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SR-103-002-01 (2) f:ctyclerk\melodi\records2001.doc Santa Monica, California City Council Meeting 03-27-01 TO: Mayor and City Council FROM: City Staff SUBJECT: Resolution approving a Records Retention Schedule for the City of Santa Monica, and recommendation to approve a revision to the Records and Information Management Manual INTRODUCTION : This report recommends that the City Council adopt the above-referenced resolution and approve the revised Records and Information Management Manual. BACKGROUND: On December 9, 1997, the City Council approved a City-wide Records Management Program, a Records Management Manual, and adopted Resolution No. 9221 (CCS) approving records retention schedules for the City Attorney’s Office, the Personnel Department, the Fire Department, and the Transportation Department (BBB). On August 17, 1999, Council adopted Resolution No. 9433 (CCS) approving records retention schedules for the City Council Office, the City Manager’s Office, the City Clerk’s Office, and the Finance Department, and on November 11, 2000, Council adopted Resolution No. 9592 (CCS) approving records retention schedules for the Environmental and Public Works Management and the Resource Management Departments. Since December 1997 modifications have been made to several departments’ records retention schedules reflecting additional forms and/or changes in department policies. In August 1999 the manual was revised to accommodate procedure changes and new forms. The City’s records retention schedule includes the addition of recently approved Community and Cultural Services, Library, and Planning and Community Development Departments. Staff will return to Council to request approval to this document when the Police Department’s inventory process is completed. It is also expected that as new forms are created, as existing forms become obsolete, as individual departments’ policies change and as laws change, both the manual and the retention schedule will be updated. The updates will periodically be presented to Council for approval. DISCUSSION: Staff recommends changing the manual’s title and the program title from “Records Management” to “Records and Information Management” to reflect the broad scope of our program. Based on this change and the addition of new forms, staff recommends approving the revised copy of the Records and Information Management Manual reflecting the modifications. City of Santa Monica Records and Information Management Manual March 27, 2001 2 All departments listed in the City of Santa Monica’s Records Retention Schedule designated department representatives to work with the Records Management Coordinator during both the inventory and the retention schedule development processes. The retention period for each record title was established based on legal statutes, regulations or requirements, the knowledge of the usage of the records series from the Department Records Coordinator, and the importance of the records. The schedule was then reviewed by division heads, approved by the Department Head, and finally reviewed and approved by the City Attorney and the City Clerk. Since the approval of the Records Management Manual on December 9, 1997, the uniformity of paper management within the City is improving department by department. The distribution of the manual to all Department Records Coordinators has given staff a resource to use when issues of document control arise. Adoption of the proposed resolution will allow City departments to manage documents based on the approved records retention schedule. The destruction process requires written authorization from the Department Head, the City Attorney, and the City Clerk. If deemed necessary, a Department Head may opt to keep documents longer and, if pending litigation is imminent, documents will not be destroyed until one year after the case is settled. FINANCIAL IMPACT: There is no financial impact. City of Santa Monica Records and Information Management Manual March 27, 2001 3 RECOMMENDATION : Staff recommends that the City Council: 1. Adopt a resolution approving the Records Retention Schedule for the City of Santa Monica; and, incorporating Resolution No. 9221 (CCS) which approved the Records Management Program, by reference; 2. Approve a revision to the Records and Information Management Manual. Prepared by: Maria M. Stewart, City Clerk Melodi A. Pearson, Records Management Coordinator Attachment: Attachment A: Resolution Attachment B: Records & Information Management Manual City of Santa Monica Records and Information Management Manual March 27, 2001 4 City of Santa Monica Records & Information Management Manual USERS’ PROCEDURES City of Santa Monica Records and Information Management Manual March 27, 2001 5 Preface This manual outlines the procedures to be followed by all City Departments for the Records and Information Management Program for the City of Santa Monica. Adherence to these procedures will result in: (1) the orderly retirement or destruction of documents no longer needed; (2) a reduction in the need for file equipment; (3) an increase in the amount of space available for other purposes; and (4) efficient retrieval of information from active files within the departments and from the inactive files transferred to offsite storage. All department and division heads should periodically review these policies and procedures to ensure that the most economical and efficient methods are being used in the creation, maintenance and disposition of City records. Suggestions for changes in policies or procedures are encouraged and welcome, and should be submitted to the Records Management Coordinator. The success of the program will depend on each Departments attitude and concern for the Citys == records. It is the Citys objective to establish a practical, economical and efficient Records and = Information Management Program which will contribute to the City of Santa Monicas progress. We = respectfully request your understanding and cooperation. __________________________ ___________________________ MARSHA JONES MOUTRIE MARIA M. STEWART City Attorney City Clerk __________________________ MELODI A. PEARSON Records Management Coordinator Revised No. 2 March 2001 City of Santa Monica Records and Information Management Manual March 27, 2001 6 TABLE OF CONTENTS Preface …………………………………………………………………………………….2 I.THE RECORDS AND INFORMATION MANAGEMENT PROGRAM Objective, Policy and Responsibility...................................................................4 II. RETENTION AND DISPOSITION..................................................................................6 A. HOW TO USE AND INTERPRET THE RETENTION