HomeMy WebLinkAbout[04e] Data Practices Policies
4(e)
Council Agenda Item
MEETING DATE:
June 15, 2015
AGENDA ITEM:
Data Practices Policies
SUBMITTED BY:
Administration
BOARD/COMMISSION/COMMITTEE RECOMMENDATION:
None
PREVIOUS COUNCIL ACTION:
BACKGROUND INFORMATION:
Legislative changes to MN Statute 13.025 requires the City
adopt data practice polices. The policies required include: Records Management, Data Practices Policy
for Public and Data subjects. Each of these policies came from the samples received from the State and
are being adopted by the Area Cities.
BUDGET IMPACT:
ATTACHMENTS:
Request for Council Action –
Policy for Ensuring the Security of Not Public Data
Data Practices Policy for Data Subjects
Data Practices Policy for Members of the Public
Records Management
REQUESTED COUNCIL ACTION:
Adopt the polices are required by MN Legislature.
City of St.Joseph
Policy for Ensuring the Security of Not Public Data
Legal Requirement:
The adoption of this policy by the City of St.Joseph(City) satisfies the requirement in Minn. Stat. §
13.05, subd. 5, to establish procedures ensuring appropriate access to not public data. By
incorporating employee access to not public data into the City's Data Inventory (required by Minn.
Stat § 13.025, subd. 1), in the individual employee's position description, or both, the City's policy
limits access to not public data to employees whose work assignment reasonably requires access.
Please direct all questions regarding this policy to the City's Data Practices Compliance Official:
Thomas Jovanovich, City Attorney
Email: thomas.jovanovich(a�s,jklawfirm.com
Phone: 320-230-0203
Fax: 320-230-0188
1010 W. St. Germain, Suite 420
St. Cloud, MN 56301
Procedures imnlementin�this policy
Data inventory
Under the requirement in Minn. Stat. § 13.025, subd. 1, the City has prepared a Data Inventory,
which identifies and describes all not public data on individuals maintained by the City. To comply
with the requirement in Minn. Stat. § 13.05, subd. 5, the City will also include in its Data Inventory
the position titles of the employees who have access to not public data.
In the event of a temporary duty as assigned by a supervisor, an employee may access certain not
public data, for as long as the work is assigned to the employee.
In addition to the employees listed in the City's Data Inventory, the Responsible Authority, the Data
Practices Compliance Of�cial, the City Administrator, senior management employees, and the City
Attorney may have access to all not public data maintained by the City if necessary for specified
duties. Any access to not public data will be strictly limited to the data necessary to complete the
work assignment.
Employee position description
Position descriptions may contain provisions identifying any not public data accessible to the
employee when a work assignment reasonably requires access.
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Data sharing with authorized entities or individuals
State or federal law may authorize the sharing of not public data in specific circumstances. Not
public data may be shared with another entity if a federal or state law allows or mandates it.
Individuals will have notice of any sharing in applicable Tennessen warnings(see Minn. Stat. §
13.04) or the City will obtain the individual's informed consent. Any sharing of not public data will
be strictly limited to the data necessary or required to comply with the applicable law.
Ensuring that not public data are not accessed without a work assignment
Within the City,departments may assign tasks by employee or by job classification. If a department
maintains not public data that all employees within such department do not have a work assignment
allowing access to the data, the department will ensure that the not public data are secure. This
policy also applies to departments that share workspaces with other deparirnents within the City
where not public data are maintained.
Recommended actions for ensuring appropriate access include:
• Assigning appropriate security roles, limiting access to appropriate shared network drives,
and implementing password protections for not public electronic data.
• Password protecting employee computers and locking computers before leaving
workstations.
• Securing not public data within locked work spaces and in locked file cabinets
• Shredding not public documents before disposing of them.
Penalties for unlawfully accessing not public data
The City will utilize the penalties for unlawful access to not public data as provided for in Min. Stat.
