Chapter 2.40
RECORDS MANAGEMENT
Sections:
2.40.010 Open records.
2.40.020 Access and inspection of records.
2.40.030 Request for records – Response by the borough.
2.40.040 Charges and fees for records.
2.40.050 Certified copies of records.
2.40.060 Compilation or creation of records.
2.40.070 Personal and proprietary records available for public disclosure.
2.40.080 Notice regarding personal information.
2.40.090 Information accuracy and completeness.
2.40.100 Exemptions for particular records.
2.40.110 Denial of request, appeal.
2.40.120 Records management program creation and administration.
2.40.130 Ownership of records.
2.40.140 Records management roles and responsibilities.
2.40.150 Noncurrent records not to be maintained in office files.
2.40.160 Disposal of records.
2.40.170 Micrographic program established.
2.40.180 Micrographic standards.
2.40.190 Alteration and replacement of public records.
2.40.200 Audit.
2.40.210 Definitions.
2.40.010 Open records.
Unless specifically provided otherwise, the public records of the borough are open to inspection by the public under reasonable rules during regular office hours. The clerk or employees having custody of public records shall give on request, upon payment of the fee, a copy of the public record. The fee will be based on the fee schedule adopted by resolution of the assembly. [Ord. FY2010-02 §2, 2009].
2.40.020 Access and inspection of records.
Public records that are immediately available may be inspected at the borough office where the records are kept during the regular office hours. All borough employees shall, consistent with the orderly conduct of borough business, make a good faith and diligent effort to respond to requests for inspection or copies of records made pursuant to the KIB Code. [Ord. FY2010-02 §2, 2009].
2.40.030 Request for records – Response by the borough.
A. For records that are not immediately available in the borough offices, a requester shall submit a written request to inspect or obtain a copy of a borough record through the clerk’s office. The request shall be accompanied by the applicable fee. The clerk’s office coordinates with the borough department who is the custodian of the borough record.
B. A borough department that receives a request to inspect or provide a copy of a borough record shall respond as follows: If the borough record is subject to inspection under this chapter and is readily available, the borough department shall permit the requester to inspect the borough record, and provide the requester with a copy of the borough record, at the time the request is made.
1. If the requested borough record is subject to inspection under this chapter but either the borough record is not immediately available, or staff resources of the borough department are not sufficient to respond to the request when it is made, the borough clerk shall provide the borough record for inspection or provide a copy of the record as requested within 10 business days after receiving the request.
2. If the borough clerk must determine whether the borough record is subject to inspection under this chapter, within 10 business days after receiving the request, the borough clerk shall make that determination, and at that time either:
a. Provide the borough record for inspection or provide a copy of the record as requested; or
b. State in writing that the borough record is not subject to inspection, including a citation to the provision of borough, state, or federal law that authorizes or requires the withholding of the borough record from inspection.
C. The borough clerk may extend the initial 10-business-day period established under subsection B of this section for a period not to exceed 10 additional business days by providing notice to the requester within the initial 10-business-day period. The notice must state the reason for the extension and the date by which the borough department expects to be able to furnish the requested record or to issue a determination that the record is not subject to disclosure. [Ord. FY2010-02 §2, 2009].
2.40.040 Charges and fees for records.
A. Except as otherwise provided in this section, the fee for copying public records may not exceed the standard unit cost of duplication established by the borough and per the fee schedule. The resolution may also contain a separate fee for providing electronically generated public records, to be based on recovery of the actual incremental costs of providing the electronic record.
B. If the production of records for one requester or the agent of a requester in a calendar month exceeds five person hours, the borough shall require the requester to pay the personnel costs required during the month to complete the search and copying tasks. The personnel costs may not exceed the actual salary and benefit costs for the personnel time required to perform the search and copying tasks. The requester shall pay the fee before the records are disclosed, and the borough may require a deposit in advance of the search.
C. Any fee may be reduced or waived by the clerk if it is determined that the reduction or waiver is in the public interest. Fee reductions and waivers shall be uniformly applied among persons who are similarly situated. The borough shall waive a fee of $5.00 or less. [Ord. FY2010-02 §2, 2009].