SCHEDULE.7 III. INACTIVE FILES..........................................................................................................10 A. OFFSITE STORAGE PROCEDURES.....................................................11 B BOX/FILE RETRIEVALS AND REFILES.................................................15 IV. DESTRUCTION PROCEDURES....................................................................................19 A. ONSITE DESTRUCTION........................................................................19 B. OFFSITE DESTRUCTION..................................................................................19 V. RECORDS COMMON TO MANY DEPARTMENTS.............................................21 VI. AUTHORITY................................................................................................................26 VII. GLOSSARY................................................................................................................30 City of Santa Monica Records and Information Management Manual March 27, 2001 7 I. THE RECORDS AND INFORMATION MANAGEMENT PROGRAM Records Management is the systematic control over the acquisition, processing, use, protection, storage and final disposition of all recorded information required by municipal government to effectively conduct its business. It involves assembling and managing the correct information (1) in the proper form, (2) at the right time and place, and (3) for use by the appropriate persons. Thus, it is a dynamic system for managing records in an efficient and cost effective manner. Records serve as administrative and legal tools and are created in the course of and as a by-product of the public officers performance of duty. Records are not created for historical purposes but create history = by their existence. Objectives: 1. A. Reduce the quantity of duplicate records in the City through the identification of the original copy of a given record. B. Provide for the systematic control of paperwork, maintenance, usage and disposition of records. C. Provide adequate controls over the creation of file materials and prevent accumulation of unnecessary files. D. Facilitate the classification, filing, retrieval, charging out and refiling of records. E. Satisfy departmental administrative needs and legal mandates. F. Ensure the proper preservation of, and public access to, historical records. Policy: 2. To establish and maintain an efficient program for systematic distribution, organization, maintenance, and disposition of all City records. Responsibility: 3. City Clerk. A. The City Clerk is responsible for maintaining all official records of the City. As such, the City Clerk has major program responsibility for directing the Citys Records and = Information Management Program and is authorized to make administrative changes to the Program. Records Management Coordinator. B. The Records Management Coordinator (also know as the Records Manager) serves at the direction of the City Clerk and has the day-to-day operational responsibility for city-wide files management and Records and Information Management Program direction, guidance and technical assistance. This responsibility includes the following functions: (1) Providing assistance and guidelines to departments in the preparation of their inventories and retention schedules and any amendments thereto. (2) Providing direct technical assistance and guidance to departments to aid in resolving specific files and records problems. City of Santa Monica Records and Information Management Manual March 27, 2001 8 (3) Providing for the orderly and efficient filing, retrieval and distribution of inactive City records stored offsite. (4) Creation and maintenance of the database management system for inactive records. (5) Preparation of an annual report evaluating the program. (6) Overseeing the annual City-wide purge process of records scheduled for destruction. Department Heads. C. Department heads are responsible for appointing a Department Records Coordinator, who is familiar with departmental files, to be the liaison between the department and Records Management Coordinator. Department Records Coordinators. D. Department Records Coordinators shall serve as liaisons between the Records Manager and the department. The coordinator will assist in the accurate inventorying, evaluation, preservation and disposition of records in their department, and insure that their Departmental Records Inventories and Departmental Records Retention Schedules are properly maintained. They shall develop an expertise with records management philosophy and procedures (including knowledge of federal and state legal requirements applicable to their department). City Attorney. E. The City Attorney shall review and approve department retention and destruction schedules in accordance with federal, state, and local laws. City of Santa Monica Records and Information Management Manual March 27, 2001 9 II RETENTION AND DISPOSITION The systematic retrieval and disposition of records requires the creation of a document called a records retention schedule. The records retention schedule is an inventory of the records located in each department which directs and authorizes the disposition of records after their creation. The purpose of the Records Retention Schedule is to ensure that the City is in compliance with all legal requirements for retaining records while at the same time maintaining only those records which have administrative, legal, fiscal, or historical values and provides the following information: ? a list of all records series in each department ? establishing the location of original documents ? identification of legal requirements pertaining to specific record series ? identification of vital records ? retention time periods for records in the office and stored offsite ? retention periods for the original copies as well as duplicates Even though only a handful of employees manage the majority of departmental records, it is the responsibility of all employees to retain City records according to the retention schedule. In this context, any document within the scope of the City of Santa Monicas business, created by an employee or an = agent of the City, is a City record. Records can be in any media--paper, floppy disks, photographs, electronic mail, optical disk, microfilm, etc. The retention periods approved are based on what department heads consider to be an appropriate length of time records ought to be kept in the department; how long records are required to be kept for tax and audit purposes; and compliance with a variety of government and legal requirements. Also taken into consideration is the potential historical value of the records. Once