§13.09, if necessary. Penalties include suspension, dismissal, or referring the matter to the
appropriate prosecutorial authority who may pursue a criminal misdemeanor charge.
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Data Practices Policy for Data Subjects
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City of St.Joseph
Records Management Policy
Policy
The City of St.Joseph provides for efficient, economical, and effective controls over the creation,
distribution,organization,maintenance,use and disposition of all City records-regardless of form. The
City Administrator's Office is responsible for the development and implementation of a Records
Management Program that will integrate procedures,retention schedules and best practices for the
management of records 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 for carrying out
the records management program required by state law and create the administrative framework through
which the purposes of the program are achieved. The City Council assigns the responsibility for managing
City records to the City Administrator.
Definition of Records
The City of St.Joseph utilizes the definition for records as defined in Minnesota Statute 138.17,
Subdivision 1:
The term"government records"means state and local records, including
all cards,correspondence, discs,maps,memoranda,microfilms,papers,
photographs,recordings,reports,tapes,writings, optical disks,and other
data,information, or documentary material,regardless of physical form
or characteristics, storage media or conditions of use,made or received
by an officer or agency of the state and an officer or agency of a county,
city,town, school district,municipal subdivision or corporation or other
public authority or political entity within the state pursuant to state law
or in connection with the transaction of public business by an officer or
agency;
Subdivision 4 of the statute identifies what data and information is excluded from the definition as
follows:
The term"records"excludes data and information that does not become
part of an official transaction, library and museum material made or
acquired and kept solely for reference or exhibit purposes, extra copies
of documents kept only for convenience of reference and stock of
publications and processed documents, and bonds,coupons, or other
obligations or evidences of indebtedness,the destruction or other
disposition of which is governed by other laws;
Public Access to Records
Access to records containing government data is generally governed by Minnesota Statue 13.03 and
138.17.The City Attorney for the City of St.Joseph is responsible for clarification and interpretation of
Chapter 13 (Data Practices Act).To insure compliance with the act if a request for data is made,the City
Attorney will provide information,clarification and assistance to departments when requested by the
departments.
Subdivision 1 of 13.03 generally defines what public data is as follows:
Page 3
Public Data. All government data collected, created,received,maintained or disseminated by a
state agency,political subdivision, or statewide system shall be public unless classified by statute,
or temporary classification pursuant to section 13.06,or federal law,as nonpublic or protected
nonpublic,or with respect to data on individuals,as private or confidential.The responsibility
authority in every state agency,political subdivision and statewide system shall keep records
containing government data in such an arrangement and condition as to make them easily
accessible for convenient use. Photographic,photostatic,microphotographic,or microfilmed
records shall be considered as accessible for convenient use regardless of the size of such records.
Designation of City Records Manager by the City Administrator and Records Coordinators by
Department Heads
Based on State of Minnesota Statute,the City Administrator is responsible for City records.The City
Administrator can designate the responsibility for the development and maintenance of the City Records
Management Program to the City Records Manager.
Each Department Head is responsible for the records that their departments create and receive. Each
department head may designate a staff inember to serve as the Records Coordinator to implement the
Records Management Program in the department.
Creation and Use of the City Retention Schedule
The City adopted the MN Historical Society City General Records Retention Schedule on August 16,
2004.This schedule determines schedule for maintaining records. The Records Manager provides copies
of the retention schedule to all departments.Department Heads and Records Coordinators provide
assistance(expertise and/or funding)to the City Records Manager on ensuring that their respected
department complies with the retention schedule for the records that are unique to departments.
• Departments are responsible for monitoring and assisting with the update/revisions of the
Department Operational Retention Schedule to ensure that the schedule accurately reflects the
records create and maintained by the department.
• Before records can be destroyed(by a department or the City Records Center),the records must
exist on an approved Retention Schedule
Records not included on the Retention Schedule must be approved by the MN Historical Society's
State Archives Department prior to destruction of documents. The request to destroy a record not on
the Retention Schedule must be submitted on an"Application for Authority to Dispose of Records"
(PR-1)
Development and Use of Records Management Policy and Procedures
The policy and procedure documents are designed to enable the City Administrator to fulfill the
responsibilities outlined by statute.The policy defines the program and assigns the responsibilities and
authorities to administer the program.The procedures outline the roles,responsibilities and actions
required to implement the program.
