RECORDS MANAGEMENT POLICY MANUAL
2022
1 Table of Contents
FORWARD ................................................................................................................................... 3 INTRODUCTION ......................................................................................................................... 3 AUTHORITY AND RESPONSIBILITIES ................................................................................ 4 AUTHORITY .................................................................................................................... 4 RESPONSIBILITIES ....................................................................................................... 5 Each Department and/or Division shall: ...................................................................... 5 The Records Coordinator shall: .................................................................................... 6 The City Attorney shall: .................................................................................................. 6 PUBLIC RECORDS.................................................................................................................... 7 WHAT IS A PUBLIC RECORD? ................................................................................... 7 ACCESS TO PUBLIC RECORDS ................................................................................ 7 What you don't have to provide: ................................................................................... 7
CITY OF RIALTO POLICY/GUIDELINES FOR PUBLIC RECORDS
REQUESTS...................................................................................................................... 9 UNIFORM FUNCTIONAL FILING SYSTEM ........................................................................ 13 RECORDS INVENTORY ......................................................................................................... 15 RECORD APPRAISAL ............................................................................................................ 16 RECORDS RETENTION SCHEDULES ............................................................................... 16 DEVELOPMENT OF RETENTION SCHEDULES: .................................................. 17 Additions and revisions to record retention schedules: ........................................... 17 RECORD STORAGE AREA ................................................................................................... 18 Transferring Records to the Record Storage Area .................................................. 18 Instructions for Completing Records Transfer List ................................................... 19 Requests for Records Retrieval .................................................................................. 20 Instructions for Completing Records Retrieval Request Form ............................... 20 MAINTAINING CONFIDENTIAL AND HISTORICAL RECORDS.................................... 21 Confidential Records .................................................................................................... 21 Historical Records ......................................................................................................... 22 VITAL RECORDS PROTECTION.......................................................................................... 22 METHODS OF RECORD PROTECTION/PRESERVATION ............................................ 24 Record Dispersal ........................................................................................................... 24
2 Built-in Dispersal............................................................................................................ 25 Improvised Dispersal .................................................................................................... 25 DESTRUCTION OF RECORDS ............................................................................................. 25
INSTRUCTIONS FOR COMPLETING RECORDS DESTRUCTION
REQUEST ...................................................................................................................... 27 SUSPENSION OF DESTRUCTION ACTIVITIES................................................................ 27 Scanning Procedures ................................................................................................... 29 Index/OCR (Optical Character Recognition) ............................................................. 30 APPENDIX ................................................................................................................................. 32 GLOSSARY.................................................................................................................... 32 CITY OF RIALTO ADMINISTRATIVE POLICY STATEMENT .............................. 35 CITY OF RIALTO ADMINISTRATIVE POLICY STATEMENT .............................. 37
3 FORWARD
This manual was designed to be a tool for all City employees to assist them with everyday records management tasks as well as the more ominous task of destroying records, which are no longer of use. It is intended to inform the employees of the policies and procedures of the Records Management Program. However, please feel free to contact the Records Coordinator or any of the departmental representatives on the Records Management Committee if you have any questions or suggestions. We respectfully request your understanding and cooperation in helping to make the Records Management Program a success.
INTRODUCTION
RECORDS MANAGEMENT is the systematic control of all records – from their creation (or receipt) through their processing, use, distribution, organization, protection, storage, and retrieval – to their ultimate disposition. In order to effectively conduct its business, a municipal government must be sure that required information is in the right place, at the right time and in the right format.
The Records Management Program, if properly used and adhered to, will result in the following benefits for the City and its individual departments:
• Reduce costs for labor, equipment and supplies needed for filing records; • Increase floor space available in office areas;
• Eliminate lost or misfiled documents;
• Lessen the time required to find a document and improve access to records; • Provide for systematic storage and disposal of records; • Identify duplicate records; and
• Preserve historical and vital records.
The Records Management Program presented in this manual is the result of the experience and knowledge of many individuals in the records management field. The application and success of the program will depend on each employee's attitude and concern for the City's records. The various representatives on the Records Management Committee serve as liaisons for their respective Departments/Divisions and should be the first point of contact for that Department’s employees. It is our objective to establish a practical, economical and efficient Records Management Program, which will contribute to the City of Rialto's progress.
4 AUTHORITY AND RESPONSIBILITIES
AUTHORITY
The Records Management Program for the City of Rialto is generally based on the State statutes governing public records: Sections 34090, 34090.5, 34090.7, 53921 and 6252 of the California Government Code. Other Federal, State and local laws apply to certain classes of records and are specified in the City's records retention schedule.
California Government Code § 34090 provides as follows:
"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 a city department may destroy any city record, document, instrument, book, or paper, under the department head’s 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, or resolutions of the legislative body or of a city board or commission.
This section shall not be construed as limiting or qualifying in any manner the authority provided in Section 34090.5 for the destruction of records, documents, instruments, books, and papers in accordance with the procedure therein prescribed." California Government Code § 34090.5 provides as follows:
"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 that is a trusted system and that does not permit additions, deletions, or changes to the original document, or reproduced on film, optical disk, or any other medium in compliance with Section 12168.7 for recording of permanent records or nonpermanent records. (b) The device used to reproduce the record, paper, or document on film, optical disk, or any other medium is one which accurately and legibly reproduces the
5 original thereof in all details and that 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, no page of any record, paper, or document shall be destroyed if any page cannot be reproduced on film with full legibility. Every unreproducible page shall be permanently preserved in a manner that will afford easy reference.
For the purposes 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.”
RESPONSIBILITIES
The responsibilities outlined below are approved and endorsed by the City Manager and the Records Management Committee. All departments in the City shall comply with the Records Management Program.
Each Department and/or Division shall:
A. Appoint one or more representatives to work with the Records Management Committee and the Records C oordinator in implementing the Records Management Program. The representatives should be familiar with the nature of the records and should have some authority to recommend disposition.
B. Convert to the City's uniform functional filing system and keep it current, with the assistance of the Records Coordinator and the Records Management Committee.
C. Assist the Records Management Committee members with periodic reviews and analyses of records created and maintained within the department/division. This will include periodic reviews of the retenti on schedules a pplicable to the department for purposes of recommending revisions due to additions or deletions of record series.
D. Work with the Records Coordinator and the Records Management Committee in establishing a departmental records retention schedule, which th e Department Head will review and indicate approval by signing same.
E. Review destruction recommendations. Each year a list of obsolete records will be forwarded to the Records Coordinator for review and processing in preparation for destruction.
6 F. Arrange annual transfers of inactive department records to the Record Storage Area by submitting a transfer request to the Records Coordinator.
G. Identify departmental records, which meet the established criteria for scanning into the document imaging system.
H. Maintain the copy of the functional filing system included in the back of the policy manual and insert revisions as they are distributed by the Records Coordinator.
The Records Coordinator shall:
A. Advise and assist in the preparation of the departmen tal records retention schedules.
B. Review the retention schedules and make recommendations necessary to ensure coordination and consistency in the creation, maintenance, protection, retention and disposition of all City records.
C. Coordinate transfers of inactive records to the Record Storage Area.
D. Annually submit to each Department Head, for review and approval, a list of records in the Records Storage Area which are ready for destruction. Upon approval, process required documentation in p reparation for destruction of approved records.
E. Annually submit to each Department Head information relative to records stored in the department, which may be ready for transfer to the Record Storage Area or destruction.
F. Assist the Department Head and department representatives in determining which records meet established criteria for scanning into the document imaging system.
