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SR-071310-1JCity Council Meeting: July 13, 2010 Agenda Item: 1 `" S To: Mayor and City Council From: Maria M. Stewart, City Glerk Subject: Resolution approving revisions to the City-wide Records Retention Schedule and Records and Information Manual Recommended Action Staff recommends that the City Council adopt the attached resolution approving the revisions to the City-wide Records Retention Schedule ("Schedule") and Records and Information Manual ("Manual"): Executive Summary The City-wide Records and Information Management Program was approved by Council in December 1997 and Records Retention Schedules were established for documents in each department. Departmental revisions to the Schedule are an on- going part of the maintenance and implementation of the program. The last revision was approved by Council in 2009. Adoption of this proposed resolution updates the Schedules for various departments as well as the Manual for the entire City. Discussion The revised Schedule is a result of reviews of Department's records conducted during the past year. As new forms are created, as existing forms become obsolete, as individual departments' policies change, as laws change and Department/Division names change, the Schedule will be updated. Revisions will periodically be presented to Council for approval During the past year, there were reorganizational changes within the City. Business License, Revenue, Collections, Preferential Parking and Utility Billing are now under the new Division Business and Revenue Operations of the Finance Department. Retention periods were revised for various documents in all departments. The. revised schedule was reviewed by Division and Department Heads and approved by the City Attorney 1 and the City Clerk. The Records .and Information Manual was updated to reflect changes in procedures due to the implementation of a new Records. Management Software Program. The revised Manual was also reviewed and approved by the City Attorney and the City Clerk. The destruction process requires written authorization from the Department. Head, the City Attorney, and the City Clerk. When there is a possibility of litigation or an audit, related documents will not be destroyed:. Records will be kept for one year after the lawsuit/audit is settled or until deemed appropriate for destruction by the City Attorney. Financial Impacts & Budget Actions There is no financial impact as a result of the adoption of this resolution. Prepared by: David L. Willis; Records Management Coordinator Approved: ~ ~-~-~-' Maria M. Stewart d City Clerk Forwarded to Council: Rod Gould City Manager Attachments: Exhibit A -Resolution Approving Records Retention Schedule Exhibit B -Records and Information Management Manual 2 Exhibit A ~:Xlllbit B Cat}i of Santa onica Records & Information Management .Manual 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 timely 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 Department's attitude and concern for the City's records. It is the City's objective to establish a practical, economical and efficient Records and Information Management Program which will contribute to the City's progress. This manual does not include management of electronic records. David L. Willis Records Management Coordinator Maria M. Stewart City Clerk 2 City of Santa Monica Records and Information Management Manual April 28, 2010 TABLE OF CONTENTS. Preface 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 ..................................................................................9 A. OFFSITE STORAGE PROCEDURES ..........................:..................9 B BOX/FILE RETRIEVALS AND REFILES ...................................,.....16 IV. DESTRUCTION PROCEDURES ............................................................25 A. ONSITE DESTRUCTION B. OFFSITE DESTRUCTION V. RECORDS COMMON TO MANY DEPARTMENTS ..................................27 VI. FILING TECHNIQUES ..........................:..........................................32 VII. AUTHORITY .........:...........................................:...................................43 VIII: DISASTER RECOVERY SERVICES (MUNTERS) ....................................46 IX. GLOSSARY ..........................................................................................47 3 City of Santa Monica Records and Information Management Manual Apri128, 2010 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 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 officer's performance of duty. Records are not created for historical purposes but create history by their existence. 1. Objectives: A. Ensure the proper preservation of, and public access to, City records. 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. Reduce the quantity of duplicate records in the City through the identification of the original copy of a given record. 2. Policy: To establish and maintain an efficient program for systematic distribution, organization, maintenance, and disposition of all City records. 3. Responsibility: A. City Clerk. The City Clerk is responsible for administering the City's Records Retention Program and is authorized to make administrative changes to the Program. B. Records Management Coordinator. Coordinator (also known as the Records Manager) 4 The Records Management serves at the direction of the City City of Santa Monica Records and Information Management Manual Apri128, 2010 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. (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) Overseeing the annual City-wide purge process of records that have reached or surpassed their retention periods. C. Department Heads. 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. D. Department Records Coordinators. 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). E. City Attorney. 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 Apri128, 2010 it RETENTION AND DISPOSITION .The systematioretrieval 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 periods for records in the department and those in offsite storage • 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 Monica's 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 bean 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 City's retention schedule will be reviewed and updated annually 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 Clerk's Department. 6 City of Santa Monica Records and Information Management Manual Apci128, 2010 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 for the same reasons. The record series should be used when labeling boxes for outside storage. (Procedures for sending records to and retrieving records from offsite storage can be found in Section Ill of this Manual.) The record retention schedule is used as an aide to determine: • how to label file folders • how to prepare existing records for offsite storage • how to fill out box information in File Trail • 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 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. Ori final -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. 