Governance and Responsibilities
City Administrator—As the principle agent responsible for records of the City,the City Administrator:
• Develops,sponsors,and provides management oversight of the Records Management Program
for citywide implementation.
• Secures funding to implement and support the on-going functions of the program.
Page 4
• Designates a City Records Manager to administer the Records Management 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 including manager,
Department Heads, and the Council.
City Records Manager—The Records Manager:
• Identifies,researches and documents record retention schedules,disposition policies, and
procedures and best practices.
• 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 the management of City
records.
• Fosters a good working relationship with the State Disposition Panel and the Department of
Administration.
Department Heads—As the person in charge of department records at the City,each department head:
• Cooperates with the Records Manager in carrying out the policy and procedures established for
the City of St.Joseph.
• Assigns the Department Records Coordinator(s)to represent the department in activities related
to the management of records.
• Ensures that transactions of city business are properly documented(including services,programs
and duties for which the Department Head and his/her staff are responsible).
• Reviews and signs Record Destruction Report forms for records that have met the retention
requirements
• Ensures that department staff follows the retention, storage and destruction requirements outlined
in the Records Management Procedures.
Records Coordinators—As the individual designated to coordinate records activities for a department,the
Records Coordinator:
• Assists the Records Manager in the review and migration of department schedules and associated
records to the City General Retention Schedule.
• Conducts or supervises the creation of record inventories for the department for the creation of
Department Operational Retention Schedules that capture records that are unique to the
department.
• Develop and implement filing systems to manage large volumes of groupings of records.
• Assists in the review of records that are identified for destruction maintained in the department
and the Records Center.
• Creates and maintains the documentation necessary to implement the program.
• Coordinates and implements the policy and procedures of the Records Management Program for
the department.
Page 5
• Disseminates information to department staff concerning the program.
Development of Department Operation and Specific Series Schedules
The City Records Manager is responsible for the creation and maintenance of the City General Retention
Schedule. The City Records Manager assists Department Heads and Records Coordinators in their efforts
to inventory department operational records that do not appear on the City General Retention Schedule.
Destruction of Records under the Retention Schedule
The schedules should be implemented by departments.Use of the schedules is governed by the
procedures developed to administer the Records Management Program.
Prior to the destruction of a record under an approved retention schedule,a signed authorization must be
obtained from a Department Head or other designated individual.If the destruction occurs in the
department,the department is responsible for documenting its destruction on the City's Records
Destruction Report.
Destruction of Unscheduled Reports
Destruction of City government records can occur only after the records have been scheduled and
approved on the City retention schedules and after they have met their retention requirements.
Under special circumstances, a record not yet listed on an approved retention schedule can be destroyed.
The City Records Manager must submit an"Application for Autharity to Dispose of Records"(PR-1
form)to the MN Historical Society's State Archives Deparhnent and receive approval before unscheduled
records can be destroyed.
Suspension of Records Destruction—Pending Litigation,Government Investigation or Audit
The Department Head 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.Department should
contact their City Attorney representative to clarify the specific records involved in an action to ensure all
record production and discovery obligations can be met.
In cases where records affected by pending litigation,government investigation or audit are eligible for
destruction and are maintained in the City Records Center,the notice of the pending action must be
indicated on the Destruction Authorization Form by the Department Head.The notice on the form will
prove sufficient notice to the City Records Management staff to suspend the destruction of the records
affected by the action.
Minnesota Statute 138.17: governs the disposition of virtually all records of state and local
governmental units in Minnesota Subdivision 1 of 13$.17 specifically outlines the members anc�duties of
the Records Disposition Panel, and discusses destruction,preservation,and reproduction of records an
provides that prima fade evidence. Subdivision 7 of 138.17 defines a records management program.The
Commissioner of Administration is responsible for the development and governance of the state records
management program and explains the duty of local government to develop retention schedules for
review and approval by the Records Disposition Panel.