G. Coordinate records destruction annually in accordance with applicable Federal, State and local laws.
The City Attorney shall:
A. Examine each list of records recommended for destruction and, if approved, so indicate by signing the Records Destruction and Authorization Certificate. If certain records are not approved for destruction, a written explanation will be provided to the Records Coordinator so that appropriate action may be taken.
7 PUBLIC RECORDS
For specific, legal information relative to the California Public Records Act, please refer to California Government Code § 6251 - § 6258.
WHAT IS A PUBLIC RECORD?
A public record is any writing containing information relating to the conduct of the public’s business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics. Note that this definition encompasses more than written or printed documents.
ACCESS TO PUBLIC RECORDS
It is important that we provide prompt public access to view appropriate documents; the public has a right to inspect public records. The Public Records Act, contained in California Government Code §6250, et seq., was enacted to ensure "...access to information concerning the conduct of the people’s business is a fundamental and necessary right of every person in this state.” If a document is a public record, and if it is not specifically exempt from disclosure pursuant to the Public Records Act, it must be released unless the public interest served by not releasing it clearly outweighs the public interest served by its release.
It is the policy of the City of Rialto to fully cooperate with the intent of the California Public Records Act (“PRA” or “the Act”). In so doing, and to provide quality customer service, we should respond to requests for public records as quickly as possible. The Act, in Government Code § 6253, states that "Each agency, upon a request for a copy of records, shall, within 10 days from receipt of the request, determine whether the request, in whole or in part, seeks copies of disclosable public records in the possession of the agency and shall promptly notify the person making the request of the determination and the reasons therefor..." It also sets forth procedures for an extension of the 10 day time frame.
What you don't have to provide:
You do not have to create a record for a requesting person (e.g. a summary of a document). You are only required to allow the person to view or obtain copies of documents that the City already has. For example, if the person requests specific information contained within a lengthy document, he/she may view the document to locate the requested information and he/she may write down the information requested.
You are not required to locate it for them and then transfer the information to a less lengthy format for the requestor.
8 Following is a list of items that are NOT public records:
• Preliminary drafts and notes (transitory records)
• Financial statements and other private information
• Memoranda not retained by the City in the ordinary course of business • Certain Fire and Police records
• Non-records generated outside the City (e.g. magazines, newsl etters, library reference materials)
• Purely personal information not related to the conduct of the public’s business, such as personal phone numbers, personal email addresses, personal mailing addresses, employees’ grocery lists, etc.
The Act specifically sets forth numerous exemptions to the disclosure requirements, some of which are listed below. However, the burden of proof lies with the City to prove that an exemption applies or that the public interest served by not disclosing the information outweighs the public interest served by disclosing it. IF THERE IS THE SLIGHTEST BIT OF DOUBT, CONSULT THE CITY ATTORNEY.
ONCE A RECORD IS DISCLOSED TO THE PUBLIC, EVEN IF INADVERTENTLY, THE CITY HAS WAIVED THE OPPORTUNITY TO OBJECT TO ITS DISCLOSURE.
THIS MEANS THAT IT MUST BE DISCLOSED IN ALL FUTURE REQUESTS TO WHICH IT IS RESPONSIVE.
Exemptions from disclosure under the Act include, but are not limited to:
● Initiative, referendum and recall petitions (Government Code § 6253.5) ● Preliminary drafts, notes or interagency or intra-agency memoranda ● Records pertaining to pending litigation
● Personnel, medical or similar files
● Test questions, scoring keys and other examination data ● The contents of real estate appraisals or engineering or feasibility estimates and evaluations
● Information required from any taxpayer in connection with the collection of local taxes
● Information contained in applications for licenses to carry firearms ● Attorney-Client communications and attorney work-product
9 ● Election/Voter registration information
● Workers Compensation benefits information
● Recipients of public services
● Taxpayer Information
● Utility customer information
● Library circulation information
● Certain law enforcement records, including certain code en forcement records, except for specific types of information that must be disclosed (e.g., information regarding arrestees)
● Licensee financial information required to be submitted to the agency to show the applicant’s qualification for the license
● When, based on the facts of a particular requested document, the public interest in confidentiality clearly outweighs the public’s interest in disclosure. This exemption is restricted to unique circumstances, such as when personal privacy considerations outweig h the public’s interest in disclosure. For example, public entities have used this exemption to withhold the identities of individuals submitting noise complaints to the entity because disclosure could subject complainants to harassment and public intimidation
For a more comprehensive list of specific exemptions, see California Government Code § 6254.
Again, if there is the slightest bit of doubt as to whether or not an exemption applies, consult the City Attorney.
CITY OF RIALTO POLICY/GUIDELINES FOR PUBLIC RECORDS REQUESTS The City Clerk's Office shall be responsible for accepting public records requests from members of the public and transmitting responsive records to the person making a public records request. Each department shall be responsible for providing the City Clerk with public records under the department's control.
I. PROCEDURES FOR MAKING PUBLIC RECORDS ACT REQUESTS
A. Requests are to be submitted to the City Clerk's Office. Requests for public records should be made on the Request for Public Records Form ("Form") and should be submitted to the City Clerk's Office. Written requests reduce any misunderstandings between the requestor and City Staff, which allows City Staff to respond to records requests in a timely manner and with greater effici ency.
10 However, the City will not deny a request for public records solely because it is not submitted in writing.
B. If the Form is not completed by the person making the request, the Form should be prepared by City Staff and if applicable, City Staff should attach the letter, email, or other writing prepared by the requestor. If a request is received by phone or made in person and the person making the request is unable or unwilling to complete the Form, the Form should be prepared by City Staff. A notatio n should be made on the Form stating the manner by which the request was received.
C. Requests for inspection and/or copies of specifically identified and readily available public r ecords such as limited sections of City regulatory documents, specific sections of the Zoning Code, and specifically identified resolutions, do not require completion of the Form, and such requests should be handled as soon as possible and copies provided expeditiously, ideally on the day they are requested.
D. If City Staff must search and examine files or collect records from a variety of departments, or the request requires research as to the existence of the requested public records and/or their location, a Form should be completed.
E. Requests should identify the public r ecords. The person making the request should, in writing, specify the public records to be inspected/copied with sufficient detail to enable the C ity to identify the particular public r ecords. If the request seems ambiguous or unfocused, City staff should make a reasonable effort to obtain additional clarifying information from the requestor that will help identify the public record(s) responsive to the request itself or the purpose of the request. Such assistance may include explaining to the requester how and where potentially responsive records are maintained.
F. Public records are open to inspection ·at all times during regular City business hours. The Public Records Act provides that every person has a right to inspect any public record, except as otherwise provided in the Act. Upon receipt of a written or oral request for inspection of public r ecords, the City shall make the records promptly available to the requester. Some requests to inspect records may require that the City locate, review and assemble records before fulfilling the request.
G. Any department that re ceives a request for a copy of public r ecords shall time stamp the request and promptly forward the request to the City Clerk's Office.
II. PROCEDURES FOR HANDLING PUBLIC RECORDS ACT REQUESTS A. The City Clerk, upon a request to inspect or obtain a copy of Public Records, shall, within ten (10) days, determine whether the request, in whole or in part, seeks disclosable public r ecords in the possession of the City. The ten (10) day time period shall be calculated from the date the request is received during regular City Hall business hours. The following procedures shall be followed within the ten days after receipt of a request.
11 B. Upon receipt of a written request, the Clerk's Office s hall immediately log and record the request into the Electronic Document Management System maintained by the City Clerk's Office. Requests received electronically will be automatically imported into the Electronic Document Management System. The City Clerk shall then forward the request to the appropriate Department Head or department designee.
