COR 8 – Records Retention - PowerPoint Presentation

COR 8 – Records Retention and Accessibility to Files and Documents Kelly Cramer, OSCA Associate Legal Counsel

COR 8 – Records Retention Sets out how a court should retain their court records and length of retention Sets out transfer and destruction process for documents that reach the retention period

COR 8 – Things to Know Tied to COR 4.08 – use of docket sheet or backer sheet COR 4 – method of record retention, can include electronic What is a disposed case? 8.02(D)(6) Who is the custodian of records? 8.02(B)

COR 8 – Things to know What can be purged? Municipal records not eligible for transfer to archives (COR 8.03) Specific retention section for municipal records (COR 8.04.6) Other records not specified

Key Records Index Records Municipal records Financial records

COR 8.04.6 Judgment Index Most likely backer sheet Permanent retention Dismissed cases 3 years retention for charging document, amendments, docket sheet/backer sheet and disposition 6 months retention for remainder of case file

COR 8.04.6 Acquittal/Conviction/Judgment/SIS Permanent retention for judgment record and index Stealing/DWI/BAC 50 years retention for charging document, amendments, docket sheet/backer sheet, waiver of counsel 12 years retention for remainder of case file

COR 8.04.6 Other Serious Ordinance Offenses 12 years retention for case file (other than judgment record) All other ordinance offenses 3 years retention for case file (other than judgment record) Order for Destruction of Evidence 3 years retention after request date Search Warrant 3 years retention after filing date

8.04.7 – Other Records Court calendars destroy Financial Records 5 years retention or until completion of audit, if sooner Jury Records Questionnaires: 1 year retention after end of jury term or judgment Reports: 2 years retention Master list: 5 years retention after compilation Springfield Municipal only

8.04.8 – Administrative Records Personnel records maintained by court Applications: 3 years from vacancy posting Personnel files(court administrator, court clerk): 3 years from termination Administrative Orders & c ourt directives Until suspended, rescinded or no further value Statistical Reports (summary reports, management reports, etc.) Destroy when no further value Records not otherwise specified and general correspondence Destroy when no further value

Accessibility of Files and Documents COR 2 – Public Access Rule Open Records Act (Sunshine Law), Section 610.010-610.225 RSMo

Confidentiality The Courts are presumed open, confidentiality is an exception. Confidentiality based on statute, rule or order of the court Review COR 2, 4, and 8 for types of confidential records and how to maintain them, who has access to them.

Confidential Information Information that is gained by your employment with the courts Don’t release information before it is available to the public Examples A: Your best friend’s teenager received an MIP violation, do you say something to your best friend? B: A search warrant is filed for your nephew’s home, do you notify your nephew? Some courts have employees sign oath of confidentiality

Confidential Records COR 4.24 defines confidential records as follows : Confidential records shall be maintained so as to be inaccessible to the general public. Such records may be sealed. The following, including court docket sheets and indexes for these matters, are confidential:

Confidential Records – 4.24 Cont’d a) Case records that are closed to the public by chapter 610 RSMo ; n) Juror questionnaires. Questionnaires for individuals comprising criminal jury panels shall be sealed at the conclusion of the trial under Supreme Court Rule 27.09; p) Search warrant applications until the warrant is returned or expires; r) Any other record sealed or closed by statute, Supreme Court Rule or order of a court of record for good cause shown.

Social Security Number 2.05 ACCESS TO SOCIAL SECURITY NUMBERS (a) Official court files. Case records containing social security numbers and personal information may be disseminated pursuant to COR 2.02 if such records are otherwise open to the public pursuant to statute. Unless required by statute, court personnel are not required to expunge or redact social security numbers or personal information that appears in case records. (b) Case management databases. Social security numbers and personal information may be collected and used by the courts for internal purposes such as party identification, compilation of jury lists, collection of fees, fines or restitution. Dissemination of social security numbers and personal information appearing in court databases shall be restricted to court personnel and to those state or federal agencies to which the court has a statutory or constitutional duty to disclose, including, but not limited to, child support enforcement, social security administration, and department of revenue.

Social Security Number/Personal Information (c) Public inquiries. Any public inquiries specifically requesting personal information shall be answered only by providing access to the case files. The clerks shall not provide such information verbally or by facsimile, or e-mail. Personal information includes, but is not limited to: ( 1) Social security numbers; ( 2) Motor vehicle operator license numbers; ( 3) Victim information including name, address, and other contact information; ( 4) Informant information including name, address, and other contact information; ( 5) Witness information including name, address, and other contact information; ( 6) State identification numbers; and ( 7) Financial institution account numbers, credit card numbers, personal identification numbers, or passwords used to secure accounts.

Social Security Number Pursuant to local court rule or order, the clerk may : 1 ) Redact personal information from the public copy of the court record, or (2) Raise the security level of the document in the case management system if the document cannot be adequately redacted to protect personal information.

Confidential Address Secretary of State’s Safe at Home Program Court should use Safe at Home address as the parties address for all mailings and service of documents

Victims of Sex Offenses Section 566.226 RSMo Court must redact identifying information in court records for a victim of: Sexual assault Domestic assault Stalking Forcible rape Identifying information shall include: Name Home or temporary address Telephone number Social security number Physical characteristics

Victims of Sex Offenses Section 566.226 RSMo If the court determines that a person or entity who is requesting identifying information of a victim has a legitimate interest in obtaining such information, the court may allow access to the information, but only if the court determines that disclosure to the person or entity would not compromise the welfare or safety of such victim. Issues Transcripts Redaction COR 5 Sound Recordings Marking the files

Victims of Sex Offenses Section 566.226 RSMo Charge Codes Domestic Assault ORDIN.0-010Y200013.0 Stalking ORDIN.0-276Y200353._

Criminal Cases Section 610.105 Applies to Cases: Nolle Prosse Dismissed Acquittal Suspended Imposition of Sentence (SIS ) The final disposition, courts judgement or order may be accessed. It also applies to: Not guilty due to mental disease or defect The final disposition may be accessed only by law enforcement agencies, child-care agencies, and in-home service provider agencies.

Criminal Cases Section 610.105 Section 610.120 RSMo Allows Access to: Criminal justice agencies for the administration of criminal justice pursuant to Section 43.500, RSMo , criminal justice employment, screening persons with access to criminal justice facilities, procedures, and sensitive information; To law enforcement agencies for issuance or renewal of a license, permit certification, or registration of authority from such agency including but not limited to watchmen, security personnel, private investigators, and persons seeking permits to purchase or possess a firearm; those agencies authorized by Section 43.543, RSMo , to submit and when submitting fingerprints to the central repository; To law enforcement agencies for issuance or renewal of a license, permit, certification, or Federal agencies for purposes of criminal justice administration, criminal justice employment, child, elderly, or disabled care, and for such investigation purposes as authorized by law or presidential executive order.

Public Access COR 2 Refer requestor to public terminal where they can access public information A party to the case has access to their case records Background Checks Should use MSHP a nd Rap Back Program as t hey are custodian of record

Media Requests Addressed under the: Open Records Act (Sunshine Law) for administrative records or records produced as part of the court’s administrative function; or COR 2 Public Access to Court Records

Open Records Act “Public governmental bodies” applies to courts only when operating in an administrative capacity, otherwise access is determined by COR 2 Examples Questions about building and budgets (COR 20) Meeting minutes and deliberations

Reminders The courts are presumed open, confidentiality is an exception. If you don’t know, don’t be afraid to ask!