2.40.050 Certified copies of records.
The clerk shall give, on request and payment of costs, a certified copy of any public record required to be disclosed under the Kodiak Island Borough Code. A fee may be charged for certified copies set in accordance with the currently approved Kodiak Island Borough fee schedule. [Ord. FY2010-02 §2, 2009].
2.40.060 Compilation or creation of records.
Kodiak Island Borough Code shall not require the borough to create records, compile, summarize, outline or in any other way create information from existing public records. In those instances where the borough employee who is the custodian of the record determines that the borough has the requisite resources to compile or create records to comply with a request for information, the borough may charge the requester with the costs of such compilation or summary, which costs shall be set in accordance with the currently approved fee schedule resolution. [Ord. FY2010-02 §2, 2009].
2.40.070 Personal and proprietary records available for public disclosure.
A. If the borough employee who is custodian of a record that is subject to public disclosure considers all or a portion of the information requested to be of a sensitive personal or proprietary nature, the employee may attempt to notify the person who is the subject of the record or person who may be concerned with its pending release. Failure to notify shall not be grounds for action against the borough or its employees.
B. If an objection to release the record is filed, the borough shall delay the release of the record for at least five working days in order to provide time for the objecting party to seek appropriate restrictions or release of any portions of the record. [Ord. FY2010-02 §2, 2009].
2.40.080 Notice regarding personal information.
A. When a department of the borough requests personal information that may be included in a public record directly from the person who is the subject of the information, that department shall give the person a written notice at the time of the request that states:
1. The name and address of the department;
2. The citation of the statute, regulation, or code section that authorizes the department to request the information;
3. A statement indicating whether the person is required to supply the information;
4. The consequences to the person, if any, of not providing all or part of the requested information;
5. A statement of the department’s anticipated uses of the information, including the department’s internal uses of the information and disclosure of the information to other departments;
6. The fact that the information may be subject to inspection and copying under this chapter; and
7. A statement summarizing how a person may challenge under KIBC 2.40.090 the accuracy or completeness of personal information maintained by the department.
B. A department may provide the written notice required under subsection A of this section by:
1. Placing the notice on the form used to request the information from the person;
2. Giving the person the notice on a separate sheet that accompanies the form used to request the information from the person;
3. Giving the person a statement in a pamphlet, booklet, manual, or other printed matter at the time the information on the person is requested; or
4. Prominently posting a sign containing the notice in a prominent location so that the sign can be easily observed and read by the person at the time the information is requested.
C. This section does not apply to a request for information on a person if:
1. The request is made by a peace officer; in this subsection, “peace officer” has the meaning given in AS 01.10.060;
2. The person is the department’s employee;
3. The information is related to litigation; or
4. The information is being collected by a public agency when investigating a possible violation of law. [Ord. FY2010-02 §2, 2009].
2.40.090 Information accuracy and completeness.
A. A person who is the subject of personal information that is maintained by a department and subject to public disclosure under this chapter may challenge the accuracy or completeness of the personal information.
B. To challenge the accuracy or completeness of personal information under subsection A of this section, the person must file with the department a written request that the personal information be changed. The request must provide:
1. A description of the challenged personal information;
2. The changes necessary to make the personal information accurate or complete; and
3. The person’s name and the address where the department may contact the person.
C. Within 30 days after receiving a written request made under subsection B of this section, the department may request verification of the disputed personal information from the person who made the request.
D. Within 30 days after receiving the written request under subsection B of this section or the verification under subsection C of this section, the department shall review the request and:
1. Change the personal information according to the request and notify the person in writing of the change; or
2. Deny the request and notify the person in writing of the reasons for the decision and the name, title, and business address of the person who denied the request.
E. If a request is denied under subsection D of this section, the person may provide to the department a concise written statement that states the person’s reasons for disagreeing with the decision. The department shall maintain in its records the request made under subsection B of this section and the statement provided by the person under this subsection. On all of the department’s records that contain the disputed information, the department shall clearly note which portions of the records are disputed. If the record is in electronic form, the department may note the dispute in one field of the electronic form and maintain the other information about the dispute in paper form.
F. This section does not apply to criminal intelligence or criminal investigative records, criminal justice information under AS 12.62, borough personnel or retirement system records, or records of applicants for employment with the borough. [Ord. FY2010-02 §2, 2009].