C. Upon receipt of the public r ecords request by the Department Head or designee, the department shall promptly begin reviewing the request and department files to determine if th e department has the requested public r ecords in its possession (“responsive records”). The Department Head or designee may note his or her calendar with the last date to respond to the request as required under Government Code § 6253(c). Before the 10th day following the City’s receipt of the request, the department shall contact the City Clerk to explain whether responsive records exist, provide an estimated amount of time needed to prepare the responsive records (i.e. search for, gather, re view and copy the records), and provide an estimate as to the direct duplication charges (i. e., copying or printing costs), if possible. If the request seeks a voluminous amount of public records, the department shall contact the City Clerk's office prior to preparing the records. If the department has determined that it does not maintain any responsive records, the department shall immediately notify the City Clerk.
D. Upon receipt of the information from the department, the City Clerk shall re spond to the person requesting public records by advising the requester in writing as to whether the request, in whole or in part, seeks copies of disclosable public records in the possession of the City, and if so, the estimated date and time when the records will be made available and the estimated duplication charge, if available .
If records are going to be withheld due to an exemption (known at the time of the City’s initial response), each exemption must be stated in writing to the requester (as required by Government Code §§ 6253(d) and 6255(b)), as well as the name and title or position of the individual, usually the City Attorney’s Office, which made the exemption determination. This determination shall be communicated in writing to the requester within the 10 d ay time period. The City is required to make the public records promptly available to any person upon payment of fees covering the direct costs of duplication, or a statutory fee, if applicable.
E. If the City Clerk or Department H ead, or his or her design ee, determined that the responsive records are voluminous and reproduction would be overly burdensome, the City Clerk should make reasonable efforts to assist the requester in narrowing the request. A Public Records Act Request must be reasonably focused and specific.
F. If a request for public r ecords seeks the production of records or documents that are not in existence at the time the request is made, the City is not obligated to create a document in order to respond to the request. However, this should be communicated to the requester in writing.
12 G. Requests that are related to pending or potential litigation shall be coordinated with the City Attorney's Office.
H. Questions regarding the Public Records Act or regarding whether or not any public record m ay be exempt from disclosure shall promptly be forwarded to the City Attorney's Office for review. A determination that a public r ecord is exempt from disclosure under the Public Records Act shall be made in consultation with the City Attorney's office. Once a record is disclosed to the public, even if inadvertently, the City has waived its right to object to its disclosure. This means that it must be disclosed in all future requests to which it is responsive.
I. In unusual circumstances, the 10 day period for determining whether the request, in whole or in part, seeks copies of disclosable public records in the possession of the City, may be extended by written notice from the City Clerk or City Attorney to the person making the request, setting forth the reasons for the extension and the date on which a determination is expected to be made in the manner set forth in Government Code § 6253. No notice shall specify a date that would result in an extension for more than 14 days. The written determination shall include the estimated date and time when the public records shall be made available. The only permissible reasons for this extension are:
• To search for and collect records from field facilities or remote locations, such as off-site archives;
• To search for, gather, and review voluminous documents; • To consult with another agency having a substantial interest in the request; and/or • In the case of electronic records, to compile date or develop programing language to extract responsive documents.
III. TRANSMITTAL OF RECORDS
A. Unless otherwise directed by the City Clerk, the department shall forward the responsive records and the final cost of duplication to the City Clerk within the time period estimated by the department.
B. The City Clerk's Office shall then make the Public Records available to the requester upon payment of fees covering the direct costs of duplication (i.e., copying or printing costs) or a statutory fee, if applicable.
IV. GENERAL
A. Each Department shall designate a person or persons, who will be responsible for responding to Public Records Act requests and coordinating the response with other City Departments, when appropriate.
13 • Electronic Communications (email, etc.) that constitute an identifiable public record, i.e. related to the conduct of the public’s business prepared, owned, and retained by the City, will be filed and retained as a public record based on the classification of the content of that communication in accordance with the City ’s Record Retention Schedule. The City Attorney will be consulted if there is a question regarding whether a specific electronic communication constitutes an identifiable public record.
• Written materials prepared by the City that are distributed to the legislative body during the public meeting will be made available for public inspection at the meeting. Written materials prepared by some other person and distributed to the legislative body at the meeting will be made available to the public immediately after the meeting.
UNIFORM FUNCTIONAL FILING SYSTEM
The success of any records management program begins with the manner in which the records are being created and maintained while they are in the active phase of their life cycle.
The primary purpose of any filing system is to make it as easy as possible to retrieve information from the records it contains. A well-organized system that is carefully maintained and kept current will aid administrative, audit and research functions.
I. GENERAL FILING PROCEDURES/GUIDELINES.
A. Avoid Unnecessary Filing . Filing unnecessary papers is a waste of time, equipment and space. Following are some ways to avoid unnecessary filing:
(1) Limit the number of copies prepared to only those which are required or requested.
(2) Limit the quantity of technical reference documents received and file only those which will be of significant reference value.
B. Folder, Guide and Label Arrangements . The orderly appearance and ultimate efficiency of any filing system depends on the careful preparation, use and arrangement of folders and guides in the file drawer. Folders are necessary to keep the papers together and in order. Guides serve as "sign posts" to help speed up the filing and retrieval operation.
(1) Guide cards reduce the area of search and help the folders stand erect.
Guide cards should be used to indicate all Subject Code Major Classifications and should all be left tab guides.
14 (2) Recommended folders should be square-cut, letter size. They should have center and right cut tabs for use with this system. Center tab folders will indicate an Intermediate Class file and right tab folders will indicate a Minor Class file.
(3) File labels show the identifying file Subject Code Numbers and Intermediate Class or Minor Class filenames. In order to have a flexible system, each department can design the labels to best fit its specific needs. Consider the use of color coded folder labels to facil itate filing and retrieval, prevent misfiles and aid indisposition identification.
C. Fastening. Fastening materials contained within folders is optional; however, it should be limited because fastening devices take up precious space. The determination whether to fasten should be based on the nature, volume and value of the records. Use staples or ACCO clips of fasten materials instead of paper clips or rubber bands.
D. "Charging Out" Material from the Files . When records are removed from the file, a record of such loan must be made. Proper and consistent use of "OUT" cards will eliminate wasted effort searching for documents. An "OUT” card should be filled out and put in the folder or file drawer in place of the withdrawn material.
E. File Maintenance. Neatness and orderliness are essential to filing efficiency. The following will assist you in maintaining the system:
1. Prevent overcrowding of the files.
2. Keep papers straight. Crease or fold papers when they extend beyond the edges of the folders.
3. Avoid overloading file folders. When a file folder gets so full that you can't read the label, either utilize the "expansion" of the folder by creasing the bottom of the folder or add a new folder bearing the same file designation.
Place the new folder in fron t of the full folder and show inclusive dates on the folder labels.
4. When a new type of file needs to be created, contact the Records Coordinator for a new Subject Code assignment and submit (through Department Head) a request for revision to the records retention schedule.
F. Helpful Hints and Short-Cuts. Listed below are suggestions that may make the use of the functional filing system easier for you.
1. Type or write the Subject Code number on correspondence received (or sent) from your department. Thi s will assist in subsequent filing and will reduce misfiles.
15 2. Keep 2 or 3 "out cards" in the front of each drawer to encourage their use.
If someone has to go elsewhere to find an "out card", chances are that one will not be used.
3. Keep a copy of the Functional Filing System near the files for reference by all departmental staff. This will assist them and will also reduce demands on your time to help them locate a specific subject c ode number or the record itself.