completed, a retention schedule is reviewed and approved by the appropriate administrative staff, department head, the City Clerk, the City Attorney, and the City Council. Retention periods cover active records while they are located in the department, and inactive records in offsite storage or inactive records located within a department. The Citys retention schedule is reviewed and updated periodically as forms become obsolete, as = new records are created, as legal requirements change, or when the initially established retention period proves inadequate. Recommendations for changes to the retention schedule should be directed to the Records Management Coordinator in the City Clerks Department. = A. HOW TO USE AND INTERPRET THE RECORDS RETENTION SCHEDULE The records retention schedule is organized by record series titles. A record series title is the official title given to a group of identical or related records that are usually filed as a unit and that have the same retention period. The record series title is the one used when labeling boxes for outside storage. (Procedures for sending records to and retrieving records from offsite storage can be found in Section III of this Manual.) The record retention schedule is used as an aide to determine: ? how to label file folders City of Santa Monica Records and Information Management Manual March 27, 2001 10 ? how to prepare existing records for offsite storage ? how to complete the records transmittal form ? how long to keep records in the department ? which records to send to offsite storage and when ? which records are vital and require special protection ? who is responsible for the original record when duplicates exist City of Santa Monica Records and Information Management Manual March 27, 2001 11 EXPLANATION OF RECORDS RETENTION SCHEDULE Department/Division - The department or division where the record series is located. Records Series Title - A group of similar or related records, which are normally used and filed together as a unit. A records series is evaluated as a unit to determine the records retention period.Examples of record series titles are applications, claim files, budget working papers, project files, closed cases, etc. Original - The official copy (record copy) for the city. Vital - A record necessary to continue the operation of the City in case of disaster or emergency. In Office - The number of years the specific record is regularly referenced or required for current use. In Storage - The number of years the specific record must be retained, but does not have to be readily available. This type of record is usually maintained at an offsite storage facility. Total Retention - The total number of years the records are maintained. Legal Citation - Cites specific regulatory codes which regulate the retention of certain records. Where no other code or authority prevails, Government Code Section 34090 et. seq. is used. When applicable, Administrative decision is also listed in this column. Retention codes used in the schedule include the following: AA After Audit U While the document is useful ACT While Active, Term Ends or Expires WP Working Papers C Current Year Y Years CL Close of Program E While Employed I Indefinite LA Life of Asset LB Life of Building LV Life of Vehicle M Months PERM Permanent P/O Printouts R Reference S Until Superseded In addition, the following codes represent different legal citations: ADM Administration Decision AG OP Attorney General Opinions CFR Code of Federal Regulation CGC California Government Code EC Election Codes HS Health and Safety LC Legal Consideration UFC Uniform Fire Code City of Santa Monica Records and Information Management Manual March 27, 2001 12 USC United States Code City of Santa Monica Records and Information Management Manual March 27, 2001 13 III. INACTIVE FILES Files that are no longer used for daily operations and have not been used for at least six months are considered inactive. All records have different retention periods and depending on the destruction date, inactive files may be stored offsite. Records to be stored offsite must have a minimum retention period of one year prior to the scheduled destruction date. It is not cost effective to store records offsite that are scheduled to be destroyed in less than one year. If you have any questions about whether a record should be kept in the office or sent to offsite storage, consult your records retention schedule or contact the Records Management Coordinator. City of Santa Monica Records and Information Management Manual March 27, 2001 14 A. OFFSITE STORAGE PROCEDURES Packing boxes for Storage The Records Coordinator for each department prepares boxes for storage of documents. Storage boxes are available from Records Management. Materials should be properly packed into the boxes. All records packed in a box should have the same destruction date. All documents must be in a labeled file folder or an expanding file and all folders removed from hanging files. Place records in storage box(es) with letter-size records in upright position (as in a file cabinet) across the 12-inch width and legal-size records across in the 15-inch length. Plastic folders, pendaflex folders, notebooks and/or other costly filing supplies should be removed. Use only standard file storage boxes, 12"x15"x10", which can be obtained from the City Clerks = Office. Each department/division assigns a temporary box number from an ongoing list to each box. Example: If boxes 1 through 10 are shipped off site one month, the next time boxes are shipped off site, start at box # 11 and so on. On one end of the box are two printed lines, the top line is for the account # and the bottom line is for the box #. Write the temporary box numbers on the line next to box #. To assist Records Personnel in their assignment and application of barcode labels to each box, stack boxes with box number visible. Do not mark contents or any other information on the box. Do not write on the box sides (See Figure 1, page 12) or the lid to the box. If the department’s retention schedule has been approved by City Council, a retention date based on the retention schedule must appear on the transmittal form for all new offsite storage. For all new boxes the originating department must prepare a Records Transmittal form (Exhibit 1, page 13) listing various information regarding the department and the contents of the box. In most cases it may not be necessary to list each file folder. Consult with the Records Management Coordinator for directions. When completing your Records Transmittal form, please follow the instruction on Exhibit 2, page 14. Duplicate or non-record documents are for office use only and should