7 City of Santa Monica Records and Information Management Manual Apri128, 2010 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 ACT While Active, Term Ends or Expires AR After Recorded C Current Year E While Employed IND Indefinite LA Life of Asset LP Life of Project LV Life of Vehicle M Months PE Parking Enforcement PERM .Permanent P/O Printouts R Reference S Until Superseded or Recorded Over TR Transfer to Police Records TR/HR Transfer to Human Resources TR/RM Transfer to Risk Management U As long. as the document is useful WC While Current WP Working Papers Y Years In addition, the following codes represent different legal citations: AG OP Attorney General Opinions CCP Code of Civil Procedure CFR Code of Federal Regulation CGC California Government Code CLC California Labor Code DP Department Policy EC Election Codes HS Health and Safety LC Legal Consideration PC Penal Code UFC Uniform Fire Code USC United States Code WIC Welfare and Institutions Code City of Santa Monica Records and Information Management Manual April 28, 2010 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 A. OFFSITE STORAGE PROCEDURES Initial Input of a Storage Box 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 record series title. All documents must be in a labeled file folder or expanding file. Remove all files from hanging file folders before packing the box. 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 and reused. Use only standard file storage boxes, 12"x15"x10", which can be obtained from Records Management. 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, next month's boxes going 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 or the lid to the box (see Figure 1, page 11). For all new boxes the originating department must enter the box information into the Records Management software, File Trail. Please follow the instructions on pages 9 City of Santa Monica Records and Information Management Manual April 28, 2010 12 & 13 (Exhibits 1 & 2) for entering the box information and pages 14 & 15 (Exhibits 3 & 4) for entering the file information. Page 12 (Exhibit 1) is a screen shot of File Trail outlining the required entry of box information. Each field is numbered 1-12. Page 13 (Exhibit 2) is a summary of what should be entered in each field. The numbers in Exhibit 1 corresponds to the number in Exhibit 2. Page 14 (Exhibit 3) is a screen shot of File Trail outlining the file information for the box you just created. Each field that must be completed is numbered 13-18. Page 15 (Exhibit 4) is a summary of what should be entered in each field. Duplicate ornon-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. 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 requesting department by the offsite storage vendor. 10 City of Santa Monica Records and Information Management Manual Apri128, 2010 Afterthe City box and barcode numbers are assigned by Records Management staff, the originating department will then be able to retrieve these boxes from the storage provider. The City box and barcode numbers are the official box numbers for the records and are used for inquiries, retrievals, and destruction purposes. Figure 1. 1~ City of Santa Monies Records and Information Management Manual Apri128, 2010 ~~~ Licensed to City of5antaManiea ~LOgofl Version 5.8.45R~03 _... ____._. _____._ currearuser: N1y®es ktop Search Creation Request N1yAccaunt ' SCAN System User _____ . _ _.__ __ _.._ lravr ClipDOard 1. Select Ciassificstton ~ IViewthis Item I Create Contents I - Histarv I Refresh A'"-: fdffing ~ - ~ - ~ . Organization: ~ ~efaaalt faeid) . I-a08-CustomerRelatittna ~' Item Sarredi Cater,~ory: ' a~g 8me aus aax v,-. ~ Organization City of Santa Pdomca, CA - ggg_CustomerRela6ons Media: ` Category: ..Big Blue Bus Box Hax v ~ Media i ', Box - - Create nem» ~ LurrenE Location2 In B66-D88D ~:: Seled Us~Czfeults ... __... _ .. . Refresh ~ Stan Year B _ . .._ I i - I Year End 4 ~ Creation Can ~ Destroy Year ~ 5 ~~ ~ ', _ Requ~tCreatian ~, Special lnsWCtions;NOtes ~ 'f l- r~ t ®1FQ0481A5-(-1 ~- _.. is@fl$1~C8'f10n _ , -.. BAR CODE tl F-DU?8145 7 ~I,t'8Y~ biaTl#d) Select,~ll Seleei Mane ~ Box Number __... _. .___. ~i1_ ~ ,'.,. ; Delete I Att$Ot71~$2d ~$@fi$lOtl Retention Basis Date 9' - ~ I~~ 'NOTE: It m. m~-tE ,ubmitt ass e'Crsiicn RBCDftl Series ~_A a- w~. Requ~2 w~hirhi pros s=_a o~tf•_rd_Rc~m s[sN ~ Override DesWC6on Date ~~ ~g51'e~arc$~ _i sntl then msa_ svailabl=_ to athu wtr>>. i - - _. -, i ~g ~b ~~Y51'Qga3'S$) R=fre3h ~ Override DestructiontVotes ' p[] - - I Save . Cancel Capq _.. _.. _ Cresietl 87: System User ~ Cre3N_0 On: 4.+27i2ota e9P.ea?D.1 ~ - °~' Exhibit 1 12 City of Santa Monica Records and Information Management Manual April 28, 2010 How to Enter Boxes into File Trail This field will be defaulted for your convenience. The organization should be your department & division, the category should be your dept./div. box and media should be box. 2. This field is your filing area. It will automatically default to your file room. 3. This field is for the first year of the records contained in that box. 4. This field is for the last year end of the records contained in that box. 5. This field is for the destroy date of the box. Your department's retention schedule will contain this information. 6. This field is for any special instructions you may want to include with your box such as the extended destruction date reflects the legal hold placed on this case; or if a file is missing in your department that should go in this box, you can: write that here. 7. This field is for the barcode number. Please leave blank. 8. This field is for the temporary box number you assign to the box. Records Management will apply the barcode label on the box which will include the barcode and permanent box number. 9. This field, the retention basis date, is the date you are physically inputting the contents into File Trail. 10. This field is a drop-down menu where you will select the record series title listed on your retention schedule. 11. Please disregard the override destruction date field. 12. Please disregard the override destruction notes field. Once you are done entering the box information, click the "save to cart" button at the bottom. If you have files for that box (Exhibits 3 & 4, pages 14 & 15), click the "create contents" just below the search button a1 the top (See Exhibit 1, page 12). If there are no files, click the creation request tab at the top to enter your next box or click the request creation tab in the cart to send to Records Management staff to process. Exhibit 2 13 City of Santa Monica Records and Infonnation Management Manual Apri128; 2010 ' licensers to City of Santa Monica ~ t:ogoli 4'arsian 3.3.45A~03 _.. __._ _.