant to law or ordinance or in
connectionwiththetransactionofofficialbusinessbythejurisdiction.
iii.
SPAMandPHISHINGemail.
h. Emailsystemisnotanautomaticretentionsystem.
i. Emailmanagementisnotjustastorageissue.
j. FinaldispositionMUSTbedocumentedfornonOSAemail.

Resources(thefollowingdocumentscanbefoundathttp://www.cityofnorthport.com/ftp_info/Default.aspx
FLGISARecordsRetentionMaterialdropdownoption):
FLGISARecordsRetentionCommittee
FLGISABestPracticesEmailandElectronicFileRetention20090701.doc
FLGISAMemberResponsesfromMyRequestforFirewallLogs.doc
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 FLGISARecordsRetentionSystemPotentialTechnologyTools20090701.doc
FLGISAResponsestoRemovalofPersonalEmailfromPublicRecordsRequest.pdf
FLGISAResponsestoGovtInternetLogging_1.xls
FLGISAResponsestoRecordsRetentionDiscussion.doc
DivisionofLibraryandInformationServices(akaStateLibraryandArchivesofFlorida)
Training:http://dlis.dos.state.fl.us/recordsmgmt/workshops.cfm
DLISGeneralRecordsScheduleGS1SL20070901.pdf
DLISGS1SL20090422.xls
DLISRecordsInventoryWorksheet.doc
DLISElectronicRecordsandRecordsManagementPractices.pdf
MartinCounty
MartinCountyComputerPolicyPOL47.pdf
MartinCountyEmailManagementPolicyPOL44.pdf
MartinCountyManagingRecordsandEmailTraining20080709.pdf
MartinCountyPersonalInformationExemptfromPublicDisclosurePolicyPOL10.pdf
LeeCountyClerkofCourts
ClerkofLeeCountyEmailRetentionPolicyv04.doc
ClerkofLeeCountyEmailRetentionTraining.ppt
LakeCountyClerkofCourts
ClerkofLakeCountyInformationSecurityandPrivacyPolicy.doc
ClerkofLakeCountyGS1SLRetentionMatrix20080509.xls
OtherRelevantPoliciesandPresentations:
CityofAltamonteSpringsPolicy31408.doc
CityofClermontRecordsManagementManual2008.pdf
CityofLakelandElectronicMail(email)CompliancewithFloridasPublicRecordsLaw.doc
CityofVeroBeachRecordsManagementHandbookrevisedMarch2009.doc
FederalRulesofCivilProcedure
FloridaDepartmentofStateEmailPolicy2005.doc
FloridaSupremeCourtPersonalEmailNotaPublicRecord.pdf
ElectronicRecordkeepingExcerpt1B26_003FAC20090422.pdf