RECORDS INVENTORY
The records inventory is the key to the City’s Record Retention Schedule and to the entire program. When an inventory is properly conducted (using the Records Inventory Worksheet - Exhibit A) it shall provide a basis for the evaluation of records and the development of the departmental records retention schedules. The inventory must cover all offices, all storage areas, and all records. The inventory worksheet must be as complete and accurate as possible to be useful. Items to be completed on the worksheet will show:
1. The department division and person expositor the records.
2. The address and/or name of the building where the records are physically housed.
3. The record series and description.
4. The specific location of each record. (Each City facility should have a map prepared to scale showing the location and identification of all record storage equipment.)
5. The type of media of the record.
6. The period of years covered by the records.
7. The frequency of referral to the record.
8. Whether the record is the original, the "record copy" or a duplicate copy.
9. The volume of the records (in cubic feet).
10. Any remarks required for proper evaluation of the record and to help identify the record for personnel who do not regularly work with them.
11. Dated signatu res of the person performing the inventory and the Records Coordinator.
12. The recommended period of retention for all records on one worksheet, with comments, if needed.
16 Once all information about a department's records is gathered, the records are evaluated (appraised) and:
A. Records are divided into three categories:
1. Records to be retained in the office (active).
2. Records to be transferred to the Record Storage Area (inactive).
3. Records to be recommended for destruction.
B. A records retention s chedule is prepared, and updated as needed, to control the future disposition of records.
RECORD APPRAISAL
After a records inventory is completed, the records are appraised to determine their disposition for the conservation of space, equipment and staff time.
Following the recommendations of the Department Head and other key personnel, retention periods for the records will be established based on the record’s value. Guidelines to assist in determining a record's value are:
A. Administrative Use: the value of the record in carrying out the function of the department.
B. Legal Requirements: compliance with Federal, State and/or local government statutes, rules of government agencies, or the protection of the legal rights and interests of the City.
C. Fiscal Requirements: time required for the completion of fiscal activities such as audits, budget preparation and collection.
D. Historical and Research Purposes: records concerning historical events, the history and development of a department, or programs and p olicies used to administer City activities and functions.
E. Vital Use: records t hat cannot be replaced and that are required for continued operation of the City; most often associated with emergency preparedness and disaster recovery.
RECORDS RETENTION SCHEDULES
The records retention schedule is a complete listing of all approved record retention periods. Its purpose is to establish a pattern for the orderly transfer or destruction of records on a continuing basis. It also shows the location of duplicate copies and originals (or "record copies") of all City records, by subject. However, the record retention schedule is of little value if it is not used regularly. The Records
17 Coordinator will monitor and assist each department to see that such is the case.
DEVELOPMENT OF RETENTION SCHEDULES:
A. The Records Management Committee will develop departmental record retention schedules, which will be submitted to the Department Heads, City Attorney and City Council for approval.
B. The departmental record retention schedules will be consolidated into one city- wide record retention schedule, again to be submitted to the City Attorney and City Council for approval.
C. The record inventory worksheets and original departmental record retention schedules will be on file in the Records Coordinator's office.
Additions and revisions to record retention schedules:
Over a period of time, the type of information a department produces or collects may change. Forms or reports may be discontinued, their contents may change or new forms or reports may be generated. As government and its services change, additions and revisions to the records retention schedule will be inevitable.
The records retention schedule must be changed whenever one of the following occurs:
• A new record series is created.
• The retention period of a record series changes.
• The department responsible for an original (department of record) changes. • A record series not designated on a records retention schedule as confidential, historical or vital is changed to be designated as such.
It is the responsibility of the department representative to the Records Management Committee to keep the Records Coordinator apprised of required revisions to the City-Wide Records Retention Schedule and to submit a request form for processing the revisions. The form should be completed indicating whether the requested change is an "Add", "Delete" or "Change". The area set aside for justification of the revision also needs to be completed.
NOTE: If a new record series is being added, a Record Inventory Worksheet must be completed, approved by the Department Head, City Attorney and Records Coordinator and submitted with the request to revise the record retention schedule. The recommended retention period should be based on the needs of the department as well as the statutory requirements applicable to the new record series.
After the revision to the records retention schedule is processed and approved,
18 the Records Coordinator will:
• Inform the appropriate department head(s);
• Update the master retention schedule and distribute the revised page(s) to the department representatives;
• Retain the original request for revision of the Record Retention Schedule as a permanent record of changes.
RECORD STORAGE AREA
The Record Storage Area is located in a City owned warehouse. The use of the Record Storage Area for inactive records will provide the following benefits:
• Orderly destruction of records no longer required by statute to be retained, or needed for reference;
• Timely transfer of inactive records (usually kept in the office for two years) to low cost storage, thus reducing filing equipment and increasing office space; • Access to records which, are essential to City government, but which are referred to infrequently; and
• Elimination of duplicate records filed in several departments.
Transferring Records to the Record Storage Area
Before beginning the transfer process, check the records retention schedule to confirm that the records appear on the schedule and are due for transfer to inactive status. Any records submitted for transfer to the Record Storage Area that are not listed in the records retention schedule will not be approved until the schedule has been amended.
A. If the records retention schedule indicates that the department will keep the record for two years, do not remove them from the active files and request a transfer before two years have lapsed.
B. Contact the Records Coordinator to obtain a Records Transfer List form (Exhibit B). Do not use a separate transfer list f or each box. Record titles listed on the Records Transfer List should match the record title shown on the record retention schedule. (Reminder: No records will be accepted for transfer if they are not included in the records retention schedule.)
C. NEVER place permanent records in the same box as records that will eventually be destroyed.
19 D. All records in one box must have the same retention date. Do not mix records with different destruction dates.
E. The storage boxes will accommodate both legal a nd letter sized records. Pack records upright in the boxes in the same order as they are maintained in the active office files. Pack boxes loosely; no box should weigh more than 25 pounds when filled (about 3/4 full).
F. It is not necessary to remove fastening devices at this time. They will be removed prior to the records being destroyed.
G. Describe contents of box including dates and destruction date on the box label.
Each box will be assigned a number before being transferred to the records warehouse. A list of the box numbers and contents will be forwarded to the department for reference.
H. Notify the Records Coordinator when the transfer list and boxed records are ready.
The Records Coordinator will arrange for the records to be picked up and delivered to the Record Storage Area.
I. If it is necessary to add new material to a box already in the Record Storage Area, all copies of the Records Transfer List must be amended and the Records Coordinator must be notified prior to the delivery of the new material.
Instructions for Completing Records Transfer List
A. Fill in the top of the form with appropriate information, date, phone extension, etc.
B. The transfer list number in the upper right corner will be the next numb er in the series following the number given on your previous list.
C. Record Title and Range or Description: Use the exact record title as shown on the records retention schedule. Alphabetize the items on the list to make it easier to locate the desired record later. After alphabetizing, subdivide by month, number of series or alphabetical order to indicate the contents of each box.
D. Years Covered by Records: Show only years in this column, not months or days.
If it is necessary to box several different types of records together, they must b e boxed by the destruction date. DO NOT MIX RECORDS WITH DIFFERENT DESTRUCTION DATES.
E. Destruction Date: This date is determined by using the records retention schedule.
For example, if a record is to be kept for five years, add six years to the date of the record (1990 = 1996). This schedules the record for destruction during the sixth year, assuring retention for a full five years.
20 F. Retention Schedule Item No .: This number represents the numerical designation (from the functional filing system) of the record as reflected on the records retention schedule.