2.40.100 Exemptions for particular records.
A. This chapter shall not be construed to require disclosure of:
1. Communication between the borough and the attorney’s office which is subject to the attorney/client privilege;
2. Borough personnel records, including employment applications and examination and other assessment materials;
3. The following information is available for public inspection, subject to reasonable regulations on the time and manner of inspection:
a. The names and position titles of all borough employees;
b. The position held by a borough employee;
c. Prior positions held by a borough employee;
d. Whether a borough employee is in a collective bargaining unit;
e. The dates of appointment and separation of a borough employee; and
f. The compensation authorized for a borough employee;
4. A borough employee has the right to examine the employee’s own personnel files and may authorize others to examine those files;
5. Appraisals prepared by the borough assessor used in property negotiations during such negotiations;
6. Proprietary software programs;
7. Records required to be kept confidential by a federal law or regulation or by state law or by borough law; and
8. Records which are pre-decisional and deliberative under Alaska law. [Ord. FY2010-02 §2, 2009].
2.40.110 Denial of request, appeal.
A. If the borough employee who is the custodian of a record considers the information requested to be confidential pursuant to applicable federal, state, or borough law, within 10 working days of receiving the request shall prepare and provide the requester a written statement setting forth the following information:
1. Date;
2. Item of information requested;
3. The specific provision of applicable state, federal, or borough law exempting the requested information from disclosure;
4. The title and signature of the employee withholding the information; and
5. The right of the requester to appeal the decision pursuant to subsection B of this section.
B. In the event a party is denied access to requested information under the provisions of subsection A of this section, the person may submit a written appeal to the borough manager. Within 10 working days of receiving the appeal, the borough manager shall issue a written response to the requester, either granting or denying the appeal and notifying the requester of the right to appeal the decision to the borough assembly which shall be the final and binding authority. [Ord. FY2010-02 §2, 2009].
2.40.120 Records management program creation and administration.
The clerk shall establish and maintain a borough records management program, adopted by resolution, which shall include the retention schedule and procedure for inventory, storage, and destruction of records.
A. The program objectives shall be to:
1. Provide coordination between departments on all phases of the records management program; and
2. Facilitate exchange of ideas on all aspects of records management among departments to permit savings through more uniform and efficient paperwork techniques. [Ord. FY2010-02 §2, 2009].
2.40.130 Ownership of records.
A. All borough records are property of the borough. Unless otherwise permitted or required by law, no person may:
1. Deface, alter, or destroy a borough record;
2. Remove a borough record from the borough’s possession;
3. Disclose confidential information of a borough record; or
4. Except for a borough official or employee in the course of performing official duties, inspect or copy confidential information in a borough record.
B. In addition to any other penalty provided by law, violation of subsection A of this section by a borough employee may be cause for disciplinary action.
C. No borough official or employee has, by virtue of the official or employee’s position, any personal or property right to such records even though the official or employee develop or compile them.
D. All borough records shall be and remain the properties of the borough and may not be removed, destroyed, or disposed of, except as provided in this chapter. They shall be delivered by outgoing officials and employees to their successors and shall be preserved, stored, transferred, and otherwise managed, only in accordance with the provisions of this chapter or as otherwise provided for by law.
E. The borough may initiate a civil action to recover records unlawfully removed from borough possession. [Ord. FY2010-02 §2, 2009].
2.40.140 Records management roles and responsibilities.
A. Accountability. The overall accountability for the borough records management program lies with the clerk.
B. Responsibilities.
1. Borough Assembly.
a. Executive body that endorses the principles of efficient records management for borough public records kept in accordance with state law. The records management program includes the systematic control of records from their creation or receipt, through their processing, distribution, organization, storage, and retrieval to their ultimate disposition for the purpose of reducing the costs and improving the efficiency of record keeping. The term includes the development of records retention schedules, a uniformed record plan, the management of filing and information retrieval systems, the protection of essential and permanent records, the economical and space-effective storage of inactive records, the management of micrographics and electronic and other records storage systems, and the development of policies and procedures to implement the program;
b. Approve borough records retention schedules and any amendments; and
c. Authorize, by resolution, the periodic disposal of the records to be destroyed.