Minnesota Statutel5.17 Subdivision 1: identifies what records must be maintained by local
governments,the form of the record and the acceptance of reproductions as records.
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Subdivision 2 identifies the Chief Administrative Officer as the person responsible for the preservation
and care of agencies government records.
Responsibility for records.The chief administrative officer of each public agency shall be
responsible for the preservation and care of the agency's government records,which shall include
written or printed books,papers,letters, contracts, documents,maps,plans,computer-based data,
and other records made or received pursuant to law or in connection with the transaction of public
business. It shall be the duty of each agency, and of its chief administrative officer,to carefully
protect and preserve government records from deterioration,mutilation,loss, or destruction.
Records or record books may be repaired,renovated,or rebound when necessary to preserve them
properly.
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Data Practices Policy for Members of the Public
City of St.Joseph
www.cit�fstj oseph.com
Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 1
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Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 2
Right to Access Public Data
The Government Data Practices Act(Minnesota Statutes, Chapter 13)presumes that all government data
are public unless a state or federal law says the data are not public. Government data is a term that means
all recorded information a government entity has, including paper, email,DVDs,photographs, etc.
The Government Data Practices Act also provides that this government entity must keep all government
data in a way that makes it easy for you, as a member of the public,to access public data.You have the
right to look at(inspect), free of charge,all public data that we keep.You also have the right to get copies
of public data.The Government Data Practices Act allows us to charge for copies.You have the right to
look at data, free of charge,before deciding to request copies.
How to Make a Data Request
You may request to look at data or obtain copies of data that this government entity keeps.You may be
asked to make a written request.Make your request for data to the appropriate individual listed in the
Data Practices Contacts on Page 4.You may make requests for data by mail, fax,or email using the Data
Request form on Page 6.
If you choose not to use the data request form,your request should include:
• That you, as a member of the public,are making a request for data under the Government Data
Practices Act,Minnesota Statutes,Chapter 13;
• Whether you would like to look at the data, get copies of the data, or both; and
• A clear description of the data you would like to inspect or have copied
This government entity cannot require you,as a member of the public,to identify yourself or explain the
reason for your data request. However,depending on how you want us to process your request(if, for
example,you want us to mail you copies of data),we may need some information about you. If you
choose not to give us any identifying information,we will provide you with contact information so you
may check on the status of your request. In addition,please keep in rnind that if we do not understand
your request and have no way to contact you,we will not be able to begin processing your request.
How We Respond to a Data Request
Upon receiving your request,we will work to process it.
• If we do not have the data,we will notify you in writing as soon as reasonably possible.
• If we have the data,but the data are not public,we will notify you as soon as reasonably possible
and state which specific law says the data are not public.
• If we have the data,and the data are public,we will respond to your request appropriately and
promptly,within a reasonable amount of time by doing one of the following:
o Arrange a date,time, and place to inspect data, for free, if your request is to look at the
data,or
o Provide you with copies of the data as soon as reasonably possible. You may choose to
pick up your copies, or we will fax them to you. If you want us to send you the copies,
you will need to provide us with an address or f�number.We will provide electronic
copies(such as email or CD-ROM)upon request if we keep the data in electronic format.
Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 3
Information about copy charges in on Page 5. We may require you to pre-pay for the copies
If you don't understand some of the data(technical terminology,abbreviations,or acronyms),please let
us know.We will give you an explanation if you ask.
The Government Data Practices Act does not require us to create or collect new data in response to a data
request if we do not already have the data, or to provide data in a specific form or arrangement if we do
not keep the data in that form or arrangement. (For example, if the data you request are on paper only,we
are not required to create electronic documents to respond to your request.)If we agree to create data in
response to your request,we will work with you on the details of your request,including cost and
response time.