G. Remarks: If there are any special instructions referring to the records listed, note them here.
H. The Box Number will be filled in by Records staff.
I. Record Received By, Title and Date: This area will be completed by Records staff.
J. A copy of the transfer list, indicating the assigned box number, will be returned to the originating department after review and processing by the Records Coordinator.
Requests for Records Retrieval
Records transferred to the Record Storage Area remain under the control of the originating department. Upon request, the Records Coordinator will assist in the retrieval of an individual record, information contained within a record, or an entire box of records. Persons wishing to retrieve a record from a department other than their own must present written or verbal permission from the originating department. The Records Coordinator cannot release information without proper authorization from the originating department.
Retrieval requests may be made by either completing a Record Retrieval Request (Exhibit C) form or by contacting the Records Coordinator by telephone. The requesting party must provide the Records Coordinator with the box number containing the requested record. The information requested can be provided in any of the following manners:
● Information from a record can be read to the requesting party over the telephone; ● Records can be forwarded to, or picked up by, the requesting party; or ● Records may be examined in the Record Storage Area.
If a record is to be removed from the Record Storage Area for use in the office, a Record Retrieval Request form must be completed. Two copies will be made. The original will be retained by the Records Coordinator and used to generate statistical reports and a tickler file. The first copy will be placed in the box from which the record was taken, and will serve as an "OUT" card. The second copy will be kept by the requesting department. A follow-up on records removed from the Record Storage Area will occur on a monthly basis.
Instructions for Completing Records Retrieval Request Form A. Complete the information at the top of the form:
21 • Requesting Department, Division, Address.
• Requestor's Name and Telephone Number/Extension.
• The date of the request.
B. Indicate the date that the record is needed.
C. List the record title and/or description as it appears on the record transfer list.
D. Enter any identifying data that will make it easier for the record to be identified within the storage container. ( e.g., the account number or name, the parcel number, the case number or name, etc.)
E. Enter the box number (found on the transfer list). If the number is not available, leave blank, but indicate why the box number is not available.
F. Forward the request to the Records Coordinator and keep one copy in the requesting department.
G. Records management staff will complete the other boxes on the form.
MAINTAINING CONFIDENTIAL AND HISTORICAL RECORDS
Certain records, and in some cases, entire record series, will be designated as confidential or historical, depending on the nature of the information contained within them. The determination of either of these designations is made at the same time that the record is appraised and assigned its "value".
Both designations will require that the records receive special attention and handling. The Records Coordinator will assist departments in preserving the integrity of confidential and historical records, as well as provide the required supplies for protecting and storing them.
Confidential Records
The record retention schedule identifies certain records as confidential.
Confidential records are exempt from disclosure under the California Public Records Act (Sections 6251 through 6265 of the California Government Code - listed in the Appendix).
Confidential records must be maintained in a manner to protect their confidentiality. They should be kept in a location that is accessible only to authorized persons.
In addition, confidential records must be destroyed in such a way that that they cannot be reconstructed, by shredding, pulverizing or burning. They cannot simply be discarded or recycled.
22 Historical Records
Historical records contain information about persons, objects or phenomena that are (or have been) a part of events or conditions which significantly affect (or have affected) the City, its functional activities, its heritage, growth or development.
In order to preserve historical records, the following steps should be taken:
A. Remove all paper clips, staples, pins, fasteners, and other metal and rubber bands from the document. Metal will rust and rubber bands will deteriorate, leaving permanent stains. Use plastic clips to fasten documents together, if necessary.
B. When a document requires repair, use only archival glue and/or mending tape.
Ordinary adhesives and tapes will leave a permanent stain.
C. If historical records are to be mounted, use only acid -free mounting boards. Soft wood and ordinary cardboard contain acids, which will cause the record to deteriorate.
D. Clean historical records with a feather duster or by rubbing an opaline pad of fine vinyl granules across the document. Documents may also be cleaned by rubbing them with soft bread crumbs, then dusting the crumbs off with a feather duster. Do not use wet or oily cloths to clean historical records.
E. Store historical records either flat or rolled. Folding the document will cause the paper to weaken and break along the fold.
F. Place fragile documents, newspaper clippings and deteriorating documents in envelopes or sleeves made of mylar or acid-free paper.
G. Store historical records in closed, acid-free containers or in file cabinets housed in a cool, dry atmosphere. Environmental conditions such as ultraviolet light, dust, dampness and temperatures over 75 degrees Fahrenheit cause records to deteriorate.
H. Do not eat, drink or smoke while handling historical records. Burns and food stains are permanent.
VITAL RECORDS PROTECTION
The importance of government records is never as evident as when a disaster occurs. The thousands, and even millions, of pieces of paper that form a part of the day- to-day operation become meaningless as the word "VITAL" takes hold. At this point, government must be able to reconstruct years of effort in the shortest possible time.
While we may prefer not to think about this possibility, common sense dictates a need for record protection awareness. Protection against natural disasters is a logical part of good management planning, as is any other form of insurance.
23 The basic problem in the development of a vital record protection program is the determination of what will be deemed "vital" and how the records will be protected. One of the most important things to remember is that protection is an investment in the form of insurance for each protected record. It is important to know what records exist and their relative significance. If the vital record protection program is undertaken without regard to the overall records management program, only partial success will be achieved.
The vital records protection program has the following objectives:
A. Identifying records with such importance that measures need to be taken to protect them against loss;
B. Determining the level of protection needed;
C. Evaluating the most efficient and cost -effective means for optimum protection of each vital record;
D. Issuing procedures for the P rogram's implementation and maintenance and providing required training; and
E. Testing, monitoring and periodic re -evaluation of the P rogram to determine if changes are necessary.
Protecting too many records is costly, cumbersome and disruptive. Protecting too few or the wrong ones defeats the purpose of the program. Either mistake makes reconstruction difficult. Therefore, an analysis must be made to determine what is absolutely necessary to resume operations, instead of what we would "like to have." Essentially, assets must be protected, the rights and equity of citizens must be protected, and continued operations must be guaranteed. Specifically "VITAL" records would include all records which:
A. Give the authority for the operation of the government and its various departments, including the minutes of the governing body, ordinances and resolutions that have legal force;
B. Document obligations owed to the government; most of these are financial, but some document other obligations;
C. Are essential to operations and would be difficult to recreate ( e.g., blueprints showing the locations of underground water lines);
D. Document obligations of the government to its employees; E. Document civil and property rights of citizens (e.g., deeds, court decisions);
24 F. Document ownership of government property, especially property that has significant financial value.
"VITAL" records are not necessarily permanent and a record may be vital only for a short period of time. Additionally, a record may not have vital status for the full duration of its retention period. As an example, accounts receivable records are truly only vital until the payments have been received.
Records protection is a test of essentiality; there must be selectivity. While "VITAL" records represent a very small percentage (4% - 6%) of the total quantity of records, a careful analysis is involved. A significant and helpful guide in this area is the close relationship between vital records and those having long retention values such as financial statements, ledgers, property deeds, original drawings, ordinances, resolutions and leases. The essential difference is that not only the original summary record itself is involved, but those records required for its preparation must also be considered. Some questions to ask when determining whether a record is vital or not should be:
• Could the work be carried forward without the record? What would be the consequences to the City if the record was lost?
• Would the public suffer serious loss of rights or be seriously inconvenienced if the record was lost?
• If the record had to be reconstructed, what would the cost is in time, money and labor?
• Is the document itself essential, or only the information it contains? • What procedures would be needed to protect the record against loss or to reconstruct the record? Would the cost of these procedures exceed the value of the record?