__.._ ._ ___. currentuser: Mypegkt4p SearClt CraatianRequest My Account SCAN System Oser ..._. ..__ _....._ 1rIe4! Clipgoaetl 1, Create Neuv Contents for: ~ ~ ;'2, Enter Datafor Ne~v File;: ~1E00a:v06-(-1 Organization Gd}'ofSantaGlonica;Cn Organization 13 {Defaralt) I BEB - Gusiomer R61a1ions I•BBd 4u~tam,.r2slaticra v ! Category General --- - I ~BoY Category: I I Medla , een:ral v - - - ~ Elle Pr9edia: ' -..__ _. __. DefaultFling 8BB=0680 File Filers) Description _ 14 CrahCcn:rts:: Start Year js salad lY70aFsuIG ~ _.. .. _ Year End 15 AtltlitionalCamments ~7 ~ c tian cart identifiicati0tl Rezuest Creaticn BARCODE ~ __~~ ~~'(Leave dank) IidT't:L d n;ca,... i Ilr av.;rt-6a~ca_. 1^+' 1F-CC45=C8-t-i _.... _.__ ~._ I Sa.e ct,aR Carc I +'cpy S.I„ct _II S wct:_;cre o. ua f =It as ono ° ~,.., I'a-a. MOTE l ( V° _. .. Gekte I 'R6TE:Itarcamcsr NSCemi_!c_, a'C. _!ic^ ' ~S.Gaarl R=au_a';vcicn is prcrxs:c bj th_:il_Recm SaN i ~=M1.=q Fiala. ono tr=r reaaa e~sil'.~k ra o;har as=r. ti = Crir=Fiala. =PaTLl eS Flala. P.=G°h I P.ahsh Exhibit 3 14 City of Santa Monica Records and Information Management Manual April 28, 2010 How to Enter Files into File Trail 13. This field will'be defaulted for your convenience. The organization should be your department & division, the category general and media file. 14. This field is for your file description. This space has room for 300 characters. 15.This field is for the beginning year of the file.. 16. This field is for the ending year of the file. 17. This field is for additional comments you might want to include with your file. 18.This field is for the barcode number and should be left blank. Click the "save to cart" button at the bottom of the page to place the files with your-box in the creation cart. If you have another file to enter for this box, click the create contents button on the left side just above the "creation cart". Repeat this step for each file for that box. Once you entered the last file, click the creation request tab at the top of the screen to start a new box or click the "request creation" tab in the creation cart to send to Records Management to process. Please input all boxes and files before you click the request creation tab in the "creation cart". Exhibit 4 15 City of Santa Monica Records and Information Management Manual ApriI28, ?A30 B. BOX/FILE RETRIEVAL & RE-FILE This is the process when boxes/files are requested from offsite storage; returned to the department temporarily, and then returned to offsite storage. All retrievals and re-files are done through File Trail: Click the search button at the top of the screen. In the keyword search field list the item you want retrieved. If the item does not appear, try putting an asterisk in front and back of the item you are searching for (See Exhibit 5, page 18). In this example, if you are searching for Taylor, Todd and the search returned with no items found, try putting an "asterisk" in front of Taylor and one behind Todd (*Taylor, Todd'). The asterisks are telling File Trail to find the exact phrase Taylor, Todd. Once you locate the -item you want retrieved (See Exhibit 6, page 19), click the cart icon to place the item into the "search cart" on the left side of the screen. In the "search cart", click the request tab to start the ordering process. If you want the entire box retrieved, you will have to click on the box icon under the "current location" field (See Exhibit 7, page 20) in the search results and click the request tab (See Exhibit 8, page 21) at the bottom of the page. Once you click the request tab you will have to specify the type of service you want: hext day, rush or half day rush (See Exhibit 9, page 22). Then click the submit request button to order your item(s). The normal delivery of offsite boxes is on Tuesday and Thursday afternoons. Departments must request the retrieval of boxes/files in File Trail 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" are placed in File Trail. Once you place the order, you must follow up with a phone call to 310-458-8211 ore-mail to "offsite records" to ensure that we received your order. 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 Clerk's area. If you order five or more boxes, they will be delivered to your department by the offsite storage vendor. When the boxes/files are ready to be returhed to offsite storage they must be returned to the City Clerk's office with the contents intact. All files must be in the box when returned to storage. The box is kept in the department's work area until the material is no longer needed. 16 Ciry of Santa Monica Records and Information Management Manual Apri128, 2010 When you are done reviewing the box/file, you must check them in through File Trail. Under the My Desktop button, click the "items checked out to me" tab in the middle of the page. Next, make sure the items you want to "check in" are checked (See Exhibit 10, page 23) and click the "check in items" tab. Another window will pop up (See Exhibit 11, page 24) click the "check in" button at the bottom. They are now checked in. 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 delivery of Category 1's 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 $45.44 for a box or file, and includes delivery. `=Category 2"Rush Order: Boxes/files are delivered within four hours. Orders 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. The cost is approximately $34.44 for a box or file. These costs are charged back to the requesting department/division on an Inter- Departmental Transfer Form when monthly billing is completed. "Category 3" Regular Order: Boxes/files are delivered the next business day. You will not be charged for this delivery type. 17 City of Santa Monica Records and Information Management Manual April 28, 2010 ,~ Licensed to CityafSantaManica ~~ogatt Version 3.8A 8R~U8 current user: ply Desktop Search Creation Request h1y Account SCAP>l System User ._._ ___. _.._:.: ..:. __. _... _ ._.._ _. ----~ Search Cart Search Criteria Currant Search Cntena r K=s cm S,arc~ .6 nora; v There are ne Reins in your ~eareh Cat SearchP!oe1 Cher ~- iCayword I ~ '. '~' OrJanliHllon G~ C $ef[8 S^ORiCa. ~ Js RxG~h 969 rUEfOCt rRcl8hCf3 '..-686-6xacutn2 '-088-Traesitl~ieloirrtertce 066 Transd 2rC§rBCiS `/' _..._ fledla .. Bcx p~' i Cccumert is 1 Nem's Current Status: . ^ 1dx,rCV83.^ IGCf~ell ^ TQ 62 kcC~i\•c3 ^ RamOVed Box number p II Destroy Year 1 r! Start Yaar YaarEnd p0, j BARCODE i C - .. ScdrCh F6't7 fla7r Results per page: 20 R=frsF Exhibit 5 18 City of Santa Monica Records and Information Management Manual Apri1~28, 201:0 Licensed to City of Santa Manisa ~ Lagoff L'ersion 8.8.d SR-03 _..__ __.__ ____._ _ _.... -..-. __-... - .. curremuser: My®esktap Search GreatlanRequest N1yAacaunt SCAN . System user .