COR 8 – Records Retention - PowerPoint Presentation

Slide1

COR 8 – Records Retention

and

Accessibility to Files and Documents

Kelly Cramer, OSCA Associate Legal CounselSlide2

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 periodSlide3

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)Slide4

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 specifiedSlide5

Key Records

Index Records

Municipal records

Financial recordsSlide6

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 fileSlide7

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 fileSlide8

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 dateSlide9

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 onlySlide10

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Until suspended, rescinded or no further value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 valueSlide11

Accessibility of Files and Documents

COR 2 – Public Access Rule

Open Records Act (Sunshine Law), Section 610.010-610.225

RSMoSlide12

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.Slide13

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 Slide14

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:Slide15

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. Slide16

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.Slide17

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.Slide18

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.Slide19

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 documentsSlide20

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 characteristicsSlide21

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 filesSlide22

Victims of Sex Offenses

Section 566.226

RSMo

Charge Codes

Domestic

Assault

ORDIN.0-010Y200013.0

Stalking

ORDIN.0-276Y200353._Slide23

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.Slide24

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.Slide25

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 Slide26

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 RecordsSlide27

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 deliberationsSlide28

Reminders

The

courts are presumed open, confidentiality is an exception.

If you don’t know, don’t be afraid to ask!Slide29