remain in the office area. Only the original copy (official record) may be sent to offsite storage. A@ When boxes are ready to go to offsite storage, call one of the Records Management staff. If there are four or less boxes ready for offsite storage, the boxes should be delivered to Records Management. If there are five or more boxes ready for offsite storage, Records Management will have the boxes picked up from the sending department by an offsite storage vendor. After the City box and barcode numbers are assigned by Records Management staff, the originating department will receive a copy of the Records Transmittal form listing the numbers. This is the departments copy and should be filed in the appropriate departmental binders. The City box and = barcode numbers are the official box numbers for the records and are used for inquiries, retrievals, and destruction purposes. City of Santa Monica Records and Information Management Manual March 27, 2001 15 Figure 1. City of Santa Monica Records and Information Management Manual March 27, 2001 16 CITY OF SANTA MONICA RECORDS TRANSMITTAL This form should be completed and accompany all records being transmitted to offsite storage. Refer to your departments retention = schedule for determining which and when records should be sent to offsite storage. You will receive a copy of this form back with the assigned City box number and barcode number. INSTRUCTIONS: Please type or print in ink. Use a separate form for each record series. Under CONTACT NAME, indicate who in the department is responsible for the content of the records. Under RECORDS SERIES, use the title that is listed in your departmental retention schedule. Assign a unique temporary box number to each box and write that number on each box. Under BOX CONTENTS, list each file folder. (In some cases, it may not be necessary to list each file folder. Consult with the Records Management Coordinator for direction.) Do not pack documents with different destruction dates in one box. Do not pack anything in the records storage box that is not in a labeled file folder or expanding file. Remove all file folders from hanging file folders before packing the boxes. Use only approved records storage boxes. Dept/Div: 1. Contact Name and Phone: 2. Date of Records: 3. Records Series: 4. Todays Date: 5. = Temp. Contents Description Dates of Box Barcode Destroy Date No. Records No. No. 6. 7. 8. 9. RECORDS CENTER USE: Checked By: Data Entered: Sent: Exhibit 1 City of Santa Monica Records and Information Management Manual March 27, 2001 17 How to Complete the Records Transmittal Form 1. This space is for your department/division name. 2. This space is for the name and phone number of the person that completes the form or, if different, the person responsible for the documents in the box. 3. This space is for the date span of all the boxes listed on that records transmittal form. If you have ten boxes with the same records, series you can list all the boxes on the same form. Note: The Records Management Section only uses the year in the records management database. Example: For the date span 7/1/88 – 8/1/94, the dates 1988 – 1994 would be entered into the database. The data for these dates are retrieved from #8. 4. This space is for the records series a.k.a. series title on the approved records retention schedule. If your department does not have an approved records retention schedule, please call the records management staff prior to packing new boxes. 5. This space is for the date you complete the form. 6. This space is where you write the temporary number you assign each box. The temporary number is written on the box’s end. 7. This space is for additional description of the records in the box. Example: If the records series is claim files, the name and date of claim(s) would be listed here or if the records series is personnel files, you would list the name of each personnel file in the box, etc. 8. If your department has an approved retention schedule, calculate the year and put the year in this space. If your department doesn’t have an approved retention schedule, leave this space blank. When you have completed the form, send the original to the Records Management Staff. Exhibit 2 City of Santa Monica Records and Information Management Manual March 27, 2001 18 B. BOX/FILE RETRIEVAL & REFILE This is the process where boxes/files are requested from offsite storage, returned to the department for temporary use, and then returned to offsite storage again. Normal delivery of offsite boxes is on Tuesday and Thursday afternoons. Departments must complete a retrieval request form (See Exhibit 3, page 17) and deliver the form or e-mail it to Records Management by 4:00 pm on Monday for a Tuesday delivery or 4:00 pm on Wednesday for a Thursday delivery. Requests for boxes/files to be retrieved on days other than the regular order days are considered “Rush Orders” and will be charged to the department. Rush Orders must be delivered directly to Records Management. If you can’t hand deliver A@ rush orders to the office and you send your rush order via e-mail, you must follow up the e-mail with a phone call to ensure a timely delivery. Departments will be charged for Rush Orders. A@ When the boxes/files arrive, the requester will receive a phone call and/or an e-mail, from Records Management personnel, advising the documents are ready for pick up in the City Clerks area. If = you order five or more boxes, they will be delivered to your area. When the material is ready to be returned to offsite storage the files/boxes must be returned to the City Clerks office with the contents intact. Files should not be kept in the departments area and the == box returned without them. The box is kept in the departments work area until the material is no longer = needed. In addition, new files should not be added to a box that has been retrieved from offsite storage. If documentation needs to be added to or removed from a returned box, a new Records Transmittal Form must be prepared for the box and submitted to Records Management. Department personnel must complete a refiles request form (See Exhibit 4, page 18) and deliver or e-mail it to the Records Management Assistant. There are three categories of deliveries: “Category 3” for regular deliveries, “Category 2” for delivery within 4 hours and “Category 1” for delivery within 2 hours. Rush Orders ? Category 1 Rush Order: Boxes/files are delivered within two hours. Same day A@ delivery of category 1s must be placed by 3:00 p.m. If a “category 1” is placed after = 3:00 p.m., it will be delivered by 10:00 a.m. the following day. There is a charge to the requesting department. This is the most expensive retrieval