In addition,the Government Data Practices Act does not require us to answer questions that are not
requests for data.
Requests for Summary Data
Summary data are statistical records or reports that are prepared by removing all identifies from private or
confidential data on individuals.The preparation of suinmary data is not a means to gain access to private
or confidential data.We will prepare summary data if you make your request in writing.We may require
you to pre-pay for copies and for the cost of creating the data.Upon receiving your written requests—you
may use the data request form on Page 6. We will respond within ten business days with the data or
details of when the data will be ready and how much we will charge.
Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 4
Data Practices Contacts
Responsible Authority
City Administrator
Judy Weyrens
25 College Ave N
PO Box 668
St.Joseph,MN 56374
320-363-7201
Data Practices Compliance Official
City Attorney
Thomas Jovanovich
Jovanovich,Kadlec&Athman
1010 W.St Gern�ain,Suite 420
St Cloud,MN 56301
320-230-0203
Data Practices Designees-Police Department Admi�trative Se�-vices
Records Specialist
Mary Beth Munden
25 College Ave N
PO Box 268 �
St. Joseph, MN 56374
320-363-8250
Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 5
Copy Costs—Members of the Public
This government entity charges members of the public for copies of government data. These charges are
authorized under Minnesota Statutes, section 13.03, subdivision 3(c).
You may be required to pay for the copies before we will give them to you.
The fees are as follows:
8 %z x 11 Black and white $0.25/page
8 %2 x 14 Black and white $1.00/page
l 1x17 Black and white $1.15/page
8 %z x 11 Color $0.50/page
8 % x 14 Color $1.25/page
11/17 Color $1.40/page
Most Other Types of Copies—Actual Cost
The charge for most other types of copies,when a charge is not set by statute or rule, is the actual cost of
searching for and retrieving the data, and making the copies or electronically transmitting the data (e.g.
sending the data by email).
In determining the actual costs of making copies,we factor in employee time,the cost of the materials
onto which we are copying the data(paper, CD,DVD,etc.),and mailing costs(if any). If your request is
for copies of data that we cannot reproduce ourselves, such as photographs,we will charge you the actual
cost we must pay an outside vendor for the copies.
Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 6
Data Request Form—Members of the Public
Date of request:
I am requesting access to data in the following way:
[ ] Inspection [ ] Copies [ ] Both inspection and copies
Note: Inspection is free but we charge for copies.You may be required to pay for copies before we will
give them to you.
These are the data I am requesting:
Describe the data you are requesting as specifically as possible. If you need more space,please use the
back of this form.
Contact Information
Name:
Address:
Phone Number: Email address:
You do not have to provide any of the above contact information.However, if you want us to mail/email you
copies of data, we will need some type ojcontact information.In addition, if we do not understand your
request and need to get clarification from you, without contact information we will not be able to begin
processing your request until you contact us.
We will respond to your request as soon as reasonably possible.
Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 7
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Policy required by Minnesota Statutes,section 13.025,subdivision 2 Page 8 .
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Records Management Policy
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Page 2
City of St.Joseph
Records Management Policy
Policy
The City of St.Joseph provides for efficient,economical,and effective controls over the creation,
distribution, organization,maintenance,use and disposition of all City records-regardless of form.The
City Administrator's Office is responsible for the development and implementation of a Records
Management Program that will integrate procedures, retention schedules and best practices for the
management of records 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 for carrying out
the records management program required by state law and create the administrative framework through
which the purposes of the program are achieved.The City Council assigns the responsibility for managing
City records to the City Administrator.