• How quickly would the information have to be reconstructed or retrieved in case of disaster? Hours? Days?
METHODS OF RECORD PROTECTION/PRESERVATION
Vital records could benefit from the same methods of protection and preservation discussed in the section covering confidential and historical records. There are, however, other means of protecting vital records when the records may not necessarily have a long retention period or when the information contained in the record is more valuable than the physical record itself.
Record Dispersal
One of the easiest and most cost efficient means of protecting vital records is to make a copy of the original and store the copy and the original in separate places.
25 Ideally, the locations would not be subject to the same potential for disaster or destruction. The copy could be in any form - paper, magnetic tape backup, optical disk, etc.
In some instances, it is necessary that the "department of record" maintain the original of a vital record for current administrative functions. However, in other cases, where vital records are accessed frequently and subject to deterioration through normal handling and wear-and-tear, it might be more beneficial to send the originals out to maintain their integrity and use the copies in the office instead.
The frequency and media choice of dispersal should be determined by the nature of the record and the information it contains. For example, it is common that data stored in a computer is backed up on a daily basis. Other situations may not mandate such frequency, or it may be determined that the expense of frequent dispersal would be higher than the value of the information if it were lost. Also, if it should become necessary to retrieve a dispersed copy after a disaster, the availability of electric power will be crucial if the copy is in any form except paper. Microfilm, magnetic tape and optical disk all require machines powered by electricity to be useful.
Another thing to keep in mind when dispersing copies of records is that the assigned retention period applies not only to the original, but to all copies as well.
Therefore, the Records Retention Schedule must list the location(s) of copies to be retrieved and destroyed at the same time that the original is destroyed.
Built-in Dispersal
The practice of regularly sending copies of records to affected departments or outside agencies is called "Built-in Dispersal." While the use of document imaging will eliminate some of this duplication, it will not eliminate all of it. (As a matter of fact, the scanning of a record onto ODIS will become a routine "dispersal" in and of itself.) There will still be times when another department or agency will need a hard copy of a document.
Improvised Dispersal
"Improvised Dispersal" sets in place procedures for sending duplicate copies to other sites solely for vital record protection purposes.
DESTRUCTION OF RECORDS
California Government Code § 34090.7 governs the destruction of duplicate records that are less than two years old. It is the policy of the City of Rialto that duplicate records less than two years old may be destroyed pursuant to said section. “Notwithstanding the provisions of Section 34090, the legislative body of a city may prescribe a procedure whereby duplicates of city records less than two years old may be destroyed if they are no longer required.
26 For purposes of this section, video recording media, including recordings of “routine video monitoring” pursuant to Section 34090.6, shall be considered duplicate records if the city keeps another record, such as written minutes or an audio recording, of the event that 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.”
(Note: The City Council has adopted an Administrative Policy Statement authorizing destruction of duplicate records pursuant to Government Code § 34090.7; a copy of the current Administrative Policy Statement is included in the Appendix.)
With the establishment of approved records retention schedules, the following records destruction procedures are to be followed for ORIGINAL RECORD COPIES:
A. Consult the Records Coordinator regarding the historical value of the records to be destroyed.
B. The department representative to the Records Management Committee initiates a Records Destruction Request (Exhibit D) and forwards it to the Department Head for approval. The request may include records housed in the office or in the Record Storage Area. Approval of each request is complete and separate; it does not give continuing authority to destroy other records in the same record series or class or other records of the same type.
C. The Department Head reviews and approves the request. If a Department Head wants a specific record to be held, the word "HOLD" should be typed or written next to the record entry, along with the period of time they want the record held and a very brief explanation. The Records Coordinator will retain the information in a tickler file and notify the appropriate staff at the expiration of this time period.
D. The department retains a copy of the Records Destruction Request and forwards the form to the Records Coordinator.
E. The Records Coordinator compiles departmental requests an d forwards them to the City Attorney for review and approval.
F. The City Attorney reviews and signs the requests indicating approval. If a record is not approved for destruction, the Records Coordinator will be provided with information and an explanation to be relayed to the requesting department.
G. The Records Coordinator coordinates the requisite destruction process, certifies the destruction and forwards a copy of the completed Records Destruction Authorization and Certification form to the affected department.** H. Confidential or "sensitive" records will be shredded, burned or pulverized. Other
27 records eligible for destruction will be recycled. (Contact the City's Recycling Coordinator for assistance if needed.)
**Duplicate records less than two years old and housed in the department may be destroyed by the Department Representative to the Records Management Committee pursuant to the provisions of California Government Code § 34090.7 and the City’s Administrative Policy Statement.
INSTRUCTIONS FOR COMPLETING RECORDS DESTRUCTION REQUEST A. Complete the top of the form with the department, date and name and telephone extension of the person completing the form.
B. Enter the title or description of the record as it appears on the record retention schedule, along with any other identifying information needed so that personnel not working directly with the record may identify it.
C. Enter the date that the record was created or approved.
D. If the record is stored at the Record Storage Area, indicate the box number and the transfer list page number.
E. Forward the request to the Records Coordinator for processing.
SUSPENSION OF DESTRUCTION ACTIVITIES
One of the crucial elements of a records management program is the inclusion of a policy and procedure to immediately cease destruction of records if there is foreseeable, pending or actual litigation. Failure to suspend destruction activities can result in legal sanctions against the City. If records are unavailable due to improper destruction or failure to maintain records appropriately, the City may:
• Suffer loss of rights in litigation.
• Lose time and money . (Records may have to be recreated, or employees will be required to testify. Testimony is more time consuming, more expensive and sometimes less credible than records).
• Be charged with obstruction of justice (if records a deliberately destroyed in the face of anticipated, pending or existing litigation).
• Be charged with contempt of court (by disobeying an order to produce documents). • Suffer an adverse infere nce in litigation (The court may infer that the destroyed information was unfavorable to the City).
The following procedures regarding suspending destruction activities have been implemented to avoid the negative affects listed above and to assure the most effective
28 and reliable method of issuing a “Stop” order once the possibility of litigation becomes “foreseeable”.
• The City Manager or the City Attorney completes the “Order to Suspend Destruction Activities” form and forwards it to the Records Coordinator. • The Records Coordinator immediately distributes a copy of the order to the City Manager, each Department Head and each member of the Records Management Committee.
• Each of these individuals will be responsible for disseminating the information to employees who have access to the affected records. Once notification is accomplished, each of these individuals completes the bottom of the form certifying the date that notification was given to the affected employees. • The completed suspension order forms are then returned to the Records Coordinator for permanent retention.
Order to Suspend Destruction Activities
The following records may be pertinent to foreseeable, pending or existing litigation. All destruction activities related to the listed categories of records are hereby ordered to immediately cease.
Categories of affected records:
If the litigation process has already begun, the records listed above are available to the public only by means of an appropriately issued court ordered subpoena served upon the City Clerk, as the custodian of records. In all other circumstances, the records are still available as public records, unless otherwise indicated below by the City Attorney.
No release of records without City Attorney approval.
____________________
City Attorney Signature
29 Order Issued by: ,
(Name) (Title)
on this _______ day of ____________________, 20___.
CERTIFICATION OF NOTIFICATION
I, _________________________, hereby certify that on the _____ of ____________, 20___, I personally notified all affected employees of the ________________________ division of the ____________________ Department to immediately cease destruction activities on all above referenced records and documents.