request at a cost of approximately $18.40/box or file. ? Category 2 Rush Order: Boxes/files are delivered within four hours. Orders A@ placed before noon will be delivered by 5:00 p.m. the same day. Orders placed after noon will be delivered by noon the following day. There is a charge to the requesting department. This is not as expensive as a “Category 1” and costs approximately $12.40/box or file. These costs are charged back to the requesting department/division on an Inter- Departmental Transfer Form when monthly billing is completed. City of Santa Monica Records and Information Management Manual March 27, 2001 19 CITY OF SANTA MONICA RETRIEVAL REQUEST FORM Instruction: Please complete this form and e-mail or deliver it to the Records Department Staff, in the City Clerk’s Office. Order days are Mondays and Wednesday only. This form is found under . F:ctyclerk/records/RIM forms/recreq.wpd(doc) Date: Dept./Div.: Name: Extension: Box No.: Barcode No.: File Name: * ? HALF DAY RUSH: REGULAR DELIVERY: DELIVERY: Check one of the above boxes.** * When requesting more than one file folder from the same box, you must order the box. Only complete this section if you want one file from one box. . ** There will be extra charges for half day orders, rush orders and orders placed on non-order days Recreq.doc Exhibit 3 City of Santa Monica Records and Information Management Manual March 27, 2001 20 CITY OF SANTA MONICA REFILE REQUEST FORM Instruction: Please complete this form when returning files or boxes to File Keepers. If you have more than four boxes, e-mail this form to a Records Management staff and a staff person will come to your division to log the refiles. When you have less than four boxes or files to return, please bring this form along with the refile items to Records and Election Services (City Clerk’s Office). Date: Dept./Div.: Name: Extension: Box No. Bar code No.: File Name: * ? Delivery Dept. Staff: Records & Election Svcs. Staff: Date Sent: *Complete this section only when returning files. Exhibit 4 IV. DESTRUCTION PROCEDURES All records are reviewed for destruction on an annual basis, including records in active files and records in storage. To be in compliance with the Records and Information Management Program and the Records Retention Schedule, destruction of records that are past their scheduled destruction date must occur. City of Santa Monica Records and Information Management Manual March 27, 2001 21 A. Destruction of Onsite Records The annual review and purge of onsite records is conducted in November of each year. Each department is asked to review their onsite files to determine which files have reached or passed their retention period. Records Management will send memos to all Department Heads, Division Heads and Records Coordinators as a reminder to review active files to determine which records are eligible for destruction according to each respective Records Retention Schedule. All files eligible for destruction are listed on an onsite records destruction list, by the Records Coordinator, as outlined in the Records Retention Schedule. The files are placed in boxes along with a copy of the onsite destruction form (Exhibit 5, page 20) listing the files for destruction. The boxes are kept in the originating departments area until final approval = is received. Final approval is obtained from the Department Head, City Attorney, and City Clerk. After final approval is obtained, the department personnel can destroy the records or contact the Records Management Coordinator for assistance with arranging destruction. B. Off site Records Destruction The annual review and purging of offsite records is conducted in January. A computer generated destruction list and a destruction memo will be sent to each Records Coordinator. The memo authorizing the destruction of the records requires the approval of the Department Head, City Attorney, and City Clerk. After obtaining the destruction approval for offsite records, the Records Management Coordinator will schedule the destruction process with an offsite storage vendor. City of Santa Monica Records and Information Management Manual March 27, 2001 22 ON-SITE RECORDS DESTRUCTION LIST Approved for Destruction _____________________ ___________ Department Head Date _____________________ ___________ City Attorney Date _____________________ ___________ City Clerk Date Content Description Dates Covered Exhibit 5 forms\onsite.wpd City of Santa Monica Records and Information Management Manual March 27, 2001 23 V. RECORDS COMMON TO MANY DEPARTMENTS The following definitions and discussions are related to records that are common to many departments. ADMINISTRATIVE FILES Administrative files are generally those files kept at an employees desk. They typically do not directly = relate to the output generated by the department. This type of file is always in constant flux through adding new information and discarding outdated information, for example: work orders, telephone requests, etc. Because administrative files are usually small, and by their nature require quick access, their arrangement is typically the most frequently used file in front. If an administrative file takes up more A@ than a file drawer, consideration should be given to reorganizing the file. Administrative files should contain active records only. Each year they should be reviewed and purged of extraneous and outdated records. Administrative files never go to offsite storage. They have a perpetual retention period in the department. DEPARTMENT FILES (SUBJECT FILES) Department files, also known as Subject Files, are generally accessed by several staff members. The files are usually located in a central location and referenced by a numeric, alpha or alphanumeric system. CHRON FILES Chron files are strictly copies of correspondence filed in chronological order. They are most often used as back up when a particular letter or memo cannot be located in the department files. Copies of correspondence in chron files are not considered the record or official copy of the correspondence. The original copy of correspondence is filed in the subject file (see Correspondence on the following page). Chron files do not go to offsite storage and should be retained for one to two years, depending on how often they are referenced. BUDGETS Budget files include work papers, drafts, and final budgets that are typically used to support budget submittal and to prepare subsequent budgets. The original copy of the official City budget is maintained in the City Clerks Office. Therefore, it is recommended that departmental copies are retained only for the = current year plus one year. Departmental copies of budget files do not go to offsite