Definition of Records
The City of St.Joseph utilizes the definition for records as defined in Minnesota Statute 138.17,
Subdivision 1:
The term "government records"means state and local records, including all cards,
correspondence, discs, maps, memoranda, microfilms,papers,photogr�aphs, recordings, reports,
tapes, writings, optical disks, and other data, information, or documentary material, regardless
of physical form or characteristics, storage media or conditions of use, made or received by an
officer or agency of the state and an officer or agency of a county, city, town, school district,
municipal subdivision or corporation or other public authority or political entity within the state
pursuant to state law or in connection with the transaction ofpublic business by an offcer or
agency;
Subdivision 4 of the statute identifies what data and information is excluded from the definition as
follows:
The term "records"excludes data and information that does not become part of an official
transaction, library and museum material made or acquired and kept solely for reference or
exhibit purposes, extra copies of documents kept only for convenience of reference and stock of
publications and processed documents, and bonds, coupons, or other obligations or evidences of
indebtedness, the destruction or other disposition of which is governed by other laws;
Public Access to Records
Access to records containing government data is generally governed by Minnesota Statue 13.03 and
138.17.The City Attorney for the City of St.Joseph is responsible for clarification and interpretation of
Chapter 13 (Data Practices Act).To insure compliance with the act if a request for data is made,the City
Attorney will provide information,clarification and assistance to departments when requested by the
departments.
Subdivision 1 of 13.03 generally defines what public data is as follows:
Public Data. All government data collected,created,received,maintained or disseminated by a
state agency,political subdivision,or statewide system shall be public unless classified by statute,
or temporary classification pursuant to section 13.06, or federal law,as nonpublic or protected
Page 3
nonpublic,or with respect to data on individuals, as private or confidential. The responsibility
authority in every state agency,political subdivision and statewide system shall keep records
containing government data in such an arrangement and condition as to make them easily
accessible for convenient use.Photographic,photostatic,microphotographic, or microfilmed
records shall be considered as accessible for convenient use regardless of the size of such records.
Designation of City Records Manager by the City Administrator and Records Coordinators by
Department Heads
Based on State of Minnesota Statute,the City Administrator is responsible for City records.The City
Administrator can designate the responsibility for the development and maintenance of the City Records
Management Program to the City Records Manager.
Each Department Head is responsible for the records that their departments create and receive. Each
department head may designate a staff member to serve as the Records Coordinator to implement the
Records Management Program in the department.
Creation and Use of the City Retention Schedule
The City adopted the MN Historical Society City General Records Retention Schedule on August 16,
2004.This schedule determines schedule for maintaining records.The Records Manager provides copies
of the retention schedule to all departments.Department Heads and Records Coordinators provide
assistance(expertise and/or funding)to the City Records Manager on ensuring that their respected
department complies with the retention schedule for the records that are unique to departments.
• Departments are responsible for monitoring and assisting with the update/revisions of the
Department Operational Retention Schedule to ensure that the schedule accurately reflects the
records create and maintained by the department.
• Before records can be destroyed(by a department or the City Records Center),the records must
exist on an approved Retention Schedule
Records not included on the Retention Schedule must be approved by the MN Historical Society's
State Archives Department prior to destruction of documents. The request to destroy a record not on
the Retention Schedule must be submitted on an"Application for Authority to Dispose of Records"
(PR-1)
Development and Use of Records Management Policy and Procedures
The policy and procedure documents are designed to enable the City Administrator to fulfill the
responsibilities outlined by statute.The policy defines the program and assigns the responsibilities and
authorities to administer the program.The procedures outline the roles,responsibilities and actions
required to implement the program.
Governance and Responsibilities
City Administrator—As the principle agent responsible for records of the City,the City Administrator:
• Develops, sponsors,and provides management oversight of the Records Management Program
for citywide implementation.
• Secures funding to implement and support the on-going functions of the program.
• Designates a City Records Manager to administer the Records Management Program.
• Provides guidance and oversight in the.development of an effective communications strategy to
promote the Program.
Page 4
• Encourages ongoing adherence to the program by all City employees including manager,
Department Heads,and the Council.
City Records Manager—The Records Manager:
• Identifies,researches and documents record retention schedules,disposition policies, and
procedures and best practices.
• 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 the management of City
records.
• Fosters a good working relationship with the State Disposition Panel and the Department of
Administration.
