Records Management Program

A.  Policy
B.  Program Authority
C.  Definition of Records
D.  Public Access to Records
E.  Records Manager and Department Records Coordinator
F.  General Retention Schedule - Creation and Use
G.  Goverance & Responsibilites
H.  Department Operational Schedules
I.  Destruction of Scheduled Records
J.  Destruction of Unscheduled Records
K.  Suspension of Records

City of Minneapolis

Records Management Policy

Policy

The City of Minneapolis 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 Clerks 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 and the City Charter.

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 Charter assigns the responsibility for managing City records to the City Clerk. Relevant passages from the Statutes and the Charter are attached as an endnote to this document.1

Definition of Records

The City of Minneapolis 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 Statute 13.03 and 138.17. The Responsible Authority for the City of Minneapolis along with the City Attorney’s Office 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 Responsible Authority along with the City Attorney’s Office 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 nonpublic, or with respect to data on individuals, as private or confidential. The responsible 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 Clerk and Records Coordinators by Department Heads

Based on State of Minnesota Statute and the City Charter, the City Clerk is responsible for City records. The City Clerk 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 (larger departments may require several – as in the case of Public Works) 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 Records Manager prepares the City General Retention Schedule (records common to most departments) for publication and use. Department Heads and Records Coordinators provide assistance (expertise and/or funding) to the City Records Manager during the development of Department Operational Retention Schedules for the records that are unique to departments.

Development and Use of Records Management Policy and Procedures

The policy and procedure documents are designed to enable the City Clerk to fulfill the responsibilities outlined by statute and charter. 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.

Data Practice Records Request Form

Governance and Responsibilities

City Clerk – As the principle agent responsible for records of the City, the City Clerk:

City Records Manager – In addition to other duties assigned in this policy, the City Records Manager:

Records Management Committee – As a member of the committee, each member:

Department Heads – As the person in charge of department records at the City, each department head:

Records Coordinators- As the individual designated to coordinate records activities for a department, the Records Coordinator:

Development of Department Operational 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. The City Records Manager creates Department Operational Schedules and submits the schedules to the Department Head for approval.

Regardless of whether a record is included on the City General Retention Schedule or on a Department Operational Schedule, the record and the recommended retention will be reviewed and approved by the City Attorney. Following his/her review and approval, the schedules and/or updates are forwarded to the State Records Disposition Panel. Following approval, the schedules are available for City use.

In special circumstances, the City Records Manager may choose to temporarily adopt portions of the State of Minnesota Retention Schedule. If a temporary adoption is necessary, the City Records Manager will file a Notification of Adoption form and submit the form for approval by the State Records Disposition Panel.

Destruction of Records under the Retention Schedule

Following the approval of the City of Minneapolis General Retention Schedule and supplemental Department Operational Schedules, the schedules should be implemented by departments. Use of the schedules is governed by the procedures developed to administer the Records Management Program.

Minnesota law requires that a record of all destruction must be created and forwarded to the State of Minnesota Department of Administration. 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. When records that are scheduled for destruction reside in the City Records Center, a Destruction Authorization Form is submitted to the Department Head for review and approval. The City Records Manager completes the Certificate of Destruction Form to document the destruction of records maintained in the City Records Center. Departments complete the Department Destruction Form to document the destruction of records that occur within the department. The detailed steps to destroy records are in the procedures entitled Destruction of Records Maintained in Departments and Destruction of Records Maintained in the City Records Center.

Destruction of Unscheduled Records

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 a PR1 form (Authority to Destroy Records) to the State Records Disposition Panel and receive approval from all members of the panel 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. Departments should contact their City Attorney representative to clarify the specific records involved in an action to ensure that 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 provide sufficient notice to the City Records Management staff to suspend the destruction of the records affected by the action.


1 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 and provides that prima facie evidence. Subdivision 7 of 138.17 defines a records management program. The Commissioner off 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 Statute 15.17 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.

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.

Chapter 3, Section 5 of the Minneapolis City Charter specifically assigns the responsibility for managing the Cities’ records to the City Clerk.

The clerk shall keep the corporate seal and all the paper and records of the City, and keep a record of the proceedings of the City Council, at whose meetings it shall be the Clerk’s duty to attend.”

Last updated Apr 7, 2014