Signature
Scanning Procedures
The Records Management Committee has established the following criteria for records that are to be scanned:
A. The department of record for the respective records has completed a comprehensive records inventory.
B. All department records are included in an approved record retention schedule. (Approved by the Department Head, the Records Coordinator, the City Attorney and the City Council)
C. The records to be scanned fall into one of the following categories:
● Permanent record;
● Vital record;
● The record is researched frequently;
● General City-wide interest and use; or
● Has a retention period of at least 10 years.
The Records Coordinator will meet with each Department Head to assist with determining which records will be scanned.
Each Department Head may determine whether records will be scanned by a member of his/her staff or by a part-time employee of the Records Management staff.
There are advantages and disadvantages to both. While a departmental staff person will be more knowledgeable of the records, scanning is very time consuming and that staff person will be pulled away from his/her regular responsibilities for the period of time it takes to accomplish the task. However, if the records are properly and substantially identified, a part-time employee might be the better way to go.
The importance of accuracy during the scanning process cannot be over-
30 emphasized. The success of the Electronic Document Management system and its ability to provide information when, where and how it is needed relies on accurate and precise input (scanning). To quote an old adage: "Garbage in... garbage out."
The Department Head or the department representative to the Records Management Committee may contact the Records Coordinator to schedule time for scanning. The Records Coordinator will need to know the volume (in cubic feet), the nature of the records and whether the scanning will be done by a department employee or by the Records Management staff (part-time). Any records to be scanned should be clearly identified and packaged in boxes for delivery to the scanning station. Do not deliver documents to the scanning station until the date scheduled by the Records Coordinator.
Index/OCR (Optical Character Recognition)
After a document (or group of documents) is scanned, it should be either indexed (only) or indexed and OCR'd. The OCR process enables the full-text search capabilities of the imaging system. Indexing only does not permit full-text searches, but does commit the document to the master index based on information entered on the template assigned to the document.
The OCR process converts the typewritten letters and words on a page into simple text. Grammar, punctuation and graphics no longer come into play when a document is in its text format. Therefore, certain types of records do not qualify for OCR, such as:
● Handwritten documents;
● Graphics;
● Photographs;
● Maps; or
● Any page that does not contain text.
The Electronic Document Management System (EDMS) is password protected to prevent unauthorized external access. Internal controls set security protocols down to the document level to prevent unauthorized additions, modifications, or deletions. All actions by users are tracked in the system.
All scan operators will perform the following quality control procedures:
• Ensure data indexing accuracy.
• Facilitate the re-scanning of poor quality images.
• Verify readability of each page of each document.
• Verify proper page counts for each document.
31 • Verify proper security for document, file section, and file.
By indicating “QC’d” in the appropriate index field of the EDMS, the scan operator does attest that the aforementioned procedures have been performed. After the quality control process, documents may be moved to their assigned folder repository.
The EDMS will be maintained as a “trusted system” as mandated by the California Secretary of State and defined in Government Code § 12168.7.
32 APPENDIX
GLOSSARY
ACTIVE RECORD. Any record needed to carry out an organization's day-to-day business, or one that is frequently used.
ADMINISTRATIVE VALUE. Determines the usefulness of a record to the agency in conducting its business - an appraisal.
APPRAISAL. The process of evaluating records based upon their current administrative, regulatory, historical, legal or fiscal use; their archival and informational value; their arrangement; and their relationship to other records.
ARCHIVAL VALUE. Determines that records are worthy of permanent or indefinite protection/preservation - an appraisal.
CENTRAL RECORDS. The files of several departments or units which are physically and/or functionally centralized and managed.
CLASSIFY. Determination of the subject content of a record and selecting the category under which it will be filed.
CONFIDENTIAL RECORD. Any record or information, which requires protection against, unauthorized access.
DECENTRALIZED RECORDS. Records, which are not centrally located or managed, usually located at their point of origin.
DISPOSITION. The final action of a record, normally occurring at the end of its retention period.
DOCUMENT. (Frequently used interchangeably with the word record.) Recorded information regardless of its characteristics or media; a single record item, such as a letter or form.
EVIDENTIAL VALUE. An appraisal value for records of an organization, which are necessary to provide legal, authentic, and adequate documentation of the organization's structure and operations.
FILE. (1) The process of arranging papers, documents, books, etc. into logical, predetermined sequences; (2) A collection a related record treated as one unit.
FILE MAINTENANCE. Managing a file by adding, changing or deleting information.
FUNCTIONAL FILING SYSTEM. A logical and systematic arrangement of files and records into groups based on functions/subject matters which have a natural
33 relationship using numbers, letters or key words.
HISTORICAL VALUE. Determines that a record should be retained based on its documentation of the agency's history - an appraisal.
IMAGE. A representation of a record, on any media, such as microfilm or optical disk.
INACTIVE RECORD. A record that must be kept for a specific reason, but which is no longer needed on a regular, frequent basis.
INFORMATION. Data that has been given value through analysis, interpretation or compilation in a meaningful form.
LIFE CYCLE (OF A RECORD). The span of time of a record from its creation (or receipt) through its useful life to its final disposition or retention as a historical record.
LOCAL GOVERNMENT RECORD. A record created or received by any unit or subdivision of a local government in the performance of official functions and duties regardless of the record's physical format, its method of creation or receipt, or whether it is open or closed to public access.
MICROFILM. A fine-grain, high-resolution film medium used for long-term storage of compressed reproductions of original documents.
NONESSENTIAL RECORD. Any record which, after its initial use, has no foreseeable value to the agency.
NON-RECORD. Material used and stored which do not constitute official records.
For example: reference materials, documents in a convenience file.
OFFICE OF RECORD. The office designated to maintain an official record.
There may only be one office of record for any one document.
OFFICIAL RECORD. A document containing legally recognized facts.
OPTICAL CHARACTER RECOGNITION (OCR). Machine-reading of printed or written characters through the use of light-sensitive materials or devices.
OPTICAL DISK. A high-density information storage medium where digitally encoded information is both written and read by means of a laser.
ORIGINAL RECORD. A primary or first-generation record from which copies may subsequently be made.
PERMANENT RECORD. Any record required by law, or administrative directive, to be retained indefinitely due to reference, historical or administrative significance to the agency.
34 PUBLIC RECORD. Any writing containing information relating to the conduct of the public’s business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics.
RECORD. Recorded information, regardless of medium or characteristics, made or received by an organization that is useful in the operation of the organization.
RECORDS SERIES. A group of similar or related records that are usually filed as a unit and can be evaluated as a unit for determining the retention period.
RECORDS CENTER. A centralized area for housing and servicing inactive or semi-active records.
RECORDS INVENTORY. A detailed listing of the agency's records, noting the quantity, type, function and organization of the records.
RECORDS MANAGEMENT. The systematic control of all records from their creation (or receipt) through their processing, distribution, organization, storage and retrieval, to their ultimate disposition.
RECORDS MANAGER. The individual appointed by the agency to administer the records management program and systematically manage the recorded information generated and received by the agency.
RECORDS PRESERVATION. The controlled maintenance of records and documents by use of specific physical and atmospheric conditions.
RECORDS RETENTION SCHEDULE. An approved, comprehensive listing of records categories which indicates the length of time each category is to be retained.
RETENTION PERIOD. The length of time records must be kept to comply with legal or administrative requirements.
SEMIACTIVE RECORD. A record that is still needed for occasional reference purposes.
STATUTE OF LIMITATIONS. The period of time during which legal action may be taken, important to consider while developing retention schedules.
TRANSITORY RECORD. Records considered routine, such as correspondence, and that have only short-term value and a retention period limited to the time required for completion of the action covered by the communication.
