CHAPTER OVERVIEW This chapter discusses fire prevention records, including the Freedom of Information Act and the role and importance of the information management system (IMS).
OBJECTIVES AND RESOURCES
Learning Objectives • Describe what is meant by the terms public record and retention schedule. • Describe the Freedom of Information Act (FOIA) and its impact on fire prevention bureau functions. • Discuss the reasons for the exemptions included in the FOIA. • Discuss the role of an information management system (IMS) within fire prevention bureau operations, and compare and contrast the benefits of using manual and electronic systems. • Discuss the importance of adequately planning and implementing an electronic IMS.
LECTURE
I. Introduction Time: 5 minutes Slides: 4-5 Lecture/Discussion
Objectives: Slides 2-3
Slides 4-5 A. Overview 1. Records generated by and in the possession of fire prevention bureaus are public records. a. Public record is a legal term used by federal and state governments. b. These documents are not necessarily open for public view. 2. There exists a complex set of laws and regulations regarding the management, retention, disclosure, and destruction of public records. a. These laws and regulations should guide the fire prevention bureau’s development of its records management systems. Principles of Fire Prevention, Third Edition Chapter 11 Fire Prevention Records and Record Keeping
b. There are severe consequences for failing to follow prescribed rules concerning public records. 3. Examples of public records include: a. Inspection reports, notices of violation, plan review letters, permit applications, and related correspondence b. Bureau phone logs, inspector’s field notes and daily logs, inspection photographs, third party-inspection reports, and fuel or materials inventories c. Fire investigation reports, witness statements, fire scene photographs, and autopsy reports
II. Legal Requirements for Record Keeping
Time: 10 minutes Slides: 6-9 Lecture/Discussion
Slide 6 A. Overview 1. The federal laws regarding public records within the federal government are in Title 44 of the United States Code. 2. Regardless of whether a fire prevention program is operated as a governmental function or a private concern, the laws regarding public records impact the program. Slides 7-9 B. Freedom of Information and Public Access Laws 1. Overview a. The Department of Defense’s (DOD’s) DOD Freedom of Information Act Handbook is a guide for the public about requesting information from the DOD. b. The public safety veil does not exempt the fire department or fire prevention bureau from releasing public information. c. Within certain limitations, all government agencies and entities are required by law to make information concerning the workings of government available to the people. d. In 1967, President Lyndon Johnson signed the Freedom of Information Act (FOIA) i It was intended to open the workings of government to the public. ii. Press access to agencies significantly increased. iii. States followed with their own statues. 2. Exceptions a. There are exceptions to the federal and state freedom of information and public access laws: i. Ongoing criminal investigations ii. Medical records iii. Personnel records iv. Items affecting national security v. Trade secrets vi. Attorney–client communications b. Copyrighted materials may be accessible for viewing, but photocopying is prohibited. c. Trade secrets also must be protected. i. If the formula for Coca-Cola is part of a materials inventory, the fire prevention bureau must ensure it remains a secret. ii. Allowing trade secrets to be released and potentially used by business competitors is illegal and unethical. 3. Practical application a. Jurisdictions need to have policies that ensure compliance while maintaining necessary safeguards. i. Jurisdictions should consult their legal representative with any questions about whether exemptions exist. b. Meetings of the governing body and appointed boards and commissions must also comply. c. Discussions must take place in public at the appointed time, where all interested parties have the opportunity to observe the proceedings.
Slides 10-14 A. Overview 1. Maintenance of records by fire prevention bureaus: a. Are generally governed by regulations promulgated under state statutes by a state entity that serves as the state archivist b. Retention schedules include time frames for records storage and retention. 2. Failure to retain the records in accordance with the regulations is a criminal act.
