HomeMy WebLinkAbout2000-10-17; City Council; 15939; Approval Citywide Records Management Program and Retention Schedule8 5 E % . . p 2 d Y z
AB# /<,yq TITLE:
APPROVAL OF CITYWIDE RECORDS MANAGEMENT MTG.lO/i7/2000 PROGRAM AND RECORDS RETENTION SCHEDULE
DEPT. Records 1
- e
CITY OF CARLSBAD -AGENDA BILL
CITY MGR .
RECOMMENDED ACTION:
Adopt Resolution No. afKJ”J --.%& , approving a Citywide Records Management Program
and Retention Schedule and authorizing implementation.
ITEM EXPLANATION:
Project Background:
A Records Management Committee, with representatives from thirteen city departments,
was formed in April, 1997, to review their similar needs for records organization, storage,
retrieval, and automation. On August 4, 1998, the City Council approved an agreement with
the Mattox Group/@doc to assist the Committee with this project. The consultant
completed the document management system requirements study, which was accepted by
the City Council on May 4, 1999. At this time, Council also authorized staff to proceed with
the Document Management System project.
In addition, The Mattox Group/@doc, conducted a records management analysis that
included an inventory of files located in all city departments. As a result of their meetings
and department inventories, the following observations and recommendations were made:
l That the City is in the information business, but does not have a strategy to
effectively manage this responsibility.
l That the City’s paper files are not being managed effectively in many departments.
l That the City needs to adopt and implement a comprehensive citywide Records
Management Program and Retention Plan.
l That the City also needs to establish and implement firm policies to control the
proliferation of duplicate files throughout the City.
l That City management must support the Records Management Program by adhering
to the approved Retention Schedule and purging existing files.
l That State Law requires the City Council to approve document destruction (absent
the establishment of a citywide Records Management Program), which encourages
departments to keep all documents.
l That a Records Management Program and Retention Plan should be created,
approved by the City Council, and implemented to eliminate the need for Council’s
piecemeal approval of all records destruction requests, and to provide for
administrative purging and destruction of records. (Per Government Code Section
34090, the City Attorney would still need to give written consent before any record
could be destroyed.)
Therefore, it accordance with these recommendations and city needs, a citywide Records
Management Program, Procedures and Retention Schedule have been prepared.
The new program, in addition to providing a uniform filing system and retention schedule,
PAGE 2 OF AGENDA BILL NO. /s; q3?
provides procedures to be used citywide to manage records, and provides for systematic
compliance audits and records destruction.
The scope of the Program includes the creation, receipt, maintenance and disposition of
City records; maintenance of the approved retention schedule; utilization of appropriate
technology to facilitate records and information storage and retrieval; and the establishment
of procedures to carry out these functions. The objectives of the Program are to:
l Identify City records to facilitate access to information required to conduct City
business and to provide appropriate access to the public.
l Maintain City records for the duration of the approved retention period.
l Provide access to City records for operating, legal or public requirements.
l Ensure compliance with governmental regulations.
l Provide for disposition of City records in accordance with the approved retention
schedule.
One of the major changes in the way the city conducts business is the proposed procedure,
which allows for the administrative approval for purging and destruction of certain records.
This procedure was recommended by the consultant, and seeks to streamline how we
manage our records.
Members of the Records Management Committee have reviewed and provided feedback
regarding the proposed Records Management Program and Procedures since January,
2000. The Committee met in June, 2000 to review and approve final revisions to the
documents.
In addition, the Records Management Program and Retention Schedule has been reviewed
by the City Attorney’s Office.
Implementation Recommendations:
Due to the magnitude of the project, staff recommends a phased implementation of the
program according to the following schedule: (Note: Program implementation may be
accelerated if conditions allow for quicker roll out.)
Phase 1:
Phase 1 implementation is proposed to begin on January 1, 2001. Phase 1 will be
comprised of organization of day-forward records in the City ClerkWRecords Department,
City Attorney’s Office, City Manager’s Office, and City Council Office under the new system.
Once the Program and Schedule are approved, training programs and materials will be
designed. Training for departments designated in Phase 1 will be held in November, with
follow-up sessions to be conducted in December, 2000. Compliance audits will be
conducted initially in April, 2001 and June, 2001, and will be conducted annually thereafter.
Phase 2:
Phase 2 implementation is proposed for July 1, 2001. Training for departments designated
for inclusion in Phase 2 (Engineering and Planning), will be conducted in April, 2001, with
follow-up sessions to be held in June, 2001. Compliance audits will be held initially in
October, 2001 and February, 2002, and will be conducted annually thereafter.
PAGE 3 OF AGENDLILL NO. 6: 9 37
Phase 3:
Phase 3 implementation is proposed for January 1, 2002, for the following designated
departments: Building, Community Development, Housing & Redevelopment, and the
Water District. Training is proposed for October and November, 2001. The initial
Compliance Audit will be conducted in June, 2002, and annually thereafter.
Future Phases:
This program will be ongoing, and will continue to be planned in phases, until the Records
Management Program has been implemented in all city departments.
FISCAL IMPACT:
There are no costs associated with the approval of the Records Management Program and
Retention Schedule. Costs for implementation of Phase 1 of the Records Management
Program are estimated to be $20,000 for fiscal year 2000-01. Funds are available in the
Records Management operating budget to cover the Phase 1 costs.
Funds for implementation of future phases will be submitted as part of annual budget
requests.
1. Resolution No.~~@I --a b approving a citywide Records Management Program and
Records Retention Schedule.
2. Records Manager-n&Program (Exhibit "A" to Resolution No. 2000-326)
3. Records Retention Schedule.
4. Records Management Manual (For Information Only)
1
2
3
4
5
6
7
a
9
10
11
12
13
14
15
16
17
la
19
20
21
22
23
24
25
26
27
28
-
RESOLUTION NO. 2000-326
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD ESTABLISHING
A RECORDS MANAGEMENT PROGRAM FOR THE CITY OF CARLSBAD
The City C&ncil of the City of Carlsbad does hereby resolve as follows:
WHEREAS, Sections 34090 and 34090.7 of the Government Code of the State of
California provide legal requirements relating to the retention and the disposition of municipal
records; and
WHEREAS, other codes, both state and federal, also provide legal requirements for
specific municipal records; and
WHEREAS, the establishment of the Records Management Program which includes a
Records Retention Schedule, a uniform filing system, and Guidelines and Procedures, will
provide a better method of organizing, maintaining, and disposing of City records, in
accordance with the operational needs and legal requirements for the retention and disposition
of records;
NOW, THEREFORE, the City Council of the City of Carlsbad resolves as follows:
1. That the Records Management Program set forth in the attached Exhibit “A”, is
hereby adopted;
2. That the Records Management Department is hereby designated as the Custodian of
this program and, as such, shall be responsible for the safekeeping and implementation of the
program;
3. That the City Manager, City Attorney, and Records Manager are directed to review
this program periodically and present any revisions to the City Council for procedure and
schedule modification necessary to maintain the information current and ensure efficient
operation of the program.
PASSED and ADOPTED at a regular meeting of the Carlsbad City Council, held on the
17th dayof October , 2000, by the following vote, to wit:
AYES: Council Members Lewis, Hall,
NOES: None
ABSTAIN: None
- Exhibit 2
City of Carlsbad
Records Management
Exhibit "A" to
Resolution No. 2000-326 -l-
Revised 10/04/00 RMP
City of Carlsbad
Records Management
CITY OF CARLSBAD
RECORDS MANAGEMENT PROGRAM
TABLE OF CONTENTS
Section 1. Statement of policy
Section 2. City of Carlsbad Records Management
Section 3. Records definitions
Section 4. Records Management Department
Section 5. Ownership and custody of City records
Section 6. Duties and responsibilities of City Officials
Section 7. Records involved in public records requests, pending litigation, or auditing
Section 8. Records Management Program to be developed and approved.
Section 9. Records Retention Schedule.
Section 10. Destruction of records
Section 11. Conditions of destruction.
Section 12. Inspection of public records.
Section 13. Withholding records from inspection.
Section 14. Records Protection and Disaster Recovery Planning Program.
-2-
Revised 1 O/04/00 RMP
6
City of Carlsbad
SECTION 1. STATEMENT OF POLICY
Records Management
A.
B.
C.
The City of Carlsbad recognizes that the Citizens have a right to expect and the City has an
obligation to foster, efficient and cost-effective government and further recognizes the central
importance of the City records. The Records Management Department has a responsibility to
manage, protect, preserve and make available the city records.
It is the policy of the Records Management to provide for efficient, economical, and effective
controls over the creation, distribution, organization, maintenance, use, retention and
disposition of all records. This policy is implemented through a comprehensive program of
integrated procedures for the management of records from their creation to their ultimate
disposition, consistent with the requirements in accordance with the state and federal
regulations.
The declared purpose of the Records Management Program is to provide for the proper and
efficient administration of the City of Carlsbad records.
SECTION 2. CITY OF CARLSBAD RECORDS MANAGEMENT PROGRAM
All City records must be created, maintained, and disposed accordingly and all requirements,
policies and procedures established pursuant to the Records Management Program.
SECTION 3. RECORDS DEFINITIONS
Active: Records that are required for day-to-day business and are subject to frequent use;
generally referred to more than once per month per tile drawer.
Administrative Value: A record that assists in the operation of government, and insures
administrative consistency and continuity, serving a particular purpose for that
office at that particular time. In appraisal, the usefulness of records for the conduct
of current and/or future administrative business needs.
Adoption: Final action by a legislative body.
Al IM: Association for Information and Image Management.
Alphanumeric: A filing system combining alphabetic and numeric symbols.
ANSI: American National Standards Institute.