Department Heads—As the person in charge of department records at the City,each department head:
• Cooperates with the Records Manager in carrying out the policy and procedures established for
the City of St. Joseph.
• Assigns the Department Records Coordinator(s)to represent the department in activities related
to the management of records.
• Ensures that transactions of city business are properly documented(including services,programs
and duties for which the Department Head and his/her staff are responsible).
• Reviews and signs Record Destruction Report forms for records that have met the retention
requirements
• Ensures that department staff follows the retention, storage and destruction requirements outlined
in the Records Management Procedures.
Records Coordinators—As the individual designated to coordinate records activities for a department,the
Records Coordinator:
• Assists the Records.Manager in the review and migration of department schedules and associated
records to the City General Retention Schedule.
• Conducts or supervises the creation of record inventories for the department for the creation of
Department Operational Retention Schedules that capture records that are unique to the
department.
• Develop and implement filing systems to manage large volumes of groupings of records.
• Assists in the review of records that are identified for destruction maintained in the department
and the Records Center.
• Creates and maintains the documentation necessary to implement the program.
• Coordinates and implements the policy and procedures of the Records Management Program for
the department.
• Disseminates information to department staff concerning the program.
Page 5
Development of Department Operation and Specific Series Schedules
The City Records Manager is responsible for the creation and maintenance of the City General Retention
Schedule.The City Records Manager assists Department Heads and Records Coordinators in their efforts
to inventory department operational records that do not appear on the City General Retention Schedule.
Destruction of Records under the Retention Schedule
The schedules should be implemented by departments.Use of the schedules is governed by the
procedures developed to administer the Records Management Program.
Prior to the destruction of a record under an approved retention schedule,a signed authorization must be
obtained from a Department Head or other designated individual.If the destruction occurs in the
department,the department is responsible for documenting its destruction on the City's Records
Destruction Report.
Destruction of Unscheduled Reports
Destruction of City government records can occur only after the records have been scheduled and
approved on the City retention schedules and after they have met their retention requirements.
Under special circumstances, a record not yet listed on an approved retention schedule can be destroyed.
The City Records Manager must submit an "Application for Authority to Dispose of Records"(PR-1
form)to the MN Historical Society's State Archives Department and receive approval before unscheduled
records can be destroyed.
Suspension of Records Destruction—Pending Litigation,Government Investigation or Audit
The Department Head 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.Department should
contact their City Attorney representative to clarify the specific records involved in an action to ensure all
record production and discovery obligations can be met.
In cases where records affected by pending litigation,government investigation or audit are eligible for
destruction and are maintained in the City Records Center,the notice of the pending action must be
indicated on the Destruction Authorization Form by the Department Head.'The notice on the form will
prove sufficient notice to the City Records Management staff to suspend the destruction of the records
affected by the action.
Minnesota Statute 138.17: governs the disposition of virtually all records of state and local
governmental units in Minnesota Subdivision 1 of 138.17 specifically outlines the members and duties of
the Records Disposition Panel, and discusses destruction,preservation, and reproduction of records an
provides that prima fade evidence. Subdivision 7 of 138.17 defines a records management program.The
Commissioner of Administration is responsible for the development and governance of the state records
management program and explains the duty of local government to develop retention schedules for
review and approval by the Records Disposition Panel.
Minnesota Statutel5.17 Subdivision 1: identifies what records must be maintained by local
governments,the form of the record and the acceptance of reproductions as records.
Subdivision 2 identifies the Chief Administrative Officer as the person responsible for the preservation
and care of agencies government records.
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Responsibility for records. The chief administrative officer of each public agency shall be
responsible for the preservation and care of the agency's government records,which shall include
written or printed books,papers,letters,contracts,documents,maps,plans,computer-based data,
and other records made or received pursuant to law or in connection with the transaction of public
business.It shall be the duty of each agency,and of its chief administrative officer,to carefully
protect and preserve government records from deterioration,mutilation,loss,or destruction.
Records or record books may be repaired,renovated,or rebound when necessary to preserve them
properly.
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