__._ __. _~_. .... Search Cart ~ SearehResults, .+ tc6in larch t',r~aroh iRasultsPprPaga:f2a +~' i,-d0:.?I S.I!eG4 iC ', RdCCr9: Pa fie t C' i BOX Description Plumber BAR Immedate Filing Current Fde Record Additional ,- t ®~ ~avlcr ?ctldi120~~a i6i505i778HcmanRes Cart Uleva t CODE: Organization Gonients Location Location Description Series Comments Ins -- . _ _ 1 lad ~ iN ~ ,ISCa7?95 CdyofSarla ~.rtyHell- ~~ Tarler.-ced I_, ~; ,_ 1crice. CA G12C 15052 ^PR=P rcir--,Cn?o:aut R~G~as ''-Human A50045805 - Rescurc~ -PAedical :elec[_~ Selec[I!ere Ra"ICVe Evaluations 20001 t siFile fBFC!te Too Keepersll File Keepers _. . _ ~ - 2'~ ~~ ~I ~ ~ U Id~87778CtycfSanta Gi~zPaO- -ag!cr.icdd R=B>h llcnica. C,: Ct2G 15074 Human A500J57a7 Reacurces -P,9edical Evaluations - L_l at File Keepers!! File Keepers 3 ~ ~ ,~I' ' r1513.i`54m~of5aria :in~Na~-t,LJ eyicr.?cdo i _ J ~ - IOa,ca. C:: G120 98667 - :..Homer A512a1t32 Resoerces -0isabili Retirement Files 2000 -2 e; File - Keepers 9 File _ _ Keepers 7 ReLa{tl3 - izd~e 1 ai i y, 4 5 d A _ Exhibit 6 19 City of Santa Monica - Records and Information Management Manual Apn128, 2010 ~~~- Version 3.a.d aRA3 _. _- _.. cnrrenr user: ~~y ®eskBop System User Licensed to City of SantaManioa - __ .._.____ _. _____.. .___.__- . SeaFeh '. Creation Request ~_ ~Logott PAy Account ' SOAP! 5ea[Ch Cart ~~ Search esulfs :. ~ ; ~ Ilodify Saerch Naty Search i w~ ~. ft~sultsPerPage z6 I 3 Recerds , , Page 1 of 1 Thera are no Items in ;our Search Cart I Box Humber BAR Immediate nfing Current Foe Record Addtional Gaff ' Vew ~ CODE OrganitaYion Contents Lpcatwn Location. Oescriptipn Series Comments Ins 7 ~L~~a~~~1~ ~ i~l ~u ~ IdS097495 CdyofSente CdyHa~- la~ Taylar,Todd Re6esh `-' I~ I 6ionlCe, CA 0120 {r~p52 Human A56645805 Resources ldedical Evaluations L~ et File Keeperstt File _ _ _. Keepers r 2 ~t~) ~~ ~, ' IJS097778 C4yofSanta - __ City Hall- In 7aylor,Todd I I ' ~ I_ fdenica, CA 0120 95034 ~ '-Human A56645781 -- Resources -fi9edical `' Evaluations L1 et File Keeperstl File Keepers 3~„..' ~~ p~ ~ LIS1337S5CRyofSente City Hall Taybr.Tadd In _„ I 61orice,CA - , 0120 98067 Human A51287932 Resourcas -6isablF Retirement Files 2066 2W4I at File - - Keepers 11 File Keepers 3 Records Page 1 of 1 -. ~ f > Exhibit 7 20 City of Sonia Monica Records and Information Management Manual Aprn 28, 2010 - Hisforv ~ Refresh Currenttocabon V1FleKeepers11F1eKeepers Start Year YearEntl Destroy Year 2031 File(sJ Description P,ledical Evaluations Special Ins W c6onsltJotes Identification. BARGODE P,50045787 Box Number 15D34 t7tomat~d eten$lon Retention Basis Date RecardSeries HR-039-IMedicalEvaluationl H Override DesWction Date Override Destruction PJotes I_G03e ' COpY ~ I,_ Request I Check N 9ietl 8y: FTCccrza vtetl On: 19125;2001 71'30 00."D,I box ExhibiY8 21 City of Santa Monica Records and Information Management Manual Aprit 28, 2010 .., . Steps: [1] Request Info. > [2] Submit Request Enter Request In(omiatlan ~atE PIEEded; IAS:,P__.. _' I'~ IA=AP~104k1?45?s1 e0 Caesl€B Ceu,l33 Request C Gary-(Chectmt, «t:' Priority ~j - ,,,I s InEINClIOnE -4ali Cay Rush ,` ~,i~l . RJ31 ~; SuCmB Rzyuesi=: Carcal RcgU„,t ®$_ma.'a from £art agars fir.i;h-_d. Items to Request Item PR LocoGan 1 ®~ Taylor, Tctltl 11210299-U,15097778 Human R~curc~ ~ -rcni~ae6 FR = Fa.3ic~ Ckad:nt P.a:u_aG City of Santa Monica Records and Information Management Manual Aprit 28, 2010 P-fr= n Exhibit S 22 9~ ~s"`Y8 `Jersion 3.6.1 SRA3 Current User. System User Licensed ro Gity of Santa Nlanica My Desktop.. ...Search Creation Request Nly Account SGAE+! GIy Checkt)ot Task r_reation Plew Items. Requests i Requests Requests ~ Features ~ Logofi Item PR QWDate.Due~ate Note. ~, ~^~1 J~'lorToddt121U2t99-)LIS997776HumanResources 0 9lF+2D10 al1tit019 Selac?;II Salec?ticr.~ ~heC~116~2~73 ~ 1415' ~°$aOD Exhibit 10 23 City of Santa Monica Records and Information Management Manual Apri128, 2010 -, - N l_tJ 15634 A5W45787 -Medical Evslua4lons I - S iCurrently at File ® 1 J Tavlor. Todd (1210219 9-1 k1S097778 6 Keepers I1 File Keepers] FBe Keep rs 1l FPe Cgy Hai 0120 ~~ v~i Human Resources Tnru FgeRdcm City Hall-0120 Keepers ~- -- - To Archive File Keepers 11 Fife Keepers y , Checkln' Cancel IIOcS: t1j'r'curse8.ched FdeRecm may netceihe flema`:ACti: e'ftleAeem. [Zj Currently «dsaing kercusj wgl Ce mart~d as tcund and placed in the?elected F1eRacm. PR = Pending ChecY.aut Repuesr - - Refi2;h Exhibit 11 24 City of Santa Monica Records and Information Management Manual Apri128, 2010 IV. DESTRUCTION PROCEDURES All records are reviewed for destruction on an annual basis, including records in active files and records stored offsite. 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. A. Destruction of Ohsite Records The annual review and purge of onsite records is conducted in January 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 (On the Intranet, under Employee Reference, Records Management), 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 11, page 26) listing the files for destruction. The boxes are kept in the originating department's area until final approval is received. Final approval is obtained from the Department Head, City Attorney, and City Clerk. After final approval is obtained, you will be sent a copy of the fully executed on site destruction form and the department personnel can destroy the records at their leisure. If you have a lot of items to shred, contact the Records Management Coordinator for assistance with arranging destruction. B. Offsite Records Destruction The annual. review and purging of offsite records is conducted in January. A computer generated destruction list and a destruction form will be sent to each Records Coordinator. The form 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: 25 City of Santa Monica Records and Information Management Manual April 28, 2010 Exhibit 12 26 City of Santa Monica Records and Information Management Manual Apn7 28, 2010 - 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 employee's desk. They typically do not directly relate to the records 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 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. GHRON 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. 27 City of Santa Monica Records and Informalion Management Manual April28, 2010 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 Clerk's 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. Original signed contracts are vital records and consequently, need to be preserved and protected. The City Clerk's Office is the official keeper of the original copies for all contracts which have gone before Council forapproval. Original copies of contracts that do not require Council approval are kept by individual departments. 