IV. Record Management Systems
Time: 10 minutes Slides: 15-20 Lecture/Discussion
Slides 15-16 A. Overview 1. Records of activities are collected or organized into some type of system. 2. Effective records management is essential for an effective fire prevention program. a. Records of inspections, plan reviews, and investigations are the basis for criminal and civil actions. b. Cases can be won or lost based on a single report, and, by extension, on the ability to find a single report. 3. Information on inspections, investigations, plan review, and public education activities should be tracked and reported. a. Data can be used to justify additional staff and resources, track employee performance, or as a basis for cost recovery or user fees. i. Identify useful information elements that are clearly defined and tracked. 1. Includes terms and classifications such as routine, follow-up, and special b. The importance of accurate statistics of the organization’s activities cannot be overstated. 4. The potential value of sharing information is enormous. a. Safety of emergency responders and communications within the organization and government can be enhanced. Slides 17-20 B. Types of Records Management Systems 1. Overview a. The system used must be efficient, effective, and sustainable. b. Records management systems range from two-drawer file cabinets to complex computer systems. i. Complex does not necessarily mean better. c. Efficiency, reliability, and ease of use are the real measures of the system. 2. Manual systems a. Most organizations maintain at least some records manually. i. Paper records are transportable, inexpensive, accessible during power failures, able to be looked at in private, and do not require expertise to use. ii. The downside is that paper takes up considerable space and must be manually filed and searched. 1. Manipulation of data must be accomplished by hand, making statistical study and comparison laborious. iii. Transferring paper records to film or electronic images to save space is, in effect, just another type of manual system.
1, Electronic systems with optical character recognition (OCR) capability translate the written text into digital format. 3.Electronic information management systems (IMS) a. Digital files take up less space, and the data can be sorted, searched, and manipulated by input fields such as date or address or business name. i. The more input fields used, the broader the capability of data manipulation. ii. Unfortunately, each data field input requires a human action. b. Computerized IMSs that integrate records storage with the processes that generate records are a step up in complexity. i. The potential for increasing efficiency and productivity is appealing. ii. Without proper planning and implementation, going high tech can quickly derail any activity. c. Before adopting an electronic IMS, a detailed analysis of the organization’s operational needs must be performed and compared with the capabilities of the proposed system; the following issues must be considered: i. The system must conform to the legal requirements of the jurisdiction for public records. ii. Inspection, investigation, or other code or law enforcement elements that are incorporated must also meet the requirements of the jurisdiction iii. The system should meet the needs of the organization and be adaptable to normal operating procedures. iv. A “smart” system will not compensate for poorly trained personnel. v. Technical support, availability of future software updates, and integration with other systems are as important as system capability. vi. Determine the life expectancy of the media used for data storage. d. The more time spent up front identifying the needs of the organization, the greater the chance of success.
V. Financial Records Time: 5 minutes Slide: 21 Lecture/Discussion
Slide 21 A. Overview 1. Financial records must be generated and maintained in accordance with the appropriate regulations. 2. The system used by the fire prevention bureau should conform to the system in use by its parent government organization. a. Fire prevention bureaus within city fire departments should consult with their city finance department counterparts for guidance. i. The jurisdiction likely has an accounting system in use that can be immediately placed in service, conforms to state requirements, and will automatically generate required reports. 3. Financial records management systems promote financial accountability. a. Funds being embezzled in a fire prevention bureau might seem remote, but it has occurred in organizations ranging from churches and orphanages to law enforcement agencies. b. Financial records management systems are designed to keep honest people honest and facilitate the audit process.
VI. Summary Time: 5 minutes Slides: 22-23 Lecture/Discussion
Slides 22-23 • Public record is a legal term that describes records or other documents concerning or interesting the public or open to public inspection. Examples include paper and electronic records, photographs, maps, recordings, and texts.
• Records generated by and in the custody of fire prevention bureaus are public records and are regulated by state or federal laws and regulations. • The Freedom of Information Act, a federal law passed in the 1967, is designed to open the workings of government to the public. It stipulates that public records, unless exempted from disclosure, must be made available for public inspection. States adopted similar legislation that affected the states and their political subdivisions. The same laws prohibit deliberation by public bodies except at duly authorized public meetings unless specifically exempted. • Exceptions to freedom of information and public access laws include ongoing criminal investigations, medical records, personnel records, items affecting national security, trade secrets, and attorney–client communications. • Retention schedules, generally developed by state archivists, contain requirements that must be followed regarding the retention, storage, and possible destruction of government documents. • Records are maintained within an information management system (IMS), which can range from a manual paper system to one that is fully computerized. • Regardless of type, an IMS should be efficient, reliable, and easy to use and must conform to the regulations regarding public records. • An organization’s IMS must be developed and implemented to complement its normal operating procedure, thereby improving efficiency. Operating procedures should not need to be radically altered in order to accommodate an IMS. • Within the fire prevention bureau, financial records must be generated and maintained in accordance with the appropriate regulations and should conform to the system in use by the bureau’s parent government organization.