2. Borough Manager.
a. Ensure that all departments comply with the records management program; and
b. Approve the records management policies and procedures as prepared by the clerk.
3. Borough Clerk.
a. Assigned by the assembly to provide central leadership and oversight of the records management program per AS 29.20.380 and KIBC 2.50.020; and
b. Prepare and approve the records management policies and procedures.
4. Department Heads. The head of each borough department is responsible for:
a. Designating a departmental records management coordinator who shall represent the department on the borough records management team;
b. Implementing and ensuring compliance with the records management program within the department according to the borough standards, policies, and best practices;
c. Establishing and maintaining file systems in compliance with prescribed standards and procedures;
d. The preparation and periodic revision of a departmental records retention schedule which shall be submitted to the records management team;
e. The physical inventory of all records created and maintained in their own department; and
f. The preparation of inactive records for micrographic conversion and/or for relocation to the records storage area.
5. Borough Attorney.
a. Review retention schedules for legal compliance and sign off destruction of borough records; and
b. Responsible for notifying borough manager and clerk’s office of litigation holds and releases for borough records upon potential suspicion of litigation, or subpoena of borough records.
6. Deputy Clerk as Records Management Team Leader.
a. Prepares and administers the records management policies and procedures according to the deputy clerk’s job description; and
b. Works with the records management team to fulfill its roles and responsibilities.
7. Records Management Team Members.
a. Assess and evaluate the borough records management program and systems in place. Identify the records management needs, prioritize those needs, and provide support for the total records management program;
b. Review recommended retention schedules submitted by borough departments and forward recommended retention to the assembly for adoption;
c. Responsible for providing coordination between the records management team and personnel in their department to ensure compliance with the provisions of the records management program. They are also responsible for maintaining their department records, both active and inactive, for the life cycle of the record; and
d. Serve as the spokesperson for the records program for their department and shall inform their department of any changes in policies and procedures.
8. Borough Employees and Contracted Agents.
a. Create, capture, and organize records of transactions undertaken in business processes according to the borough’s policies, procedures, and this chapter. [Ord. FY2010-02 §2, 2009].
2.40.150 Noncurrent records not to be maintained in office files.
Records no longer required in the conduct of current business by any office of the borough shall be promptly transferred to the records center at the time such action is designated on an approved records retention schedule. Such records shall not be maintained in current office files or equipment. [Ord. FY2010-02 §2, 2009].
2.40.160 Disposal of records.
A. Any records to be destroyed shall be reviewed and approved by the department head and clerk, and signed off by the attorney.
B. The assembly, by resolution, shall authorize the disposal of the records to be destroyed.
C. The resolution authorizing the disposal of records shall provide for the destruction of records of the borough which have been found not to be of historical interest nor to have a legal or administrative value; permanent but nonhistorical and have been microfilmed; or not of a historical, legal, or administrative value. Records may also be disposed of by returning them to the original owner.
D. The clerk shall dispose of the records to be destroyed in a manner determined to be appropriate.
E. Upon disposal, the clerk shall file in the clerk’s office, a descriptive list of the records disposed of and microfilmed. [Ord. FY2010-02 §2, 2009].
2.40.170 Micrographic program established.
The assembly, in the resolution as to the record retention schedule, may authorize the substitution of microfilmed copies or optical disc imaged copies for any original records, including records to be periodically disposed of, and the disposal of these original records once microfilmed. Records pertaining to any claim and demand by the borough or against it, or any account in which the borough is concerned, either as a debtor or creditor, shall not be destroyed until the claim, demand, or account has been settled and adjusted. A reproduction, print, or enlargement from an authorized microfilm copy of an original record shall be considered as an original record for all purposes, including the introduction in evidence in any court or other legal or administrative proceedings. When microfilmed, the original records may be destroyed or otherwise. A centralized micrographic program may be designed and implemented by the clerk to serve all borough offices and departments. No office or department shall operate a separate micrographic program, and no borough funds may be expended to film, or to contract with a service company to film, any borough records, except through the clerk’s office. [Ord. FY2010-02 §2, 2009].