-3-
Revised 1 O/04/00 RMP
7
h
City of Carlsbad
Records Management
Appraisal: Review of information gathered from a records inventory. Each identifiable
records 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.
Archives: A repository for housing permanent or historic records, whether in hard copy,
electronic, microfilm or imaging form, which must be preserved and protected from
destruction.
ARMA: Association of Records Managers and Administrators, Inc.
Audit: Review for acceptance of records relating to operations, policies and procedures,
financial documentation and historical documents by regulating agencies.
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.
Closed/Completed: A file or record on which action has been completed and to which an
audit or further action is not likely to occur.
Coding: Marking the indexing units on the document to be filed.
Commercial Records Center: A records center, operated by a private company, housing
the records of many different companies on a fee basis.
Confidential Records: Those records to which access by unauthorized City personnel
and/or the public are not permitted, for example: personnel records.
Copy: A reproduction of the contents of an original document, which is not the official file
copy of the agency. Copies are usually identified by their function, i.e., action copy,
reading file copy, tickler file copy, etc. In most instances, copies will have a shorter
retention than the official tile copy of a record series.
Current: Records when specified as the minimum retention period means that superseded,
rescinded, expired, or not longer useful records may be removed from the files and
also may be destroyed.
Disposition: The allocation of public records to a particular location according to their
categorization of destruction.
Electronic Filing: Storage and retrieval of information in digital form.
Environmental Records: Records relating to the growth and/or development of the City, its
structures, and its inhabitants.
-4-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
File Integrity: Accuracy and completeness of the file/records.
Financial Records: Budget, financial status reports, balances sheets, and statements of
income and expenditures; records of official bonds; records of wages paid to person
engaged in public work; rate or fee schedules, etc.
Fiscal Value: Documents and accounts for receipt of or expenditure of public funds such as
budget, ledgers or accounts receivable and payable, payrolls, and vouchers.
Documents availability of funds for operational purposes. In appraisal, records
required until a financial audit is completed or financial obligations are fulfilled.
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.
Holdings: Total volume of records stored in a records center.
Inactive Records: Records that are no longer used for daily operations and have not been
used for at least six months are considered inactive. Records become inactive prior
to eligible destruction dates.
Inventory: process of examining records on hand to determine their function, content, and
dates in order to assign retention/disposition information.
Legal Citation: Identifies laws and regulations, which regulate retention of the record series.
Legal Retention: Based on the legal citation, this identifies the period of time the record
series is required to be retained.
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.
Life: A record that has continuing value to the organization.
Linear Inches: Linear measurement in inches of paper based records.
Master: Original or copy of a document from which copies are made.
Microfilm and Machine Readable Records: Microforms and other machine readable
record of research or archival value.
Microfiche: 4” x 6” sheet of microfilm with rows and columns of images. It usually
contains a tile which can be read without magnification.
-5-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
Microfilm: Fine-grain, high resolution film containing an image greatly reduced in size from
the original.
Minimum Retention Period: The least amount of time a record must be kept determined by
assessment of administrative, legal, fiscal and historical values.
National Bureau of Standards: Bureau of the United States Government established by an
Act of Congress on March 3, 1901, which conducts research and provides standards
to industry and government to: increase productivity and innovation; strengthen and
advance science and technology; and facilitate their effective application for public
benefit.
Non-Record Material: Material that does not need to be tiled or that can be destroyed after
a short retention. This includes duplicates, drafts, worksheets, routine replies, and
records not related to City business or produced by the City.
Numeric Filing: Arrangement of records in ascending order or sequence.
Office of Record: The department that created or is responsible for retaining the official
record or record copy.
Optical Disk: A storage medium that uses lasers to encode images or information in digital
form and to read the image data from the disk.
Original: Document from which copies are produced.
Permanent: Recorded information which is required by law to be retained indefinitely; or
which has been designated for continuous preservation because of its
administrative, fiscal or historical significance.
Personnel Records: Organization charts, job descriptions, salary schedules, employee
history records, union contracts, etc.
Property Records: Records Affecting the title to real property owned by the City and
equipment inventory.
Public Record: Any writing, regardless of physical form or characteristics, which is created,
owned, used, maintained or retained in the conduct of City business and preserved
as evidence of the organization, functions, policies, decisions, procedures,
operations or other activities, or because of its informational value, unless the
writing is exempt from disclosure under the California Public Records Act.
Reader: Machine that magnifies the microfilm for viewing.
Reader/Printer: Machine that magnifies the microfilm for viewing and can reproduce the
enlarged microfilm images.
-6- Revised 1 O/04/00 RMP
City of Carlsbad
*
Records Management
Record: Recorded information of any kind and in any form.
Record Copy: The original or official copy of a record maintained by an agency, sometimes
referred to as the designated original, or blue-ribbon copy.
Records Center: Central repository for housing inactive records until they have met their
retention requirements and may be destroyed.
Records Management: Systematic control of the creation, acquisition, processing, use,
protection, storage, and final disposition of all public records, including the
establishment and maintenance of a system of filing and indexing public records.
Records Manager: Individual within the organization who is assigned the responsibility of
systematically and scientifically controlling the recorded information generated and
received by the City.
Records Retrieval: Locating documents and delivering them for use.
Records Series: Group of identical or related records that are used filed and disposed of in
the same way.
Refile: The process of returning a record to its original place in a file after it has been
withdrawn.
Retention Period: The period of time that records must be kept according to legal and/or
organizational requirements.
Retention Schedule: Document, approved by the City Council, describing the records
maintained by the City and specifying, in accordance with statutory requirement or
evaluation, the period of time which must elapse before they may be destroyed.
Retrieval: Locating documents and delivering them for use.
Supersede: The replacement of an existing document.
Termination: Designates the end of a specific term (e.g., appointed elected official’s terms,
employment, training, course, program, use or ownership).
Transfer List: A list describing the contents of a group of records that are transmitted from
one holding area to another , usually from active files to a records center.
Visual Documents: Photographs, motion pictures, videotapes, diagrams, charts, maps or
drawings of archival, cultural, architectural, engineering, research or technical
value.
Vital Record: Records containing information essential for the resumption of operation after
a disaster or the reestablishment of the legal and financial status of the organization.
-7-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
Writing: Handwriting, typewriting, printing, photocopy, photographing, and every other
means of recording upon any form of communication or representation, including
letters, words, pictures, sounds, or symbols, or combination thereof, and all papers,
maps, magnetic or paper tapes, photographic films and prints, magnetic or punch
cards, discs, drums, and other documents.
SECTION 4. RECORDS MANAGEMENT DEPARTMENT
The Records Management Department manages the official files for the City of Carlsbad and is
responsible for maintaining and updating the Records Retention Schedule; Records Management
Guidelines and Procedures; and Records Destruction Request for the City of Carlsbad.
The Records Management Department provides a service function to the community as well as a
service oriented support function to other departments within the City of Carlsbad structure. The
Goal of the department is to anticipate and meet the changing needs of both the citizens and
internal departments of the City.
.
SECTION 5. OWNERSHIP AND CUSTODY OF CITY RECORDS
A. Every city record is the property of the City of Carlsbad. No City officer or employee has, by
virtue of the position of the position any personal or property right to a City record even
though the City officer or employee may have developed or compiled the record. The
unauthorized alteration, destruction, deletion, removal from files, or use of a city record is
prohibited. A City record exempted from public disclosure under the state and federal laws is
not made subject to disclosure by its designation as City property.
B. A City record may not be sold, loaned, given away, destroyed, or otherwise alienated from
the City’s custody unless in accordance with state and federal laws or unless destroyed as
directed by a resolution or ordinance adopted by the City Council. This subsection does not
apply to a City record that is temporarily transferred to a contractor for purposes of
microfilming, duplication, conversion to electronic media, restoration, or a similar records
management preservation procedure if the transfer is authorize by the Records Manager.
C. The legal custody of a City record created or received by a department during the course of
business remains with the department manager or with any designated successor. The legal
custodian, as guardian of the record does not relinquish responsibility for the care,
preservation, or legal disposition of the record even though another department or agency
may hold physical custody of the record for maintenance and preservation purposes. The
physical custodian of the record is responsible for complying with all the Records
Management Program requirements, policies, and procedures. An original City record may
not leave the custody of the department concerned when being used by a member of the
public.
-8-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
D. The legal and physical custody of a City record that has continuing historical value to the City
may be transferred to the Records Management Department upon agreement between the
department manager and the Records Manager.
E. The Records Management Department shall review and determine as necessary custodial
responsibilities of the Records Management Program, whether is under a citywide electronic
application or manual archiving implemented for the preservation and control of City records.
SECTION 6. DUTIES AND RESPONSIBILITIES
A. City Council:
The ultimate responsibility for the keeping and management of all public records of the’City
shall rest with the City Council.
B. City Attorney:
It shall be the duty of the City Attorney to review and approve record retention and
destruction schedules and records destruction requests in accordance with federal, state and
local laws.
C. Officers and Employees:
It shall be the duty of each officer and employee of the City of Carlsbad to protect, preserve,
store, transfer, destroy or otherwise dispose of, use and manage public records only in
accordance with applicable federal, state and local laws, and such rules as may be
promulgated or approved by the City Council.
D. Records Manager:
It shall be the duty of the Records Manager to coordinate the Records Management Program
for the City of Carlsbad. Among other things, the Records Manager may, for the proper and
efficient management of the public records:
1)
2)
3)
Develop and circulate such instructions and regulations, as may be necessary and
proper to implement and maintain the Records Management Program;
Advise and assist City departments in the preparation of records inventories and
retention schedules;
Coordinate the off-site storage of records no longer required in active office areas but
which require further retention for legal or operating reasons; and maintain an index
to all records stored in the Center;
-9-
Revised 1 O/04/00 Rh4P
0 -
City of Carlsbad
Records Management
4) Maintain an archives to house records of a permanent or historic nature which should
not be destroyed;
5) Advise and assist City departments in reviewing and selecting records to be
transferred to the storage center or archives;
6) Advise and assist City departments in conducting surveys, studies, and investigations
to promote a proper and efficient Records Management Program for the City;
including an information retrieval system;
7) Submit records retention schedules, which affect the destruction of records, to the
City Council for approval;
8) Develop procedures for the protection of City records against natural or other
disasters.