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 Clerk's Office if approved by Council, or in the department, if not. Important note: Before departmental copies of Council approved contracts are discarded, check with the City Clerk's 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. 28 City of Santa Monica Records and Information Management Manual April28, 2010 ELECTRONIC MAIL The City of Santa Monica has implemented a compliance based electronic mail retention policy with a one (1) year destruction period in an effort to maintain electronic mail messages for a reasonable time period. Offline storage of electronic mail messages created by Information Systems staff during nightly backup procedures shall be kept for a period of one (1) year. Destruction of all electronic mail messages is managed automatically and without human interface by the City's electronic mail storage systems. All electronic mail messages are kept for a one (1) year period and are destroyed automatically on a daily basis after they become one (1) year old. TIME CARDS The Finance Department implemented a new payroll system. With the implementation of the new system and fewer paper 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. NON-RECORDS Non-record material has a very limited period of value and is usually created to notify, transmit, 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 • FYt 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* 29 City of Santa Monica Records and Information Management Manual Apri128, 2010 • Telephone messages Handwritten notes ~WORKINC~ 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 fifes. 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 department's official files. As the growth of these files is only limited by space available, it is prudent to restrict personal filing space. PERSONNEL FILES The Personnel Department has the official copy. of each employee's personnel file. A Supervisor may keep a Supervisor's file for their employee(s). 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 Supervisor's 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 into 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. 30 City of Santa Monica Records and Information Management Manual April 28, 2010 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. 31 City of Santa Monica Records andlnformation Management Manual Apri128, 2010 VI. FILING TECHNIQUES Chances are, no one's favorite thing to do at the office is filing. Some of us, in fact, will do anything to get out of it! Filing is often thought of as aloes-level, low priority task; and it's boring: Too much filing causes chafed hands, broken fingernails, sore backs, and paper cuts. Filing is rarely fun. However...the consequences of putting off or careless filing can be devastating to the City. It is estimated that each misfiled or misplaced document costs an agency $30. If everyone at the City filed with 99.9% accuracy, it will still be costing the agency thousands of dollars per year in people looking for misplaced records. Records are the lifeblood of the City, and the accurate filing of them is important! This section of the Records & Information Management Manual is designed to help staff who have filing responsibilities develop good filing techniques. Those employees who don't have filing responsibilities are advised to stay out of the files. It is a well- documented fact that file integrity decreases with the number of people who have access to the files. Rules for Alphabetic Filing ARMA (the Association of Records Managers and Administrators) has published a manual, Alphabetic Filing Rules, that set forth guidelines for filing rules. These rules are generally accepted by most organizations, but more importantly, the guidelines provide procedures for consistent filing. Consistency is a key element in effective filing. Alphabetic Filing Rules is available from the Records Management Coordinator. Portions of it have been extracted and appear in this section. One easy rule to remember is, "When in doubt about where to place a file alphabetically, check the local telephone directory." This directory contains correct examples of most of the alphabetic sequencing possibilities. 32 City of Santa Monica Records and Information Management Manual Apri128, 2010 1. Alphabetize arranging files in unit-by-unit order and letter-by-letter within each unit. North East Forms Com North Eastern Microfilm North-East Data Co. Northeast Systems Northeastern Equipment Co. 2. When "The" is the first word of a file segment, ignore it and put it at the end of the segment. Advertising California Department of Transpdrtation, The Contractors 3. File single unit filing segments before multiple unit filing segments (or "nothing comes before something") Santa Monica Santa Monica Centre Santa Monica Centre -East Santa Monica Centre -West 4. Ignore all punctuation when alphabetizing. Hyphenated words are considered as one word. 5. Arabic and- Roman numbers are filed sequentially before alphabetic characters. 6. Acronyms are filed as a normal word. Abbreviations are filed as if spelled out. Allstate ARCO Building Auto Centerof Santa Monica St. Monica Church Sarasota Center 7. Cross-reference when it's not clear where a file should be. Benevolent and. Protective Order of Elks (see Elks Club) 33 City of Santa Monica Records and Information Management Manual Apri128, 2010 8. When filling under a person's name, use the last name (surname) as the first filing unit. Bomb, Garol Davis, Freeman Grossman, S. Ira Watts, Gloria Subject Filing These are by far, the most difficult files to maintain, primarily because no two people categorize subjects the same way. In fact, one individual may not categorize a subject the same way two days in a row, or a week apart. Due to their nature, subject files can be full of ambiguities, making them difficult at best. Good subject classifications systems can be difficult to develop and administer. They are also costly and time consuming to maintain, and are often the source of constant criticism. Knowing all the pitfalls, careful attention to subject files must be paid. There are two methods that can be used to organize them: Topical (sometimes called encyclopedic) and subject classification. The correct one depends on the size of the file and the manner in which the records are referred. Subject files organized by topic are typically small files with simplistic, discrete subjects. Administrative subject files are good candidates for the typical classification scheme. 