2.40.180 Micrographic standards.
Microfilm used for archival or security purposes must meet or exceed the technical standards for quality, density, resolution, and definition of the American National Standards Institute (ANSI) as required by law. The master negatives of such film shall not be used for making use copies and shall be stored off-site. Microfilm records must be indexed. The clerk shall periodically check and certify that a microform record is a true and accurate duplication of the original record. [Ord. FY2010-02 §2, 2009].
2.40.190 Alteration and replacement of public records.
A. An original public record that is worn or damaged may be replaced by a reproduction that produces a clear, accurate, and long-term copy or reproduction of the original record. Certification by the clerk that the replacement is a correct copy of the original shall appear at the end of the reproduction. When original public records are photographed or otherwise mechanically reproduced under the provisions of this chapter and the reproduction is placed in conveniently accessible files and provisions are made for preserving and using them, the original records from which they were made may be destroyed as provided by this chapter.
B. Reproductions or replacements of records made under this chapter are considered original records for all purposes and are admissible in evidence as original records. [Ord. FY2010-02 §2, 2009].
2.40.200 Audit.
A. All borough employees are required to use the records management program established and supervised by the clerk.
B. Periodic audits will be conducted of the records management program by a certified records management consultant. The overall purpose of the records management audit is to provide information about the efficiency and effectiveness of the records management program as a whole and of the individual functions that make up the system. Providing this information to the assembly and the appropriate people is the purpose of the audit.
C. Analysis from the audit will be forwarded to the assembly for further action.
D. The records management team leader will report to the assembly upon receipt of the audit the records management progress in each department including summaries of the statistical and fiscal data compiled. [Ord. FY2010-02 §2, 2009].
2.40.210 Definitions.
Unless the context otherwise requires:
A. “Borough” means any department, division, board, commission, employee, official, appointee, volunteer, or private contractor that has custody of public records.
B. “Certified copy” means a copy of a document certified as correct by the clerk.
C. “Clerk” means the borough clerk or any properly authorized assistant or designee.
D. “Confidential information” means information whose disclosure is restricted by a borough, state, or federal statute, ordinance, regulation, rule, or judicial decision.
E. “Disposition” means either the transfer of inactive records to the records center or the disposal of noncurrent records by destruction.
F. “Historical record” means those public records that are retained for purposes of history and not necessarily for business purposes.
G. “Microform” means the format in which microfilm is generated. It may be a roll, cartridge, jacket, fiche, or an aperture card.
H. “Micrographic” means the use of various forms of microfilm in the management of records and information.
I. “Physical inventory” means a complete listing of file contents by record or record series, together with sufficient supporting data to enable a proper evaluation for determining retention periods.
J. “Proprietary information” means information regarding techniques, methods, strategies, or other unique data in which a valuable property interest may be established or which may be used by one person or entity for a competitive advantage.
K. “Public records” means books, papers, files, accounts, writings, including drafts and memorializations of conversations, and other items, regardless of format or physical characteristic, that are developed or received by a public agency, or by a private contractor for a public agency, and that are preserved for their informational value or as evidence of the organization or operation of the public agency; “public records” does not include proprietary software programs.
L. “Records” means any document, paper, book, letter, drawing, map, plat, photo, photographic file, motion picture film, microfilm, microphotograph, exhibit, magnetic or paper tape, punched card, electronic record, or other document of any other material, regardless of physical form or characteristic, developed or received under law or in connection with the transaction of official business and preserved or appropriate for preservation by the borough, as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the borough or because of the informational value in them. The term does not include library and museum material developed or acquired and preserved solely for reference, historical, or exhibition purposes, extra copies of documents preserved solely for convenience of reference, or stocks of publications and processed documents.
M. “Record series” means a group of related records which are normally used and filed as a unit and which permit evaluation as a unit for retention scheduling purposes; a “record series” may contain both forms and correspondence.
N. “Retention period” means the period of time established in accordance with statutory or other requirements which must elapse before disposition may be made of records.
O. “Vital records” means those public records necessary to assure continuance of essential governmental operations to protect the legal and financial operation of the borough in the event of disaster or catastrophic loss of the borough’s records. [Ord. FY2010-02 §2, 2009].