storage. CONTRACTS A contract is an agreement between two or more persons or entities, which creates an obligation to do or not to do a particular thing. Contracts include, but are not limited to, leases, service agreements, insurance policies, permits, and contractor agreements. City of Santa Monica Records and Information Management Manual March 27, 2001 24 Original signed contracts are vital records and consequently, need to be preserved and protected. The City Clerks Office is the official keeper of the original copies for all contracts which have gone before = Council for approval. The retention periods for the original signed contracts vary depending on the scope of services and the nature of the project. Copies of contracts should be retained in the departments no longer than the period of their usefulness in the department, which typically does not go past the end of the term that the contract covers. Draft copies of contracts should be destroyed as soon as the final contract has been executed by all parties and the original is filed in the City Clerks Office. = Important note: Before departmental copies of Council approved contracts are discarded, check with the City Clerks office to ensure the original is on file. = CORRESPONDENCE Generally, correspondence is filed within a subject file along with other records to which it pertains. In fact, a correspondence file by itself is discouraged unless it is used as back up in the event the original cannot be located in other files (see Chron Files). Correspondence files used as back up can be arranged chronologically (making it a chron file); or categorized by subject, author, or addressee and arranged alphabetically. City of Santa Monica Records and Information Management Manual March 27, 2001 25 ELECTRONIC MAIL The Santa Monica Communications System provides the electronic transmission of interoffice correspondence and documents via the Citys network computer system. = Electronic mail allows the transmission of other documents, most of which does not require a hard copy, thereby reducing the number of paper records in the office. When Electronic Mail is utilized in its purest form, hard copies of messages are not produced. Electronically transmitted documents required in hardcopy form should be printed and filed with other records pertaining to the same subject, with the electronic document being deleted as soon as possible. TIME CARDS Department copies of time cards prior to November 1998 should be kept for ten years. In November 1998, the Finance Department implemented a new payroll system. With the implementation of the new system and new time cards, it is now only necessary to keep copies in the departments/division as long as it is useful. We recommend that they be kept no longer than one fiscal year. City of Santa Monica Records and Information Management Manual March 27, 2001 26 NON-RECORDS Non-record material has a very limited period of value and is usually created to notify, to transmit, to seek review, or to inform. Once that purpose is accomplished the material should be discarded. The material never goes to offsite storage. Some common non-records found in City files which should NOT be in the file, are: ? Copies of agendas and minutes of boards and commissions (non-originals) ? Copies of Council Agenda packet material (non-originals) ? Blank Forms ? Drafts (after final copy is completed) ? Envelopes ? Extra copies ? FYI Items ? Job Announcements (non-originals) ? Magazines ? Materials for outside clubs or organizations ? Notices of meetings, retirements, holidays, etc. ? Preliminary work materials used in the preparation of reports, studies and similar documents. ? Sales catalogs, brochures, technical manuals, pamphlets, books ? Stocks of publications ? Transmittal and acknowledgment memos and letters ? Working papers* ? Telephone messages ? Handwritten notes *WORKING PAPERS/FILES These files kept by individuals within a department vary in their content, but should consist of only non- record material. Often they are incomplete because related records are in official department files. More than likely the creator of these files is the only person who knows how the material is arranged, when it is filed, and what it means. It is strongly recommended that these files be purged upon completion of a project. Any official records that may have accidentally been placed in a working file should immediately be moved to the proper file in the departments official files. As the growth of these files is only limited by = space available, it is prudent to restrict personal filing space. City of Santa Monica Records and Information Management Manual March 27, 2001 27 PERSONNEL FILES The Personnel Department has the official copy of each employees personnel file. A Supervisor may = keep a file on an employee. However, original documentation on personnel actions should be sent to Personnel as the action occurs and as outlined in the MOU. Any needed official personnel action should take place based solely on the information in the official Personnel file. A Supervisors file is a copy of the = original Personnel file and should never go to offsite storage, should be retained only as long as the person is employed, and then destroyed in accordance with the retention schedule. PREDECESSOR FILES These files exist in almost every department and have been left behind by the last person who held the position or a similar position in the department. The predecessor files should be reviewed, purged, and inter filed with current files no longer than two years after the predecessor is gone. They should never be sent to offsite storage. One way to accomplish this review/purge process is to prepare an inventory of what is in the files by listing file folder labels and reviewing the list rather than the files themselves. In addition, each year subject files should be reviewed and purged of extraneous and outdated records. They are perpetually retained in the department and do not go to offsite storage. ACCOUNTS PAYABLE DOCUMENTS The Finance Department is responsible for the original copy of all Requests for Warrants, Purchase Orders, and Quick Purchase Orders, so it is unnecessary for departments to keep copies. However, it is recommended that departments keep copies for a short period of time, no longer than two years, in case the original is not readily accessible. Department copies of accounts payable documents do not go to outside storage. City of Santa Monica Records and Information Management Manual March 27, 2001 28 VI. AUTHORITY. Departmental Records Retention Schedule A. The constitutes the authority for the retention and destruction of records listed thereon. Thus, City