9) Ensure that the creation, maintenance, preservation, microfilming, document imaging,
electronic storage, destruction, or other disposition of City records is carried out in
accordance with the approved Records Management Program.
10) In cooperation with department managers, incorporate records management
objectives, responsibilities, and authorities in pertinent department directives with the
Records Management Program.
E. City Departments:
Each City department shall implement and maintain an active, continuing program for the
economical and efficient management of the public records of the department, under or
according to provisions of the approved Records Management Program. Such program shall,
among other things provide for:
1) Effective controls over the creation, maintenance, and use of public records in the
conduct of business;
2) The maintenance and security of records deemed appropriate for preservation;
3) Segregation and disposal of records of temporary value in accordance with
established retention schedules.
Those public records that are not required in the current operation of the office where they are
made or kept shall be transferred to Records storage until they have met their specific
retention requirements and may be destroyed; or to the Archives, (if of a permanent or
historic nature) so they may be insured permanent preservation. All records, which can
properly be abolished or discontinued, shall be destroyed in accordance with Section 10
hereinafter specified.
-lO-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
SECTION 7. RECORDS INVOLVED IN PUBLIC RECORDS REQUESTS, PENDING
LITIGATION, OR AUDITING.
The destruction of the City record involved in a pending request for investigation, pending
litigation, or a pending audit is prohibited, even if the destruction of the record is authorized by
an approved and adopted Records Retention Schedule.
SECTION 8. RECORDS MANAGEMENT PROGRAM TO BE DEVELOPED AND
APPROVED.
The Records Manager shall develop and establish a citywide Records Management Program,
subject to the approval of the City Council. This program must contain standards, policies and
procedures for the administration of the City records. The Records Management Program
standards, policies and procedures must:
1)
2)
3)
4)
5)
6)
7)
8)
9)
Adequately protect the essential records of the City;
Properly preserve City records that are of historical value;
Establish criteria for citywide and departmental Records Management Program
compliance including requirements for conducting departmental records inventories,
preparing retention schedules and certifying retention and disposition schedules and
electronic media recordkeeping systems;
Establish functional recordkeeping requirements to improve the efficiency of the
archiving of City records and to ensure the creation of adequate and proper
documentation of the City’s activities and transactions;
Create policies for the retrieval of records from a media device;
Create policies to address Records Management Program requirements and needs as
technology evolves;
Provide for review by the Records Manager of all electronic recordkeeping systems
design prior to purchase and implementation of the systems;
Ensure the development and maintenance of up-to-date documentation for all electronic
records systems that will adequately specify the technical characteristics of each system
necessary to reading, processing, or preserving City records until disposition of the
records is authorized;
Provide for the creation of adequate audit trails;
-ll-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
10) Incorporate electronic records management objectives, responsibilities, and authorities in
pertinent City directives, policies and procedures;
11) Ensure the ability to access City records regardless of form or medium.
The Records Management Program standards, policies and procedures are binding on all city
officers and employees and on all departments, agencies, commissions and committees, and
similar entities of the City of Carlsbad.
SECTION 9. RECORDS RETENTION SCHEDULE.
The Records Manager, in cooperation with department managers, shall prepare records retention
and disposition schedules that describe and establish the retention periods for City records
created or revised by each department, these retention periods for all City records must be
established accordingly. A records retention schedule must contain such information regarding
the disposition of the City records as the Records Management Program may require.
A.
B.
C.
D.
Every City record identified and listed in the Records Retention Schedule, in any amendment
to the schedule, or in any request for destruction of the record must be specifically described.
Any Records Retention Schedule, amendment to a schedule, or request for destruction of a
record that contains general terms such as “miscellaneous” and “various” to describe any
record identified in such a document may not be submitted for approval.
Each Records Retention Schedule must be monitored and amended as needed by the Records
Manager, with approval from the City Council, to ensure that the schedule is in compliance
with state and federal regulations.
Before its adoption by the City Council, a Records Retention Schedule must be reviewed by
the Records Manager, the department managers and the City Attorney.
A department manager shall notify the Records Manager when a City record is eligible for
destruction and shall prepare and submit a Records Destruction Request Form.
SECTION 10. DESTRUCTION OF RECORDS.
Before a City record can be destroyed under an approved Records Retention Schedule, the record
must meet the requirements under the Records Management Program, unless the approved
Records Retention Schedule specifies that the record may be destroyed without additional review
or approval by the City Council.
City records require no further approval by the City Council for destruction as long as they are
listed on the approved Records Retention Schedule. The destruction of these records follow the
- 12-
Revised 1 O/04/00 RMP
/6
City of Carlsbad
Records Management
guidelines based on the Records Management Program and the retention time frames listed on
the Records Retention Schedule.
The records must be identified and documented by a record series on the approved Records
Retention Form, which must be signed by the department’s manager, Records Manager and City
Attorney.
A City record whose retention period has expired on an approved Records Retention Schedule
must be destroyed unless it is categorized under the following exemptions for destruction:
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. Minutes, ordinances, or resolutions of the City Council or of a City Board or Commission.
F. The subject matter of the records is pertinent to pending litigation or a pending audit.
This section shall not be construed as limiting or qualifying in any manner the authority provided
in Section 11 hereinafter provided for the destruction of records, documents, instruments, books,
and papers in accordance with the procedures therein prescribed.
SECTION 11. CONDITIONS OF DESTRUCTION.
Notwithstanding the provisions of Section 10, the Records Manager having custody of City
records may, without the approval of the City Council or the written consent of the City
Attorney, cause to be destroyed any or all such records if all the following conditions under the
California Government Code Section 34090.5 are met:
A. The record is photographed, micro photographed, or reproduced on film of a type approved
for permanent photographic records by the National Bureau of Standards; or imaged and
placed into the City’s document management system electronic vault;
B. The photographs, microphotographs, film, and other reproductions have the required
certificate of authenticity on each roll, fiche, or series;
C. The device used to reproduce such record, paper or document on film or image is one that
accurately and legibly reproduces the original thereof in all details;
D. The photographs, microphotographs, images, or other reproductions on file are made
accessible for public reference as the book records were;
- 13 -
Revised 10/04/00 RMP
City of Carlsbad
Records Management
E. A true copy of archival quality of such film reproductions or image shall be kept in a safe and
separate place for security purpose.
SECTION 12. INSPECTION OF PUBLIC RECORDS.
Public City records shall be available for inspection and/or copying in accordance with any
procedures established by the City Manager and the provisions of the California Public Records
Act.
SECTION 13. WITHHOLDING RECORDS FROM INSPECTION.
City staff may disallow inspection of any City record that is exempt from disclosure under the
California Public Records Act or other applicable law. If City staff is uncertain whether a
particular City record is subject to or exempt from disclosure, City staff should consult with the
City Attorney’s office for guidance.
SECTION 14. RECORDS PROTECTION AND DISASTER RECOVERY PLANNING
PROGRAM.
The purposes of this program element are to:
A. Control the records that are essential to the continued functioning or reconstruction of the
City during and after an emergency.
B. Safeguard those records essential to protecting the rights and interests of the City of Carlsbad
directly affected.
C. Provide an emergency preparedness for the protection of the City Records in the event of any
natural disaster and fire hazards.
D. The Records Manager shall provide necessary direction, coordination, and guidance so that a
comprehensive emergency preparedness program exists for all hazards that may affect the
City Records.
E. Certain measures and provisions have been implemented for the protection and preservation
of City records and are as follows:
1) Transfer under an authorized inventory certain City Records for storage, from an off-site
City facility to a designated storage area, for the purpose of any accidental, natural, man-
caused, or toxic and fire hazard which causes or may cause substantial damage to the City
records of the City of Carlsbad.
- 14-
Revised 1 O/04/00 RMP
City of Carlsbad
Records Management
2) Implementation of an electronic records media, transforming all original City records into
a digital document imaging system, and to be stored inside of an electronic device such as
disk, tape, or CD-ROM; which will be placed in a designated off-site storage area.
F. Each department manager shall comply with the Records Management Program in order to
ensure the protection and preservation of City Records in the event of a natural or hazard
disaster as describe in this section.
- 15-
Revised 1 O/04/00 RMP
d Fkhi it 3
no1
-..
$81 301
EC I au; EO;i xza JO<
i
’ E -
Sk
!gz
!g
SJ a$
*l 2, a:(3
i
W
.i z ,a , 0 !': 5 g :;.
! E ._: N 2:: 3
g j.' ,-:
1 ; i:;: JCl. $I ; ;*i . . 5
,:
,' : :"
is .I,'
I? " -;; $ ;;: (3 7: Y!! j:_
', ., 8 . 0 i-4 ;,i, g
8 ,I' 2 :,'
a : ): b '$
ti <:: f C s % u ,z is
,:
.,
'. ,>
t :
Pas
3 x
s:d x3
:g gr
;g
3 i
25
885 2gg
q
8% %-I
is
zg zig
E
I -1
1 \: Itl Kg!
-
2 -
w I
z z 8 2i
8 -
E 2 8 9 $ a” oil P ‘a 2 I -
.7 d‘ ,b : .$
.^.
v) (."‘, v)
w 0 0"
W
5 i i i i i
: i
i
!
i
c 2
i
i
i
‘2 i= )L:
:s
'1 P ‘C
t C
P w
8
s R
3 r:
-
7 3 0 -
s!
w
2
UY Li 5 d ii? & 0 4 a
k 2 s!L
F E r: -
i
i b i , , ,
1
I
i
I
I , I , I
I
, , ,
1
,
1 1 1
1
1 I
I
1
, I
,
I
!
I
t
,
,
, I , I I
i I
1
I
1
I
;
i i
3
5
3
I L
8
31
j1
3 i
21
L
d 9 .s E
#
r-’ w
8
d
$
8
5: b a I
:
i B j 3
5
ii, ‘; L
i
r: :
K
-
; i I
r:
; 1
7
;
r:
j
i
i
I
; i I
r:
:
1
-
!i
IJJ a
$ 3 8 -
E 5 -
6 i B ii s F s ci, & 0 z a 1 f -
z 9 g -
L -
E
$ R
s
8 E ii -
-
s 1
0 4
8 5 2 -
s 8 8 -
d .- !
%ii! $00 9 .c .c .r E E
sss
mmm
f
v z-3 c
.c & 0,8P E 55 03 c .E ‘5 uum
E!
b w
4 0
6
13
m
i I 5 i
i
E
;z
$5 .n.
.I
E
8
B E 5 i
s;
IO i3 IO
9
. . 8 ; i &i .o $$
:a; .- m
100
100
t s! a 0 ,
g '! .c
if
$ al .E .I .E E ; cs> wac
u i
J
: :
:
I ; ? , ,
I (
:
3.
u I ; ‘i 5 i&
5
VJ .E d
.E t UJ c 1
: c : E E ‘E I 5 : :hB
U--a
00
I ; bm : c ; i ‘E j j 5 i
:Fi;
hh
v-l-
. -
88
. . mm
$$
mm
8::
:E is
F
f
.%
:Ul
.O
ig
ix
‘0
P
8
c . . 4 P
I t
. i : s , f 5
e c
i
1
a c
C
1
:: i
ii
E (r
:
,
,
/
. 4
P i
: f f E
”
,
.;: $3 .',:I .& .'"2 jj; 7
2 N .Y ;:
: : ,;.
."f 2, 3~ i i :s:
".
B i" s :
ijdJ
8 ._ $
E ,h E
t .I!: E 2 >$C 2 9 ':
$j ,.. F
3 a" ~:: a
oil aLI
P ., g z a " s I 8
/
!f
w L
d 0 .E E
2
0
H
8
3
1 Di
i 7 t C
E
E
8 4
B
E
i!
8
% a d
P T a I -
-
L -
lu a
0 0
.c E
P
?
3 "
?ii : ..I: Al!+> ;-is _'_i
.': Y
N 2 ,.-
i>il ;,.: : := 528 "9 (Y ,1., + +:+ N ,; a 3
.e ;i:~
,_' :__~ Q s i .= ..I"
, ;; r; ,;:'
,;: 7. ,, '_^ 2 P 8 :>‘; z 8 8 :I, g
0 ::*: 0 w w ^Z, E ':i( E 0, ..:I E n f’ E
8 *;::; g i ;,*;, L j.‘, b ‘O B a o ‘T a OLI 1. a m .’ F .ij .B
a ,, 0’ I I
-
5 + ii
F z
g 0
.& E
B
Q
;s
c
?
g
I t
’ : Da : . i i
!A -
$
5
B
8
f
2 0
k
2
a
2
$ -
9
b
f z ,” jt s:: )a fX ?C q g JC 5:
jE
-
“;: 53 ,VE
6;
s CII .!
Z! U< V-
? $ z 3oc
8;s;:
:8:
I .E .! Do3
IX2
Zm’d
,OU
(22
j6E >oc
i
.‘:
&
.’
‘> _
b _;,
F ‘_V
2% :::, j*:; .> ^ Q .>.” i :_ :t,. I: I;<‘” *;-
.: :;: & :..
?
fg
IS5 igZ K #a
as SW- )U;i :a jot:
j&g :PC &:
*:1 F”. ‘. ! ;i ul *: 9 100
E
; 5 ; 1
;
J
i
>
5
i -
-
: ti
2:
i -
i
3
;
: c
fj u
2
2
2
: iI
5
)
1
I I
, 1 I
, /
/
-
iEi
E E I
!! f I
Z.>’ r.ei
- e :F it -t u -
1; 1; ‘L u -
-
-
E
B
&
x cu
z
8 E
s
B
8 z
-
5
P
1
3 iL
-
j 1
: ; i i
; i
i
5
I
;
!
;S’ >vc
$8 s ,OC
38s
UP2 iiiii
JWU Sdol ;s”
@
k%8 caa
I i
:
!
: ;
i c : ,
9
! s
$
I
f
I: i
r:
i i
:
; 5
{
: i
1
c
i
E
L
:
3 5
; 5
:
5
! i
i
^
:.
.c
+
? E : c c ; . , i
r
:-,
;
D . .
i.
‘” :; :.
: ‘.
,
; _:
i i
;i ! ;: :a s :i
is j !S J :: c . 3 .<
I : I
;f E
, , , i , , ; I
, ,
I I
,
,
I I , I I
? i d : i J E 3 > i c j !
3 5 3
! +^ 2 +"I i ^ ?&, 5 $ 3 , ..:: c
':
'*e
?.A 0 5 -,-,, ' > :
,,
.* _'
4
,;,. '! .i
3 .., D .; 3 :::
-" c 3 z * : .I ;: d .,c 8
I ." i L! ,% > c *j, 1 5. c
; ii L c ; I
L i r: I : i : i
! 1 ;
, I , B , I
I
,
I
, ! , I I I
I
I
,
I
I
i 5 2
5 1 ; 1 3 i i
w
:
:
0 0
.E E
%
0
$
3
ii
s
6 -
Y F
t H
2
P
4 -
z
3
k
2 .E E 3 0 8 x
8 -
f 0
23
is -
8 t-
Y I
d
4
3 -
0 7
Iii
6 -
-
-
:;; : .- . ,:.
:7: 7 id ‘?‘. .: 2
‘T-.
..:-I + cy w 2: 5 a ^-’ 0 ._ .i i _ -. ,:, .:; : ; 2:‘ ;. ‘_ % 1;’ :.
.-i .I
- : 8 ,A i <. 8 !g j.?~ ;
ii .“: z ^ ;.
:.
-E. if 6 8 b b G G
tl A~ u’ 9 8
c 2 ::
c
8
L -
h -
8
9
8 ri s 8
3i
B
f s 0
2 g
. ..i ,‘_i “> -.:[
’ 4 $1. .k’ .
h pi
,^
:^’
< F : L .ki
‘_ .:
*;: .,_
;.: ,, >
:p id 1 0 I.
.; ;’
zj _,
Q :
4 .I::
8 ,.;
^.
f .i. i
3 .i
5.. i5 :
I C .! f : .
:zs
;g E jGz h*> I .- .e IVC
'I, -2' :i' 6.: ; *: +' ;: ""," ';I.*
fJ
ii
1
il !w 5 ig F
'. 3 jk 8
1w u :a z ig -1
;" d
24 g i :a Y
I
!i E 5 L
: i
E f 5 s ,:. 3 G i
i ? c c
I
5 3 ii s E 0
E!
5
d c ..Z 2
a. 1. 3% -0 wi 2 ‘E S% “3 82 I
-< 81 zi
81 -
p I f .& i 0 2
i
J
I -
E < c
Y
5 6
g
w
,
i Q
i 8
-
3 2
T 2 -
I
0 a
88
c
Y
3
6 2 it
k
s s
L
J
I
.$$ a $ 3 2 . . B
8 ~ p
B h
4! a! $i
“I I
-
.> :
,motne*oov)o::~ tP~T~~~?~?. >mu-luJuJuJmLD* >00000000cJ~ 8
>0000000009 ‘mmmmQ**cuJc 8
7 3 -
8 0 c E % 2 9 I kf =’ > 0 E l- 8 s c: P
,
!
I ! I
I , I I
i
i
I k i .
i i : 1
; i : c
- z ii ji -: 0 -
,I iii ‘Ii 0 -
-v-
CIl r‘ d -T
. . I m: iiss
_ .- . 3oc -T-v
3 mi ; .c .E
3Lsd /v. ‘2; i al a EE[
234 l > :
!$C
C
I
5
?
1
-lYlJ
JWi!
>+- .ZC
iy1
itif
;oc
5$
?31
>oc
>oc
w
:9: . FT& . ii& . _
_ ._
3 w; ; .E !
CI. LEi i m ( i E I
Jd
i
I$; :UJi
ia: ,t: IBI CIL
,C9” :x: ;EE >o<
ii - .
;:
:: i c
ai : , ji
!e : ;
j ’
z ; I i i
$8
%% CI 6 +
L& 8
:8
81s
- . . 30 -7
38
==
‘E
ic f E
30 68
>Q
n WE ; .E .E 1 .z E
LiLj :=p 5 m a i E E
;2:8 Bdd ;m’s aoc
a:
-. an
52
-v
rir
: ; E ( - I 3 I
t i
$5
6 ;:
ai
LZ
I ; c a E ;:
a z E c
d ‘3 i . .L 'i jd
if -
% 8 6
4
8 : 0 ri
f
8 ._ z 45 8 d
i j
I j 5 : g ) .E I$ ”
3 2
5 si 4 2 ul 8 4 -_
I w 0
-
E!
h
8 8
: : _
: I i :
2 i : ; ;
: : _ > - I ; F : i c
t
d 8 I3 0 .o
on1
-
h
i!
3
r
:
! , I I I ,
i I t
I c
, I
x ‘i 5
s I3
0 .E E P
888 000
88::
ggg.
3331 uoo
:L?a’i
.zi
z
1 z 2 ens ts Ul=z gLg wnw 20’ $jzs
02a I a 2,
i!l
St33
ggg
000 v-v-
5: B
3
: ; : !
5 : ; D i : z : 5 ;:
: _ > . :
i P
1
5
I3
r
a _ . - : . : : .
i i : : ; ;: :
; 6 1 b 2 i P
: :
: i
:
3 ,
; : i
% 0
.G E
%
88
p g
Ln
In
I: i 5
W
-
B [F ;t -t D -
2 1; ‘t u -
g
z i3 2 0 !!i
-
2 i? 2 b i!i ii 8 -
g B 5 3 0
cd
2
8
F
5
8
8
z
-
iii
iTi
2
5
ii
-
c
v 5
a c .E E :
s
c ‘k
I Y i
’ .b ‘2
i
i ,
i;
:c i;
1 F > c ; ; . T
- A! S! er I - : ;;f (3: y: B -
B F s D * s -I
! % i LL 3 3
1
Y s s : s
-
s -
s -
s 8
8
8 3 I 9
1
t; ?
z
,
h i
p
3,
0 ;.
5; 0 ,:
:>
Y
$ ,”
i /
i ,”
,‘. :* _‘>:
,i
i.-
b’ _ .‘., i . .
,” j : ‘.
g .; L)r
: ‘9
‘. . .
I
:,:: ,’ ‘;
‘I., ‘I:
j
8 \
8 I
v- . 9 L I ;
7 :
2
Q
4
-4 2 0 5 % : 0’
City of Carlsbad
Records Management Manual
Exhibit 4
TABLE OF CONTENTS
REVISION HISTORY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 4
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ................. 4
Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...... 4
Objectives ,................................................................................................................................... 4
Scope ............................................................................................................................................ 5
DEFINITIONS ................................................................................................................................. 7
FILING SYSTEM .......................................................................................................................... 13
FUNCTIONS ............................................................................................................................ .13
CATEGORIES.. ........................................................................................................................ .13
FILES ......................................................................................................................................... 14
DESCRIPTION OF FUNCTIONAL CATEGORIES ................................................................... 15
COLOR CODING FOR FUNCTIONAL FILING SYSTEM ....................................................... 17
CITYWIDE DOCUMENT IDENTIFICATION ........................................................................... 19
Figure 1 - Flow Chart For Document Identification .................................................................. 19
RECORDS RETENTION SCHEDULE ........................................................................................ 20
EXPLANATION OF SCHEDULE ........................................................................................... 20
RETENTION CODES ............................................................................................................... 22
Retention Schedule Additions/Changes/Deletions .................................................................... 23
Figure 2 - Flow Chart for Retention Schedule Additions/Changes/Deletions.. .................... .23
Exhibit A - Records Retention Schedule Amendment Form ................................................. 24
Cross Reference Index Additions/Changes/Deletions.. ............................................................ .25
Figure 3 - Flow Chart For Cross Reference Index Additions/Changes/Deletions.................2 5
Exhibit B - Cross Reference Index Amendment Form Fool................................................. 26
ACTIVE RECORDS ..................................................................................................................... 27
INACTIVE RECORDS ................................................................................................................ .27
OFFSITE STORAGE PROCEDURES FOR INACTIVE RECORDS ......................................... 28
Figure 4 - Offsite Storage Flow Chart ....................................................................................... 28
DESTRUCTION PROCEDURES ................................................................................................. 29
Figure 5 - Destruction of &site Records Flow Chart.. ............................................................ .29
Figure 6 - Destruction of @We Records Flow Chart ............................................................... 31
APPENDIX A.. .............................................................................................................................. 33
Resolution XX-XXX ................................................................................................................ .33
APPENDIX B ................................................................................................................................ 34
Retention Schedule .................................................................................................................... 34
Retention Codes ........................................................................................................................ .34
APPENDIX C (On file in the Clerk’s Ofice) ............................................................................. .35
Filing System Cross Reference Index ........................................................................................ 35
APPENDIX D (On file in the Clerk’s Ofice) ............................................................................. .36
Iron Mountain - Guide To Records Management Services ...................................................... .36
APPENDIX E (On@Ze in the CZerk’s Ofice) .............................................................................. 37
Iron Mountain - Quick Reference Guide .................................................................................. .37
APPENDIX F ................................................................................................................................. 38
Administrative Order No. 53, regarding use of Computer and Communication Systems ...... ..3 8
130-10 2 9-2 l-00
REVISION HISTORY:
RELEASE DATE REV CHANGE
Prelim. Initial Release
130-10 3 9-2 l-00
INTRODUCTION
The Citywide Records Management program was adopted by Resolution No. 2000- .
This resulted in the creation of a Records Retention Schedule, uniform filing system, policy and
procedures for the program.
RECORD.9 MANAGEMENT is the systematic control over the creation, acquisition, processing,
use, protection, storage and final disposition of all recorded information required by a municipal
government to effectively conduct its business. It involves assembling and managing the correct
information (1) in the proper form (2) at the right place, and (3) in a timely manner for use by the
appropriate persons. Thus, it is a dynamic system for managing records in an efficient and cost
conscious manner.
Purpose
The purpose of the Program is to ensure that all City records are created, received, maintained
and dispositioned in accordance with operating requirements for City business and with
applicable statutes and regulations.
Responsibility
l The Records Program is administered under the authority of the Records Manager of
the City of Carlsbad.
l All Department Heads are responsible for ensuring compliance with the approved
Records Retention Schedule. Department Heads appoint a Records Coordinator to
implement the Program in their Department and to work with the City Records
Manager or designate.
l The City Records Manager implements the records management policy of the City
through the Records Management Program.
l The Department Records Coordinator facilitates Program compliance within their
respective Departments and works directly with the City Records Manager.
l All City employees are responsible for complying with the requirements of the
Records Management Manual and the Records Retention Schedule.
Objectives
The objectives of the Program are to:
0 identify City records to facilitate access
l maintain City records
l provide access to City records for operating, legal, or public requirements
l protect City records
0 ensure compliance with governmental regulations relating to records retention
l dispose of City records in accordance with the approved records retention schedule
130-10 9-2 l-00
Scope
The scope of the Program includes creation, receipt, maintenance and disposition of City
records; maintenance of approved records retention schedules; utilization of appropriate
technology to facilitate records and information storage and retrieval; and establishment of
procedures to carry out these functions.
City records must be managed throughout their “life cycle”. The life cycle of a record is defined
as the time period from the creation or receipt of a City record until final disposition. Final
disposition can be either destruction or perpetual retention. The life cycle includes five stages:
0 creation or receipt
a use or distribution
0 storage or maintenance
l retention or disposition
0 archival preservation
Records not included in the definition of “City records” are termed “transitory records.” The
records are transitory in that the value is limited to a very short time: a day, week or a few
months. They do not generally document any transaction. Nonetheless, transitory records may
be subject to disclosure under the California Public Records Act if they exist at the time a request
under the Act is made. Therefore, careful consideration should be given to whether and how long
to maintain transitory records.
Transitory records may include:
l Extra copies of publications, pamphlets, and blank forms. These are
considered “supplies” rather than records.
l Telephone messages.
l Reference materials not produced by the City.
l Working copies of documents used solely until the finished record is
“rendered.”
l Notices of meetings, events, office or holiday gatherings, or employee
meetings which do not relate directly to the functional responsibility of the
organization.
l Information copies of widely distributed City of Carlsbad materials.
l Preliminary drafts of documents such as letters, memoranda, reports,
worksheets which do not represent significant steps in the preparation of City
records, and which do not record decisions. Once the completed record is
included in the filing system (in the appropriate medium), the working
materials (drafts) are considered transitory records.
l Catalogs, trade journals, and other published materials received from other
organizations, commercial firms, vendors, or private institutions, which
require no action and are not needed for documentary purposes. These
materials are usually considered “library materials” and should be controlled
as such, but are not City records.
130-10 5 g-21-00
l Incorrect versions of documents, forms or reports that had to be regenerated in
order to correct errors in typing, data entry, spelling, grammar, or format.
Electronic Mail (E-Mail):
l E-mail should always be used with the assumption that messages will be read
by someone other than the intended recipient. Therefore, do not send any
messages you would not want someone other than the intended recipient to
see.
l Records retention policies apply to subject matter, not media. If data received ’
or sent by e-mail is appropriate for filing, then move it to the Electronic
Document Management System or print and file.
l For additional information see Administrative Order No. 53 in Appendix F.
130-10 g-21-00
DEFINITIONS
Records Management terms will be addressed first to enable a reader without prior experience to
become familiar with terminology used throughout this manual.
Active Records that are required for day-to-day business and are subject
to frequent use; generally referred to more than once per month
per file drawer.
Administrative Value
Adoption
AIIM
Alphanumeric
ANSI
Appraisal
Archival Record
Archives
ARMA Association of Records Managers and Administrators, Inc.
Audit Review for acceptance of records relating to operations, policies
and procedures, financial documentation and historical
documents by regulating agencies.
CD-ROM
A record that assists in the operation of government, and insures
administrative consistency and continuity, serving a particular
purpose for that office at that particular time. In appraisal, the
usefulness of records for the conduct of current and/or future
administrative business needs. .
Final action by a legislative body.
Association for Information and Image Management.
A filing system combining alphabetic and numeric symbols.
American National Standards Institute.
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.
A record with permanent retention because of its historical, legal
or fiscal value.
A repository for housing permanent or historic records, whether
in hard copy, electronic, microfilm or imaging form, which must
be preserved and protected from destruction.
A storage medium that uses lasers to encode images or
information in digital form and to read the image data from the
disk.
130-10 9-2 I-00
Closed/Completed
Coding
Commercial Records
Center
Confidential Records
COPY
Current
A file or record on which action has been completed and to which
an audit or further action is not likely to occur.
Marking the indexing units on the document to be filed.
A records center, operated by a private company, housing the
records of many different companies on a fee basis.
Those records to which access by unauthorized City personnel
and/or the public is not permitted, for example, personnel records.
A reproduction of the contents of an original document which is not the official file copy of the agency. Copies are usually
identified by their function. i.e., action copy, reading file copy,
tickler file copy, etc. In most instances, copies will have a shorter
retention than the official file copy of a record series.
Records when specified as the minimum retention period means
that superseded, rescinded, expired, or no longer useful records
may be removed from the files and may be destroyed.
Disposition The allocation of public records to a particular location according to their categorization for destruction.
Electronic Filing Storage and retrieval of information in digital form.
Environmental Records Records relating to the growth and/or development of the City, its
structures, and its inhabitants.
File Integrity Accuracy and completeness of the file/records.
Financial Records Budget, 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.
Fiscal Value Documents and accounts for receipt of or expenditure of public
funds such as budget, ledgers of accounts receivable and payable,
payrolls, and vouchers. Documents availability of funds for
operational purposes. In appraisal, records required until a
financial audit is completed or financial obligations are fulfilled.
130-10 9-2 l-00
-
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.
Holdings
Inactive Records
Inventory
Legal Citation
Legal Retention
Legal Value
Life
Linear Inches
Total volume of records stored in a records center.
Records that are no longer used for daily operations and have not
been used for at least six months are considered inactive. Records
become inactive prior to eligible destruction dates.
Process of examining records on hand to determine their function,
content, and dates in order to assign retention/disposition
information.
Identifies laws and regulations, which regulate retention of the
record series.
Based on the legal citation, this identifies the period of time the
record series is required to be retained.
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.
A record that has continuing value to the organization.
Linear measurement in inches of paper based records.
Master
Microfilm and Machine
Readable Records
Microforms and other machine readable records of research or
archival value.
Microfiche 4” x 6” sheet of microfilm with rows and columns of images. It
usually contains a title which can be read without magnification.
Microfilm Fine-grain, high resolution film containing an image greatly
reduced in size from the original.
Minimum Retention Period The least amount of time a record must be kept determined by
assessment of administrative, legal, fiscal and historical values.
130-10 g-21-00
National Bureau of
Standards
Non-Record Material
Numeric Filing
Office of Record
Optical Disk
Original
Permanent
Personnel Records
Property Records
Public Record
Bureau of the United States Government established by an Act of
Congress on March 3, 1901, which conducts research and
provides standards to industry and government to: increase productivity and innovation; strengthen and advance science and
technology; and facilitate their effective application for public
benefit.
Material that does not need to be filed or that can be destroyed
after a short retention. This includes duplicates, drafts,
worksheets, routine replies, and records not related to City
business or produced by the City.
Arrangement of records in ascending order or sequence.
The department that created or is responsible for retaining the official record or record copy.
A storage medium that uses lasers to encode images or
information in digital form and to read the image data from the
disk.
Document from which copies are produced.
Recorded information which is required by law to be retained
indefinitely; or which has been designated for continuous
preservation because of its administrative, fiscal or historical
significance.
Organization charts, job descriptions, salary schedules, employee
history records, union contracts, etc.
Records affecting the title to real property owned by the City and
equipment inventories.
Any writing, regardless of physical form or characteristics, which
is created, owned, used, maintained or retained in the conduct of
City business and preserved as evidence of the organization,
functions, policies, decisions, procedures, operations or other
activities, or because of its informational value, unless the writing
is exempt from disclosure under the California Public Records
Act.
130-10 10 9-2 I-00
63
Reader
Reader/Printer
Record
Record Copy
Records Center
Records Management
Records Manager
Records Retrieval
Records Series
Refile
Retention Period
Retention Schedule
Retrieval
Supersede
Termination
Machine that magnifies the microfilm for viewing.
Machine that magnifies the microfilm for viewing and can
reproduce the enlarged microfilm images.
Recorded information of any kind and in any form.
The original or official copy of a record maintained by an agency,
sometimes referred to as the designated original, or blue-ribbon
copy*
Central repository for housing inactive records until they have
met their retention requirements and may be destroyed.
Systematic control of the creation, acquisition, processing, use,
protection, storage, and final disposition of all public records,
including the establishment and maintenance of a system of filing
and indexing public records.
Individual within the organization who is assigned the
responsibility of systematically and scientifically controlling the
recorded information generated and received by the City.
Locating documents and delivering them for use.
Group of identical or related records that are used, filed and
disposed of in the same way.
The process of returning a record to its original place in a tile
after it has been withdrawn.
The period of time that records must be kept according to legal
and/or organizational requirements.
Document, approved by the City Council, describing the records
maintained by the City and specifying, in accordance with
statutory requirement or evaluation, the period of time which
must elapse before they may be destroyed.
Locating documents and delivering them for use.
The replacement of an existing document.
Designates the end of a specific term (e.g., appointed elected
officials’ terms, employment, training, course, program, use or
ownership).
130-10 11 9-2 l-00
C
Transfer List
Visual Documents
Vital Record
Writing
A list describing the contents of a group of records that are
transmitted from one holding area to another, usually from active
files to a records center.
Photographs, motion pictures, videotapes, diagrams, charts, maps,
or drawings of archival, cultural, architectural, engineering,
research or technical value.
Records containing information essential for the resumption of
operation after a disaster or the reestablishment of the legal and
financial status of the organization.
Handwriting, typewriting, printing, photocopy, photographing,
and every other means of recording upon any form of
communication or representation, including letters, words,
pictures, sounds, or symbols, or combination thereof, and all
papers, maps, magnetic or paper tapes, photographic films and
prints, magnetic or punch cards, discs, drums, and other
documents.
130-10 - 12 g-21-00
h
FILING SYSTEM
The filing system designed for the City is a four-tiered system, divided in the following manner:
l Functions
0 Categories
l Subcategories
l Files
FUNCTIONS
The services performed by the City have been grouped into 12 major functions. Functions have
been assigned as follows:
0100 Administration
0200 Agencies/Organizations
0300 City Boards, Commissions, Committees
0400 Fiscal/Financial Services
0500 Community Development/Planning
0600 Health, Safety & Welfare
0700 LegaVLegislative
0800 Human Resources/Personnel
0900 Public Facilities and Grounds
1000 Public Works/Engineering
1100 Recreation and Cultural
1200 Utilities
Note: New Functions can be added by the Records Management Department as needed.
CATEGORIES
Major subjects/issues within each function are defined as record categories. For example, under
the 0400 Fiscal/Financial Services function are such categories as Accounting, Budget, Payroll,
etc. Each category is assigned a number within the numerical series of the function; for example,
20 is the number of the Banking category. The first two numbers on a file folder direct you to the
function (0400); and the third and fourth numbers direct you to the category (20). Thus, Banking
files are found under 0420.
130-10 13 9-2 l-00
SUBCATEGORIES
Subcategories serve to identify specific types of contents. Each subcategory has a two-digit
number, separated from the primary numbers (0420) by a hyphen. Using the above example, a
specific subcategory of the Banking category is Deposit Slips. TheJiZe numberfor
Fiscal/Financial Services (0400), Banking (20), Deposit Slips (40) would be 0420-40.
FILES
Subcategories of records often have more than one file folder. Each folder has the same file
number and are usually grouped chronologically according to the retention schedule. The length
of time documents must be kept is indicated by the color coded bar at the top of the file label.
Files kept for historical purposes retain their original file number and have a letter ‘73” added to
the file folder.
Materials kept for archival storage are tracked by the Records Management Department.
130-10 14 g-21-00
47
DESCRIPTION OF FUNCTIONAL CATEGORIES
0100 - ADMINISTRATION
This function contains records necessary for the overall administration of the City as a municipal
corporation. Included are citywide policies and procedures for all City Major Service Areas and
Departments, Risk Management, Records Management, Documents Management System, etc.
0200 - AGENCIES/ORGANIZATIONS
This function contains records pertaining to Local Organizations, Employee Organizations,
Governmental and Regulatory Agencies, School Districts, etc.
0300 - CITY BOARDS, COMMISSIONS, COMMITTEES
This function contains the records pertaining to City Boards, Commissions and Committees,
which include Arts Commission, Beach Erosion Committee, Design Review Board, Historic
Preservation Commission, Housing Commission, Library Board, Planning Commission, Traffic
Safety Commission, etc.
0400 - FISCAL/FINANCIAL SERVICES
This function contains records which relate to the fiscal affairs of the City, including accounting,
budgets, audits, banking, payroll, investments, financial reports, etc.
0500 - COMMUNITY DEVELOPMENT/PLANNING
This function contains records relating to the policies, regulations and guidelines for the orderly
growth, development and redevelopment of property within the City’s boundaries. Included are
the General Plan, Land Use and Zoning, Housing Environmental Review, etc.
0600 - HEALTH, SAFETY & WELFARE
This function contains records which describe activities, controls and services to safeguard the
health, safety and welfare of the citizens of the community. Activities within this function
include fire and police protection, emergency services, animal control, environmental protection,
flood control, senior services, public welfare, etc.
130-10 15 g-21-00
0700 - LEGAL/LEGISLATIVE
Records in this function pertain to the duties of the City Attorney, the legally constituted
authorities, and the laws enacted by ordinance. Files include those pertaining to Elections, City
Incorporation, Elections, Real Property, Legislation Actions of the City Council,
Contracts/Agreements, FPPC filings, etc.
0800 - HUMAN RESOURCES/PERSONNEL
This function contains records pertaining to City’s employees. Any programs relating to
employees can be found in this function.
0900 - PUBLIC FACILITIES AND GROUNDS
This function encompasses material relating to City owned structures and public recreational
facilities within the City’s jurisdiction constructed and maintained for the use/recreation facilities
of the public.
1000 - PUBLIC WORKS/ENGINEERING
This function pertains to Streets, Special Improvement Districts and Engineering Services.
Records include those pertaining to Traffic, Parking and Transportation matters, Capital Projects,
Solid Waste Management, Permits, etc.
1100 - RECREATION AND CULTURAL
This function contains records regarding community recreational resources, Programs, Library
Services, and Cultural Arts.
1200 - UTILITIES
This function covers management and administration of the water services including water
resources, supply, billing, sewage treatment plant and all related activities. Other utilities such as
gas, electric, cable, wireless, telephone and records relating to rates and regulation are contained
in this section.
130-10 16 9-2 l-00
COLOR CODING FOR FUNCTIONAL FILING SYSTEM
The color-coding used in this filing system serves two distinct purposes:
1. File Numbers: The colors assigned to the file numbers serve as a visual aid, which
directs the user to a specific series of records. The colored numbers can prevent
misfiling or identify misplaced files immediately. (Note: Colors TBD)
2. File Labels: Colors on the bar of the file label indicate the retention period as
designated by the Retention Schedule. (Note: Colors TBD)
The following are the colors used in the filing system to identify the retention information
relating to each file folder:
COLOR l-
COLOR 2 -
COLOR 3 -
COLOR 4 -
Destroy when information is no longer useful. (Does not need
Council approval to destroy.)
Keep minimum of 2-3 years from year of creation. Refer to
retention schedule for detailed information.
Record has a retention time longer than three years. Refer to
retention schedule for detailed information.
Record must be kept permanently. Refer to retention schedule
for detailed information.
130-10 17 g-21-00
EXAMPLE OF FILE FOLDER LABELING:
FUNCTION Identification Number
[Fiscal/Financial Services)
CATEGORY Identification Number (Payroll
records)
Space between numbers = hyphen
:“H” = Historical placed here)
SUBCATEGORY Identification Number
(Time Cards/Sheets)
Retention Color Bar
(Refer to color coding section for detailed
explanation)
Specific content Identification
130-10 g-21-00
-
CITYWIDE DOCUMENT IDENTIFICAl‘lON
As part of our citywide filing system, all documents must include the file identification in the
lower left hand comer. The identification consists of the following:
Retention file number
Ex.: 130-25
This designation will assist with filing and increase retrieval ease and speed. The person
preparing the document is responsible for including this identification.
This file number can be used for all inquiries for active and inactive records on the Retention
Schedule . Only numbers on a current records retention schedule may be used. If you need to
add a new file number category or Subcategory, refer to Figure 2.
Figure 1 - Flow Chart For Document Identification
Note: See Retention Schedule for File
Contact Records
Records Management
will determine if the file
number exists?
Instructs Requester to
.
Fill Out Form FO06
(See Exhibit A)
130-10 19 g-21-00
-
RECORDS RETENTION SCHEDULE
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.
EXPLANATION OF SCHEDULE
The Records Retention Schedule is divided by department and includes the following fields:
Active Retention * Period of time, which the record series is to be, retained
Onsite in local files based on Operational,
Administrative, Legal, Fiscal and Historical Values.
Confidential *
File Number
Inactive Retention *
Legal Citation
Legal Retention
Office of Record
Identifies records which are confidential.
Includes File Number of the record.
Period of time following the active retention period for
which record series is to be retained off-site based on
Administrative, Legal, Fiscal and Historical values.
Identifies any laws which regulate retention of the record
series.
Based on the legal citation, this field identifies the period
of time the record series is required to be retained.
Identifies the office, which maintains the official copy of
the record series. In most cases only the Office of Record
must comply with legal retention requirements. However,
as long as a record exists it is discoverable regardless of
which department has it. Therefore, we should not have
copies of records retained beyond the set retention
schedule.
Records Category & Description Includes records category and description of the record:
Major subjects/issues within each function are defined as
record categories; Subcategories serve to identify specific
types of contents; Subcategories of records often have
more than one file folder. Each folder has the same file
number and is usually grouped chronologically according
to the retention schedule.
130-10 20 g-21-00
-
Total Retention Total time which a record series is to be retained by the
Department in paper, digital, and/or microfilm form.
Vital * Identifies vital records.
* These Record Fields will be added to the Retention Schedule in a future revision.
130-10 21 g-21-00
RETENTION CODES
Retention codes used in the schedule include the following:
1. AU = (Audit) Review for acceptance of records relating to operations, policies
and procedures, financial documentation and historical documents by regulating
agencies.
2. CL = (Closed/Completed) A file or record on which action has been completed
and to which an audit or further action is not likely to occur.
3. CU * = (Current) Records when specified as the minimum retention period means
that superseded, rescinded, expired, or no longer useful records may be removed
from the files and may be destroyed.
4. PE = (Permanent) Recorded information which is required by federal, state, and
local law or administrative decision is to be retained indefinitely; or which has
been designated for continuous preservation because of its administrative or
historical significance.
5. SU = (Superceded) The replacement of an existing document.
6. TE = (Termination) Designates the end of a specific term. e.g.: appointed,
elected officials terms, employment, training, course, program, use or ownership.
* For example, an active retention period of CU + 3 means that the retention period begins
during the current year and extends for three full years.
130-10 22 g-21-00
Retention Schedule Additions/Changes/Deletions
To facilitate use by departments, it is occasionally necessary to alter the Citywide Retention
Schedule by:
Adding/changing a section number
Adding/changing/deleting a file number
Changing an Offke of Record
Changing a retention
Adding/changing/deleting a code citation
1. Requester must fill out and submit a Records Retention Schedule Amendment Form No.
F006 (See Exhibit A). For copies, this form is located on the following directory:
“Cityhall\SysLibrary~ecords Management”WormsWO06 - Records Retention Schedule
Amendment Form.
2. Form F006 must be completed and approved by Department Head.
3. Form is submitted to Records Management for review/research. The City Attorney also
approves this request. If request is approved, Records Management makes requested
changes to the Retention Schedule, subject to approval of the City Council.
Figure 2 - Flow Chart for Retention Schedule Additions/Changes/Deletions
No Action Required
NO
Located in directcny”Ciialh
Reqwater fitls art Form Sys\Libnry\Rscwds
FM)6 (ExhiMt A) - Man~mentFomlr\ - Records Retentiar Schedule Amendment Fom”
Hew Com@ted Form Yes-b A+wowd by DepMn~ml Head
Returns fJisappmwd Form with expl.anatka
I I
Submit Appmvcd Form to to Reqqwster Recofdr Managmnent I 1
No Further Acttan Required
Records Marugor or
*sianam rwimvslappove
130-10 23 g-21-00
Exhibit A - Records Retention Schedule Amendment Form
I City of Carlsbad
RECORDS RETENTION REQUEST FORM F006 I Requester Department Date
0 Add/Change a Section Number 0 Add/Change/Delete a File Number Cl Change a Retention Period
0 Change an Offke of Record 0 Add/Change/Delete a Code Citation q Other
File Category Title:
File Category Description:
Records Retention Requested: (Calif. Govt. Code sets a minimum retention of two years for City Records)
Office Records Center Destroy
Justification or Legal Code Citation
0 Legal
0 Fiscal
0 Administrative
0 Historical
RECORDS RETENTION APPROVALS
Approved Disapproved Comments and Signatures
0 0 Records Management:
0 0 City Attorney:
130-IO/F006
130-10 24 g-21-00
77
.-
Cross Reference Index Additions/Changes/Deletions
To make the Cross-Reference Index “user friendly”, it is often necessary to add, change, or
delete cross-references.
1. Departments must complete a Cross Reference Index Amendment Form FOOl (see Exhibit
B). For copies, this form is located in the directory “Cityhall\Sys\Library\Records
Management WormsW001 - Cross Reference Index Amendment Form.”
2. Form is submitted to Records Management by email, inter-office mail, or in person for
processing.
3. After submitting an Amendment Form via email, inter-office mail, or in person to Records
Management, you will be notified if your request is approved.
4. Upon approval, the index is updated in directory “Cityhall\Sys\Library~ecords
Management\Cross Reference Index” and all affected Departments will be notified via e-mail
about the change.
Figure 3 - Flow Chart For Cross Reference Index Additions/Changes/Deletions
Requester Fills Out Form FOOI (Sea Exhibit B)
Returns For& to Requester with Explanation
Yes
Records Management
Returns Approved Form
Records Management Notifies Affected Departments (via email)
130-10 25 9-2 l-00
-
Exhibit B - Cross Reference Index Amendment Form FOOI
CROSS REFERENCE INDEX
ADDITIONS/CHANGES/DELETIONS
Complete this form & return to Records Management for inclusion in next cross-reference index
undate:
Requester Department Date
ACTION DESCRIPTION FILE NUMBER
q lDelete
q Add q Change
q lDelete
q Add q Change
q Delete
q Add IlChange
q Delete
q Add q Change
ODelete
q Add q Change
q Delete
q Add q Change
q lDelete
I q Add q lChange I I q Delete
q Add q Change I
I ODelete
q iAdd q Change I
IlDelete
q Add q Change
q Delete
q Add q Change
q Delete
q Add q iChange
I q Delete
q Add q Change I
RECORDS MANAGEMENT USE:
Date Received Name/Date Processed
130-lO/FOOl
130-10 26 9-21-00
79
ACTIVE RECORDS
Active Records are kept in the office area and are used for daily operations.
INACTIVE RECORDS
Records that are no longer used for daily operations and have not been used for at least six
months are considered inactive. Records become inactive prior to eligible destruction dates. All
records have different lengths for retention and depending on when the records are eligible for
destruction, inactive files may be a candidate to send to offsite storage.