34 City of Santa Monip Records and Information Management Manual Apri128, 2010 Once the list of subjects gets large and subject categories become complex, a subject classification system is usually more effective than a topical one. However, this type of system requires an understanding of the functions of the records, a strong sense of logic, good reading comprehension, and knowledge of subject classification methods. Most importantly, it requires effective communication with the person(s) who will be requesting the files in the future. The primary function of a subject classification system is to group like subject categories under one major classification Topical Method Aged accounts receivables Asbestos Audits Earthquakes Expense Reports Job descriptions Policies and procedures Purchasing Request for warrants Storage tanks Subject Classification Method Administration Expense Job descriptions Policies and procedures Environmental Asbestos Earthquakes Storage tanks Finance and Accounting Aged accounts receivables Audits Purchasing Request of warrants The benefits of subject classification systems are: • Similar files are kept together for easy access and browsing. • A few major classifications narrow down the number of possible locations in which a file can be found. • Subject classifications provide one more piece of the information that maybe useful when to trying to find files. • Subject classification systems encourage the person doing the filing to think about the records in terms of their function, making him/her more valuable to the department. 35 City of Santa Monica Records and Information Management Manual April 28, 1A10 Effective subject classification systems should be: Logical Logical means that classifications proceed from major to minor. The major heading is the all-inclusive caption, such as BUDGETS, grouping like files together. Subjects under BUDGETS could be Correspondence, Workpapers, and Final Standardized The terms used in a classification system should be standardized so that all departments are filing under the same definitions. Practical Sometimes the academic method of classification is not practical. Simple Two or more classification terms should not be used when on will suffice. COMPLEX: BENEFITS HEALTH INSURANCE FORMS SIMPLE: INSURANCE FORMS Retention When possible, classification terms should be selected that Conscious keep records with similar retention periods together. Purging and destroying records with short retention periods, when they are mixed in with records with long retention periods, is time-consuming and subject to errors. Flexible The subject classifications chosen should be flexible enough to allow expansion without reorganizing the files. Mutually When classifications are not mutually exclusive, ambiguity and confusion Exclusive often result. For example, it would be confusing to have both RIDERS CORRESPONDENCE and RIDERS COMPLAINTS classifications in the same records series. Where would a letter from a bus rider commenting on the bus schedule track record be filed? Universal When a filing system is used by more than one person or department, everyone's perspectives should be taken into consideration. For example, one person's CAPITAL ASSET maybe another person's EQUIPMENT. Choosing the right subject classifications takes time, careful consideration, and input from the person(s) who will be requesting files in the future. It is recommended that staff with subject file responsibilities develop a list of subjects that is agreeable with the person to whom they report. These lists are called Subject Classification Lists and 36 City of Santa Monica Records and Information Management Manual Apri12$ 2010 should be put into an Excel or Word document so they can easily be updated. Ideally, the person filing will refer to the list and indicate the appropriate subject category on the records itself, adding new categories as appropriate. This way, the record will have a better chance of being filed according to the way it will be referred to in the future. Taking time to carefully categorize and label files in the office also has long-range benefits when there is a need to locate a specific document or series of documents five, ten or twenty years from now. The relatively small amount of effort taken to organize the files in the beginning will be substantially less than the time required to weed through erroneous files in the future. Once a subject classification list has been developed, if utilized correctly, it will be referred to constantly. It usually takes less time to refer to a list when determining where to locate or place a file than to go directly to the files. Using subject classification lists in this manner is strongly encouraged. 37 City of Santa Monica Records and Information Management Manual Apri128, 2010 SAMPLE Subject Classification List ADMINISTRATION Directory Updates Expense Report Frequent requested offices and numbers Management Agreement. Organization Chart Procedures, Opus, File Keepers, Remote Status Reports BUDGET COMPLIANCE/CODES/REGULATION ADA (Americans with Disabilities Act) Building Codes Certificate of Occupancy FCC Radio License OSHA (Occupational Safety & Health Administration) DISASTER RECOVERY Research ENVIRONMENTAL Air Quality Asbestos Abatement Asbestos Survey Department of Toxic Substance EPA (Environmental Protection Agency) Hazardous Materials Indoor Air Quality OSHA (See Compliance/Codes/Regulations) FILE KEEPERS Authorization List Box Research Discrepancy Forms 38 City of Santa Monica Records and Information Management Manual Apri128, 2010 INFORMATION SERVICES Notes MEMBERSHIPS AIIM ARMA ARMA - ISG ATA IIMC SOA MICROFILM Equipment Off Site Vendors Service Companies Vault Inventory POLICIES AND PROCEDURES Office Deport One World OPUS RECORDS MANAGEMENT Department Coordinators NRIMW Project Planning Resolutions & Staff Reports Retention Schedule Subject Classification List 39 City of Santa Monica Records and Information Management Manual Apd128, 2010 Filing Supplies For every filing need, there is a myriad of supplies available. The best way to determine which are the most appropriate is for employees to consult with the Records Management Coordinator, who has samples of supplies and contacts with local filing supply dealers. Some basic guidelines follow: Shelf filing is 25% more efficient and takes up 40% less space than drawer filing Hanging file folders should be avoided whenever possible. They are expensive, require a duplicate label, and take up 30% of the space available for each file drawer. File folders can be housed by themselves in most file drawers, with magnetic drawer followers, eliminating hanging file folders. Color coding should be considered for large files, in particular subject files, in an effort to identify folders to be selected more quickly. Color coding increases filing and retrieval efficiency and reduces misfiles. Even though color coding can be a very effective filing tool, too much tends to confuse, and too little is not effective. (See page 42 for a discussion on color coding.) Most manila file folders are designed to hold 1 - 50 sheets of paper in their "flat" state. By creasing the bottom of the folder on the first fold, the capacity increases to approximately 100 sheets. Creasing on the second fold increases capacity to about 150. When a file folder exceeds 150 sheets of paper, expandable file pockets should be considered. Select file folders that are conducive to the subject matter that is stored in them. Discuss file folder needs with the Records Management Coordinator. "Out Guides" should be used for files that have been temporarily removed from the files. They are designed to include the user's name and accommodate incoming records while the file is out on loan. 40 City of Santa Monica Records and Information Management Manual Apri128, 2010 File Folder and Cabinet Labels Depending on the type of supplies chosen for each file system, file folder labels will take on many different forms. Color coded labels many represent certain information. File folders may be side cut for open shelf filing or top cut for drawer filing. The length of the file folder label may also vary. In any case, certain basic rules apply: Rule 1. Always type the file folder labels rather than handwrite. The use of a labeling program is useful Rule 2. When using subject classification systems, type the major heading in bold caps and the minor one in upper and lower case. ENVIRONMENTAL Air Quality FILE KEEPERS Discrepancy Report MEMBERSHIP ATA Rule 3. When hanging file folders can not be avoided, type their labels exactly as shown on the file folders. Rule 4. Type the file folder labels consistently throughout the system. Rule 5. Avoid the word MISCELLANEOUS when labeling files. Rule 6. Place "Out Guides" in the files when a file has been removed, showing who has the file and the date it was taken. Rule 7. Label all file drawers with the record series name and inclusive files. 41 City of Santa Monica Records and Information Management Manual Apri128, 2010 Color Coding Color coding can substantially improve productivity and file integrity. Large files are generally more conductive to color coding than small ones. Although there may be instances when you use the color coding on small files, it is not usually cost effective or very useful. Color coding should be used only when the benefits outweigh the costs. Benefits include: • Quicker document retrieval time • Less time required to file and refile documents The grouping of similar files together • Reduced misfiles Please check with the Records Management Coordinator for color coding suggestions. 42 City of Santa Monica Records and Information Management Manual April 28, 2010 VII. AUTHORITY. A. The Departmental Records Retention Schedule 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. B. Statutory Authority. There are two basic State Government Code 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. 34090. 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. 34090.5. 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 43 City of Santa Monica Records and Information Management Manual April28, 2010 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. 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 34090.6. (a) Notwithstanding the provisions of Section 34090, the head of a department of a city or city and county, after one year, may destroy recordings of routine video monitoring, and after 100 days may destroy recordings of telephone and radio communications maintained by the department. This destruction shall be approved by the legislative body and the written consent of the agency attorney shall be obtained. In the event that the recordings are evidence in any claim filed or any pending litigation, they shall preserved until pending litigation is resolved. (b) For purposes of this section, "recordings of telephone and radio communications" means the routine daily taping and recording of telephone communications to and from a city, city and county, or department, and all radio communications relating to the operations of the departments. (c) For the purposes of this section, "routine video monitoring" means videotaping by video or electronic imaging system designed to record the regular and ongoing operations of the departments described in subdivision (a), including mobile in car video systems, jail observation and monitoring systems, and building security taping systems. (d) For purposes of this section, "department" includes a public safety communications center operated by the city or city and county. 34090.7. Notwithstanding the provisions of Section 34090, the legislative body of a city may prescribe a procedure under which duplicates of city records less than 44 City of Santa Monica Records and Information Management Manual April28, 2010 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. 34090.8. (a) When installing new security systems, a transit agency operated by a city or city and county shall only purchase and install equipment capable of storing recorded images for at least one year, unless all of the following conditions apply: (1) The transit agency has made a diligent effort to identify a security system that is capable of storing recorded data for one year. (2) The transit agency determines that the technology to store recorded data in an economically and technologically feasible manner for one year is not available. (3) The transit agency purchases and installs the best available technology with respect to storage capacity that is both economically and technologically feasible at that time. (b) Notwithstanding any other provision of law, videotapes or recordings made by security systems operated as part of a public transit system shall be retained for one year, unless one of the following conditions applies: (1) The videotapes or recordings are evidence in any claim filed or any pending litigation, in which case the videotapes or recordings shall be preserved until the claim or the pending litigation is resolved. (2) The videotapes or recordings recorded ah event that was or is the subject of an incident report, in which case the videotapes or recordings shall be preserved until the incident is resolved. (3) The transit agency utilizes a security system that was purchased or installed prior to January 1, 2004, or that meets the requirements of subdivision (a), in which case the videotapes or recordings shall be preserved for as long as the installed technology allows. 45 City of Santa Monica Records and Information Management Manual Apri128, 2010 VIII. DISASTER RECOVERY SERVICES (HUNTERS) The City has retained and enrolled in Hunters' Code Blue Program for priority emergency services for Government facilities. Here are a few services available through Hunters: • Water extraction • Drying Services • Mold remediation • Clean-up and debris removal • Structural & contents cleaning • Document restoration • Fire damage restoration • Deodorization • Air purification • Temporary heat or air conditioning • Temporary power Hunters is available 24 hours a day 7 days a week. Please contact Records Management if you need assistance during normal working hours. If there is a problem during non working houses, Hunters can be reached at: Monica Ellis, Account Manager Hunters 201 Calle Pintoresco San Clemente, CA 92672 1 800 HUNTERS -1800 686-8377 monica ellis(a~munters.com www.munters.us 46 City of Santa Monica Records and Information Management Manuai Apri128, 2010 IX. 