VITAL RECORD. A record containing information essential for emergency operations during a disaster, the resumption and/or continuation of operations, the re- establishment of the legal, financial and/or functional status of the agency, or the determination of the rights and obligations of individuals and corporate bodies with respect to the agency. (See chapter covering Vital Records.)
35 CITY OF RIALTO ADMINISTRATIVE POLICY STATEMENT
CATEGORY: RECORDS MANAGEMENT POLICY NO. 20.09
DATE ISSUED: 1/3/96
SUBJECT: DESTRUCTION OF DUPLICATE RECORDS SUPERSEDES: N/A
PURPOSE
To authorize the continuing and on-going destruction of duplicate records that are less than 2 years old and have no further administrative value, and to establish guidelines and procedures to accomplish such destructions conveniently at the Department level.
BACKGROUND
California Government Code Section 34090.7 provides for the destruction of duplicate records that are under 2 years old and are no longer needed for the day to day operations of the City. The head of a City department may destroy such duplicate records in accordance with Government Code Section 34090.7 after the legislative body of the City approves a written policy or procedure authorizing such destruction.
The text of Government Code § 34090.7 reads as follows:
“Notwithstanding the provisions of Section 34090, the legislative body of a city may prescribe a procedure whereby duplicates of city records less than two years old may be destroyed if they are no longer required.
For purposes of this section, video recording media, including recordings of ‘routine video monitoring’ pursuant to Section 34090.6, shall be considered duplicate records if the city keeps another record, such as written minutes or an audio recording, of the event that 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.”
STATEMENT
A. In an effort to reduce the volume of stored records and material s, it is in the best interest of the City to prescribe procedures for the destruction of duplicate records pursuant to Government Code Section 34090.7.
B. Duplicate records are defined as those records which are unofficial copies of official records and wh ich are distributed, housed, maintained and/or used by a department or office other than the Office of Record. The Office of Record s will maintain the only official copy of a record, but may also maintain duplicate records; this policy pertains to all such duplicate records.
36 C. It is the policy of the City of Rialto that duplicate records less than two years old may be destroyed in accordance with the following guidelines and procedures:
1. No record shall be destroyed without the approval of the head of the department, who may delegate the responsibility to a designee.
2. It is not necessary to prepare a Records Destruction Request.
3. It is not necessary to notify the Records Manager that records are to be destroyed.
4. Confidential or “sensitive” record s will be shredded. Other records will be recycled pursuant to the City’s current recycling methods and policies.
37 CITY OF RIALTO ADMINISTRATIVE POLICY STATEMENT
CATEGORY: ADMINISTRATIVE SERVICES POLICY NO. 30.19
DATE ISSUED: 12/17/96
SUBJECT: DISASTER RECORDS SUPERSEDES: N/A
PURPOSE
To ensure consistent handling and management of records related to State or Federally declared disasters, resulting in optimum reimbursement potential.
BACKGROUND
Both the State of California and the Federal Government have strict guidelines pertaining to record keeping practices when a municipal government requests reimbursement for costs incurred during a declared disaster such as flooding, earthquakes, fire, etc. Basically, the City must be able to substantiate, in precise detail, the items and amounts submitted for reimbursement.
The department representatives responsible for processing and maintaining such records have determined that the following process will best meet the City’s needs as well as those of the State and Federal governments.
STATEMENT
A. In an effort to receive full reimbursement for expenses incurred during a State or Federally declared disaster, it is in the City’s best interest to establish procedures for handling and managing records related to such disasters. The Records Manager will work with the Emergency Services Coordinator to ensure compliance with the policy and procedures established herein, and with the appropriate destruction of the records.
B. The records retention schedule, as approved by the City Council, will set forth the retention period(s) for records related to State or Federally declared disasters.
C. It is the policy of the City of Rialto that records related to State or Federally declared disasters will be handled pursuant to the following guidelines and procedures:
1. Once a disaster occurs, a project number will be assigned to the incident.
The project number will begin with a “5" which allows it to be readily distinguished from other types of project numbe rs. The Emergency Services Coordinator will advise the Accounting Manager of all declared
38 disasters (for single audit purposes) and every department will be advised of the project number. Each department will be responsible for making the appropriate notation of the project number on all expenses incurred, which are related to the incident. This includes the time sheets of personnel responding to work the disaster and any checks (or petty cash vouchers) issued for disaster-related services, supplies and equipment.
2. At the end of each month (until the project is finalized), the accounting division will prepare a report based on the project number and circulate the report to all affected departments and divisions. Each division will review the report for acc uracy and completeness, initial it, and then forward it to the next division. The following divisions will pull the original records as designated below, make photocopies to file in place of the originals, and forward the originals to the Emergency Services Coordinator:
Payroll Time sheets of affected employees
Accounts Payable Invoices, purchase orders and paid claims for project- related expenses (This includes all revolving petty
cash disbursements to employees for out of pocket
project-related expenses.)
Treasurer’s Office Cancelled checks for project-related expenses
3. The Emergency Services Coordinator will consolidate all original records pertaining to disaster reimbursement submissions in record storage boxes appropriately identified on the outside with the project number, the date and type of incident. If more than one box is required for a particular incident, each box will be numbered with “Box ___ of ___”, clearly noting how many boxes contain records from that incident.
4. After the fiscal year-end audit of the records, and after the Emergency Services Coordinator is confident that the records for an incident are complete, the boxes will be moved to the Fire Department’s record storage area pending further disposition (audit by the State or Federa l auditors and/or destruction). The transfer of the records shall be in accordance with the provisions outlined in the Records Management Policy Manual.
RECORD TITLE OR DESCRIPTION
YEARS COVERED
DESTROY/ DATE
REMARKS
BOX NUMBER
LOCATION
Records Inventory Worksheet
CITY OF RIALTO
DEPT. REQUESTING TRANSFER NAME OF PERSON REQUESTING TRANSFERTRANSFER LIST NUMBER
CURRENT LOCATION OF RECORDS TELEPHONE NUMBER/EXTEXTENSION DATE REQUEST SUBMITTED RETENTION SCHED.VERIFIED BY/DATE TRANSFER APPROVED BY RECORDS MGRDATE TRANSFER APPROVED RECORD TITLE DESTROY RETEN.SCHED. REMARKS BOX AISLE/
RANGE, DESCRIPTION DATE ITEM NUMBER SECURITY/RESTRICT ? NUMBER ROW
CITY OF RIALTO
RECORDS TRANSFER REQUEST
CITY OF RIALTO
RECORD RETRIEVAL REQUEST
Requesting Department
Division Address
Requested by (Name)
Telephone Number/Ext.
Date Record Needed
Record Description and Record Series Record I.D. Number or Name Box Number Location in Record Storage Area (to be completed by Records Staff)
City of Rialto
RECORDS DESTRUCTION AUTHORIZATION AND CERTIFICATE
Department, unit, name, address
Department Manager
Date
The records listed below are now eligible for destruction according Resolution No. 4124, the approved records retention schedule. Please indicate your approval for the destruction unless there are reasons to delay. Your signature below attests that there are no unresolved (1) audit questions, (2) investigations, (3) civil suits or criminal prosecutions, or (4) other reasons for holding up the destruction. If the destruction is to be delayed, please give the reason in the space indicated and provide a revised destruction date.
Scheduled Date Series title, Inclusive dates, and Total volume Scheduled Destruction Date
Revised Destruction Date
Reason for continued retention:
Security destruction
( ) yes ( ) no
Department Manager (signature)
Date:
City Attorney (signature)
Date:
Certificate of Destruction
If security destruction, witnessed by: (signature)
Date:
Records Manager (signature)
Date: