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
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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
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City of Santa Monica
Records and Information Management Manual
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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.
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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.
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City of Santa Monica
Records and Information Management Manual
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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
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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.
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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.
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Apri128, 2010
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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
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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.
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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
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City of Santa Monica
Records and Information Management Manual
Apri1~28, 201:0
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19
City of Santa Monica -
Records and Information Management Manual
Apn128, 2010
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20
City of Sonia Monica
Records and Information Management Manual
Aprn 28, 2010 -
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21
City of Santa Monica
Records and Information Management Manual
Aprit 28, 2010
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Records and Information Management Manual
Aprit 28, 2010
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23
City of Santa Monica
Records and Information Management Manual
Apri128, 2010
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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.
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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
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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
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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.
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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
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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.
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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
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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.
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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
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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.
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Reference Resolution No.
10511 (CCS).