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.. Data - A general term-used to denote computer-based records or information. Data Transfer -The movement of data inside a computer system. Digital -The use of binary code (ones and zeros) to record information onto magnetic media. Any information (text, graphics; audio, video) that has been translated into binary code. Disposition -The allocation of public records to a particular location according to their categorization for destruction. Electronic Archives -Historically valuable records that exist in machine-readable or computer-processable form. 47 City of Santa Monica Records and Information Management Manual Apri128, 2010 Electronic Document-A record stored on electronic storage media that can be readily accessed or changed; the smallest unit of filing within a computer application or database; a collection of discrete computer-based information objects formatted for presentation to an end-user. Electronic imaging -The process of capturing, storing, and retrieving documents or data, regardless of its original format, using micrographic or optical disk technologies. Electronic mail (E-mail) -A message transmitted electronically from one computer terminal to one or more such devices via standard software and telecommunications channels. A system that enables users to compose, transmit, receive, and manage electronic messages and images across networks and through gateways connecting to other local area networks. Electronic Record - A record containing machine-readable, as opposed to human- readable information, and consisting of character-coded electronic signals that can be processed and read by means of computers. A record stored on electronic storage media. Electronic Records Inventory-An identification, description, and quantification of all computer-based records maintained by an organization, generally by application or other discrete bodies of electronic records stored in various computing environments. Electronic Records Retention -The act. of retaining computer-based records in digital storage media because they are presumed to be needed for some current or future business purpose; such retention should occur under a formal electronic records retention program or policy. Electronic Records Retention Program -The component of an organization's larger records management program that provides policies and procedures specifying the length of time that computer-based records must be maintained. Electronic Records Retention Schedule - A comprehensive list of electronic records series titles, indicating for each series the length of time it is to be maintained. It may include retention in active office areas, inactive storage areas, and when and if such series may be destroyed or formally transferred to another entity such as an archives for historical preservation. A document prepared as a part of an organization's records retention program. Electronic Records Series -A group of related electronic records filed/used together as a unit and evaluated as a unit for retention purposes. It is logically related, serves a common purpose of function, and can thus be considered as a separate unit for purposes of developing an electronic records retention schedule. Fiche -Abbreviation for microfiche 48 City of Santa Monica Records and Information Management Manual Apri128, 2010 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 that do not have to be readily available but must be kept for legal, fiscal or historical purposes Information Life Cycle -The period of time form the creation or receipt of a record through its useful life to its final disposition; i.e., destruction or permanent preservation. In electronic recordkeeping environments, the transition of documents or data from active to inactive status, which is generally coincident with migration of information from primary to secondary storage media and subsequent purging or permanent preservation as electronic archives. Internet -The worldwide collection of networks and gateways that allow public access to send, store, and receive electronic information. At the heart of the Internet is a backbone of high-speed data communication lines between major nodes or host computers, consisting of thousands of commercial, government, educational, and other computer systems that route data and messages. It is a network of networks. Intranet-A private Internet network set up within an organization behind a firewall for use, depending on security clearance; by employees, business partners; customers, or general Internet users. It usually employs Web pages for information dissemination and Intranet applications such as Web browsers. 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 leases, titles and contracts; and records of action in particular cases. Such as claim papers and legal dockets. 49 City of Santa Monica Records and Information Management Manual Apri128, 2010 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 columri 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. Records Retention Manual - A collection of current procedures related to the operation of the records retention program. Records Retention Program - A program established and maintained to provide retention periods for records in an organization. The component of a records and information management program that provides policies and procedures specifying the length of time an organization's records must be maintained. The program provides for the systematic destruction of records that no longer serve any useful purpose and is implemented by effecting the destruction of records on a scheduled bases, as specified in the organization's records retention schedules. The program also provides for the permanent preservation of records considered to possess historical or archival value, again as specified by the records retention schedules. The records retention program is one of the organization's major tools for controlling the growth of its records, and it 50 City of Santa Monica Records and Information Management Manual Apri128, 2010 also minimizes the legal risks that can be associated with maintaining and destroying business 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. Retrieval -The process of obtaining desired information from a recordkeeping system. Vital Record - A record necessary to continue the operation of an organization in case of disaster or emergency. 51 City of Santa Monica Records and Information Management Manual Apri128, 2010 Reference Resolution No. 10511 (CCS).