records may not be destroyed unless they have first been identified, evaluated and listed on the Retention Schedule and required retention periods have lapsed. Statutory Authority. B. There are two basic State statutes governing the destruction of original public records: Sections 34090 and 34090.5 of the government Code. In essence, Section 34090 permits destruction of certain records after two years without microfilming, while Section 34090.5 permits destruction of any record which has been microfilmed. Destruction of duplicate records is governed by Government Code Section 34090.7. Government Code Section 34090 - Destruction of city records; excepted records; (1) construction. Unless otherwise provided by law, with the approval of the legislative body by resolution and the written consent of the City Attorney, the head of the City department may destroy any City record, document, instrument, book or paper, under his charge, without making a copy thereof, after the same is no longer required. This section does not authorize the destruction of: (a) Records affecting the title to real property or liens thereon. (b) Court records. (c) Records required to be kept by statute. (d) Records less than two years old. (e) The minutes, ordinances and resolutions of the legislative body or a city board or commissions. This section shall not be construed as limiting or qualifying in any manner the authority provided in Section 34090.5 for the destruction of record, documents, instruments, books and papers in accordance with the procedure therein prescribed. Government Code Section 34090.5 - Destruction of records by City officer. (2) Notwithstanding the provisions of Section 34090, the city officer having custody of public records, documents, instruments, books, and papers, may, without the approval of the legislative body or the written consent of the City Attorney, cause to be destroyed any or all of the records, documents, instruments, books, and papers, if all of the following conditions are complied with: (a) The record, paper, or document is photographed, microphotographed, reproduced, by electronically recorded video images on magnetic surfaces, recorded in the electronic data- processing system, recorded on optical disk, reproduced on film or any other medium which does not permit additions, deletions, or changes to the original document, or reproduced on film, optical disk, or any other medium in compliance with the minimum standards or guidelines, or both, as recommended by the American National Standards Institute or the Association for Information and Image Management for recording of permanent or nonpermanent records, whichever applies. (b) The devise used to reproduce the record, paper or document on film, optical disk, or any other medium is one which accurately and legibly reproduces the original thereof in all details and which does not permit additions, deletions, or changes to the original document images. (c) The photographs, microphotographs, or other reproductions on film, optical disk, or any other medium are made as accessible for public reference as the original records were. (d) A true copy of archival quality of the film, optical disk, or any other medium reproductions shall be kept in a safe and separate place for security purposes. Provided, City of Santa Monica Records and Information Management Manual March 27, 2001 29 however, that no page of any record, paper, or document shall be destroyed if any page cannot be reproduced on film with full legibility. Every un-reproducible page shall be permanently preserved in a manner that will afford easy reference. For the purpose of this section, every reproduction shall be deemed to be an original record; and a transcript, exemplification, or certified copy of any reproduction shall be deemed to be a transcript, exemplification, or certified copy, as the case may be, of the original. Under this section, and by City policy, there is no requirement as to how long original documents must be kept before they are microphotographed and destroyed. Department heads have the responsibility, however, to be aware of specific state or federal laws which may require that certain original records in their department be kept for additional periods of time. Under the procedure outlined in Section 34090.5, the two microfilm copies must be retained indefinitely. Once microfilming has been completed, the original may be destroyed without further approval. Thus, microfilming (or other authorized reproduction) pursuant to Government Code Section 34090.5 is the only authorized manner to accomplish destruction of originals of the following records (the five exceptions of Government Code Section 34090): records affecting title to real property (or liens thereon); court records; records required to be kept by statute; minutes, ordinances and resolutions of the Board and City commissions, boards and committees; and records less than two years old. As a matter of policy, however, the City of Santa Monica keeps original City Council minutes, ordinances, deeds, real property records and resolutions after they have been microfilmed. Government Code 34090.7 Duplicate records less than two years old; destruction; (3) video recording media. Notwithstanding the provisions of Section 34090, the legislative body of a city may prescribe a procedure under which duplicates of city records less than two years old may be destroyed if they are no longer required. For purposes of this section, video recording mediums, such as videotapes and films, shall be considered duplicate records if the city keeps another record, such as written minutes or an audio tape recording, of the event which is recorded in the video medium. However, a video recording medium shall not be destroyed or erased pursuant to this section for a period of at least 90 days after occurrence of the event recorded thereon. Government Code Section 34090.6 - Destruction of Recordings of Radio and (4) Telephone Communications of the Police Department. Section 34090.6 of the Government Code authorizes destruction (i.e., erasure) of recordings of radio and telephone communications of a public safety communications center if the recordings are at least 100 days old, and are not evidence in any pending litigation. Other Recordings (5) Tape Recordings. (a) (1) Dictaphone-type tape recordings used solely for the purpose of transcribing letters are non-records and may be destroyed immediately without any additional approval. (2) Tape recordings of meetings of the City Council, commissions, boards or committees shall be handled as follows: City of Santa Monica Records and Information Management Manual March 27, 2001 30 (a) All tape recordings of City Council meetings shall be retained for the current year plus two as outlined in the City Clerks Records Retention Schedule provided the official minutes = for the meeting have been approved by Council. (b) All tape recordings of other boards, commissions and committees shall be retained for the current year plus two after the meeting, based on the applicable approved Records Retention Schedule. (c) Further retention depends on the purpose for which the tape recording was made: (1) If the tape recording was prepared solely as a convenient aid to facilitate the preparation of the official minutes, or for reference, then such recording is a non-record which can be A@ erased or destroyed after the minutes are approved at a City Council meetings. (2) If a tape recording is intended to officially preserve the informational content of a meeting, permanent retention is required. However, by City policy, the only official method recognized to preserve the informational content of a meeting is by the official minutes of that meeting. Since tape recordings are simply reference aids, retention beyond the minimum periods is not required. (d) Note that destruction or erasure of video recordings under Government Code Section 34090.7 requires retention of an audio tape recording or minutes. Since official minutes of meetings are prepared for permanent retention (and are the only official record of a meeting), this condition is met and both the video recording and the audio tape recording may be erased or destroyed upon approval of a Request for Destruction. City of Santa Monica Records and Information Management Manual March 27, 2001 31 VII. GLOSSARY OF RECORDS TERMINOLOGY Active - Records used in daily operations. Referred to a minimum of once a month. Alphanumeric - A filing system combining alphabetic and numeric symbols. Appraisal - Review of information gathered from a records inventory, each identifiable record series can be appraised for its legal, financial, administrative, and historical value for the purpose of establishing retention periods. Archival Record - A record with permanent retention because of its historical, legal or fiscal value. Archival Quality - A degree to which a processed print or film will retain its characteristics during a period of use and storage; the ability to resist deterioration for a lengthy specified time. Archives - A repository for housing permanent or historic records, whether in hard copy, microfilm or imaging form, which must be protected and preserved from destruction. CD-ROM - A storage medium that uses lasers to encode images or information in digital form and to read the image data from the disk. Commercial Records Center (offsite) - A records center, operated by a private company, housing the records of many different companies on a fee basis. Disposition - The allocation of public records to a particular location according to their categorization for destruction. Electronic Filing - Storage and retrieval of information in digital form. Fiche - Abbreviation for microfiche Film - Any sheet or strip or transparent plastic coated with a light sensitive emulsion. Financial Records - Budgets, financial status reports, balance sheets, and statements of income and expenditures; records of official bonds; records of wages paid to persons engaged in public work; rate or fee schedules, etc. Hard Copy - Original paper document. Historical Value - Refers to the retention of records which have enduring value because they reflect significant historical events or document the history and development of the City. Image - One frame on a roll of microfilm. Inactive Records - Records which are seldom accessed. Inventory - Process of examining records on hand to determine their function, content and dates in order to assign retention/disposition information. Lateral File - Side-open file cabinets; may also mean shelf filing. Legal Value - Refers to the retention of records containing evidence of legally enforceable right or obligations. Examples are decisions and opinions; fiscal documents representing agreements, such as City of Santa Monica Records and Information Management Manual March 27, 2001 32 leases, titles and contracts; and records of action in particular cases. Such as claim papers and legal dockets. Media - The materials on which information may be recorded. The media may include paper, microfilm, magnetic disks or tape, or optical disks. Microfiche - 4" x 6" sheet of microfilm with rows and column of images. It usually contains a title which can be read without magnification. Microfilm - Fine-grain, high-resolution film containing a image greatly reduced in size from the original. Office of Record - The office responsible for maintaining the record copy (official copy) of a record for the total retention period. Operational Value - The importance or usefulness of records to assist the organization in performing its primary function. Record - Any information on any media, either an original or copy, made or received by an organization that is useful in the operation of the organization. Record Copy - The official copy of a record. Record Series - A group of similar or related records that is used and filed together as a unit. A record series is generally evaluated as a unit for determining the records retention period. Records Inventory - A detailed survey of the organization’s records, including descriptions, scope, volume, frequency of use, organizations, etc. The records inventory is used to provide information when designing or modifying the records system. Records Management - The systematic control of all records from creation or receipt through process, distribution, maintenance, retrieval and ultimate disposition. City of Santa Monica Records and Information Management Manual March 27, 2001 33 Records Retention Manual - A collection of current procedures related to the operation of the records retention program. Records Retention Program - A component of the total Records and Information Management Program that controls the maintenance and ultimate disposition of records. Records Retention Schedule - A comprehensive list of records series maintained by an organization indicating the timetable during which they are maintained in primary office space or transferred to inactive records centers. Records can be destroyed after the termination of the retention period. Records Value - The importance or usefulness of records for operational, legal, fiscal, or historical purposes. The record value for each record series must be determined when developing a records retention schedule. Vital Record - A record necessary to continue the operation of an organization in case of disaster or emergency.