If you have any questions if a record should be kept in the office or sent to offsite storage,
contact Records Management.
130-10 27 9-21-00
OFFSITE STORAGE PROCEDURES FOR INACTIVE KECORDS
This section will follow the Iron Mountain Storage Facility Manual (Appendix D), as they are
the primary Offsite Facility used by The City of Carlsbad.
Note: Please contact Records Management zyyour records are stored at Corovan, Arcus, etc.
You will be provided an alternate procedure.
Departments should keep in mind offsite storage is costly. Records that are frequently
accessed are not appropriate for offsite storage.
Figure 4 - Offsite Storage Flow Chart
Materials should be
packed and the weight of the box should not exceed 50
Ibs.
All Departments prepare
their own boxes for storage
1 Task Completed
l- in Appendix D
Contact Records
Management (We will
provide you with training and/or assist you through this process)
130-10 28 9-21-00
DESTRUCTION PROCEDURES
Records are reviewed annually for destruction. This applies to records in our active files and
records in storage. To be in compliance with the Records Management Program and Records
Retention Schedule, destruction activity must occur.
Note: Please contact Records Management zyyour records are stored at Corovan, Arcus, etc.
You will be provided an alternate procedure.
Litigation places all files for that matter on hold. Under no circumstances may litigation
records be destroyed.
Figure 5 - Destruction of Onsite Records Flow Chart
The annual review and purge of onsite records is conducted in August. Each department is asked
to review its onsite files to determine which tiles are past retention.
AMemobserdtclmmf- Depl. lieads. ofnce
r-----f
MalulJan. etc. l-.amhdm Rem,dsY~ lhUlltClrsviawDZUW6kSss(M lnnlm~ the Deslrudh am *mb far-ion P- @obw!eg the Rmeman
city *nomy ml”m.5 Ih* *stmdlon libl to Rsmtda Msnspemanl with expranmon 0,
Fomd sppmvd Deslnldlon LISA to Remms Ms~msrd
Atdhodiy for qyiwh”$
A”may “my redllw the Deslnntlon LM for padim
Recads MB~pemmM fuss uw sppovm lim 6 rm”msscopytoths afhded department
PurQe ml eli@hk Abs
copy ol delrudion lid taped sewrmy to top 0, tax
1
Place boxes in a ascum ama 6 call Recedr Management for hlShUdlOllS
130-10 29 9-21-00
Exhibit C - Onsite Records Destruction Form FOOS
ONSITE RECORDS DESTRUCTION LIST
Approved for Destruction
Department Head Date
City Records Manager Date
City Attorney Date
30x No. File Content Description Date
0130-z/F005
130-10 30 9-2 l-00
Figure 6 - Destruction of Qffiite Records Flow Chart
The annual review and purge of offsite records is conducted in January. Each department is
asked to review its offsite files to determine which files are past retention.
Note: Please contact Records Management zyyour records are stored at Corovan, Arcus, etc.
We will provide you with an alternate procedure
Records Management initiales tha Desbwtton
Review tiles on tha Iron Mountain ‘DesbucSon
Candidate Repocr following your Retantion BdleduteklAppendkB
affectad Dept. Heads, office Managers, etc. attached with an White Destwction List Form FWZ” (L an Iron
Mountain DestructIon Candidate Report
deslgnaled Records
No further action
~~~~-, lt is the responsibility of each depattment to
t I lfboxesneedtobe I
Raconts Management files the disapproved list
&retumsacopytothe
destructton list to Records Management with explanation of
placed on hokt. indiite this a&n by redlining lhe Iron Mountain
Desbudion List with a new destruction date and meson for hold I
Heads approval slgnetm on FM FOCI2 &ettachtohwrtofthe ‘tron Molswn
I I
Forward to Racords Management
FW2 6 Van Mountain Dmuctbn List” &forward the odginals to Records
city Attorney is the final Authocity for approving! disapprovitlg the Destruction
forwards both Form FOOZ 6 ‘Iron Mountain Destruction List” to the Attomey may redline the
Destructton List for partial
Ybs
$
Cl Attorney raturns FW2 b ‘Imn Mountatt
Desk&ion Llsr to Records Management
4
Rean-ds Management files lhe approved ltst 8
returns a copy to the effected departmsot
t
Records Management b will make arrangements for records destruction
130-10 31 g-21-00
Exhibit D - Offsite Records Destruction Form F002
OFFSITE RECORDS DESTRUCTION LIST
Approved for Destruction
Department Head Date
City Records Manager Date
City Attorney Date
Box # Content Description Date Holds
)130-25/FOO2
130-10
APPENDIX A
Resolution No. 2000-
33 g-21-00
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
RESOLUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD ESTABLISHING
A RECORDS MANAGEMENT PROGRAM FOR THE CITY OF CARLSBAD
The City Council of the City of Carlsbad does hereby resolve as follows:
WHEREAS, Sections 34090 and 34090.7 of the Government Code of the State of
California provide legal requirements relating to the retention and the disposition of municipal
records; and
WHEREAS, other codes, both state and federal, also provide legal requirements for
specific municipal records; and
WHEREAS, the establishment of the Records Management Program which includes a
Records Retention Schedule, a uniform filing system, and Guidelines and Procedures, will
provide a better method of organizing, maintaining, and disposing of City records, in
accordance with the operational needs and legal requirements for the retention and disposition
of records;
NOW, THEREFORE, the City Council of the City of Carlsbad resolves as follows:
1. That the Records Management Program set forth in the attached Exhibit “A”, is
hereby adopted;
2. That the Records Management Department is hereby designated as the Custodian of
this program and, as such, shall be responsible for the safekeeping and implementation of the
program;
3. That the City Manager, City Attorney, and Records Manager are directed to review
this program periodically and present any revisions to the City Council for procedure and
schedule modification necessary to maintain the information current and ensure efficient
operation of the program.
PASSED and ADOPTED at a regular meeting of the Carlsbad City Council, held on the
day of ,2000, by the following vote, to wit:
AYES:
NOES:
ABSTAIN:
CLAUDE A. LEWIS, City Mayor
LORRAINE M. WOOD, City Clerk
(SEAL)
87
APPENDIX B
Retention Schedule and Filing System Guide
Dated 8/14/2000
Retention Codes
Retention codes used in the schedule include the following:
1. AU = (Audit) Review for acceptance of records relating to operations, policies
and procedures, financial documentation and historical documents by regulating
agencies.
2. CL = (Closed/Completed) A file or record on which action has been completed
and to which an audit or further action is not likely to occur.
3. CU * = (Current) Records when specified as the minimum retention period means
that superseded, rescinded, expired, or no longer useful records may be removed
from the files and may be destroyed.
4. PE = (Permanent) Recorded information which is required by law to be retained
indefinitely; or which has been designated for continuous preservation because of
its administrative or historical significance.
5. SU = (Superceded) The replacement of an existing document.
6. TE = (Termination) Designates the end of a specific term. e.g.: appointed,
elected officials’ terms, employment, training, course, program, use or ownership.
* For example, an active retention period of CU + 3 means that the retention period begins
during the current year and extends for three full years.
130-10 34 9-2 l-00
130-10
APPENDIX C
Filing System Cross Reference Index
(On file in the Clerk’s Office)
35 9-21-00
130-10
Iron Mountain - Guide To Records Management Services
(On file in the Clerk’s Office)
36 9-2 l-00
h.
130-10
APPENDIX E
Iron Mountain - Quick Reference Guide
(On file in the Clerk’s Office)
37 9-2 l-00
130-10
APPENDIX F
ADMINISTRATIVE ORDER NO. 53, RE:
USE OF COMPUTER AND COMMUNICATION SYSTEMS
38 9-21-00
9-L
-
City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad, CA 92008
AlMINISTRATIvE ORDER NO. 53 September 14,1998
TO: ALLDEPARTMENTS
To establish a policy concerning use of the City’s computer and communication
technology which will (1) clarify the City’s expectations for employees who use this
technology; (2) clari@ existing procedures; and (3) establish that a violation of this policy
could result in discipline up to, and including, dismissal. Employees should be aware
that all records, whether on paper or computer&d, may be subject to disclosure under the
Public Records Act.
~ACKGROUNXI:
The City of Carlsbad encourages the use of technology as a method of enhancing
employee productivity and communication; thereby improving the overall capabilities of
the City to conduct City business and to serve citizens. As a result, the City has
implemented, and continues to implement, various forms of computer systems. Some
systems and applications currently in place include: (1) a City-wide computer network
(WAN); (2) a City-wide telephone system; (3) a voice-mail system; (4) e-mail; and (5)
access to Internet. The quantity and diversity of the systems continues to increase, and a
continually greater number of employees use some form of the technology on a daily
basis.
1. All of the technology (including hardware and software) made available to employees
at the work place is the property of the City.. The material and information which
employees create, transmit, or store on Citycomputers is also the property of the City.
2. Employees cannot expect any degree of privacy in the use of either the systems or any
of the material or information stored on the systems. The City reserves the right, for
any reason, and at any time, to monitor, generate reports, review, audit and disclose
all matters sent over and/or stored in the systems (including mail systems, Internet
access, voice-mail systems, file servers, and individual work station hard drives).
Employees should be aware that even when a message or wmmunication has been
deleted, it still may be possible to retrieve it from a backup system. Therefore,
employees should not rely on the fact that a message or wmmunication will remain
private if it has been deleted.
3. The City strives to maintain a workplace free of harassment and sensitive to the
diversity of its employees. All wmmunications by employees must be conducted in a
professional manner, and shall not be derogatory, offensive, harassing,
discriminatory% defhmatory or obscene. Employees are prohibited from transmitting
any commun.ication that may be wnstrued as disparaging others based upon race, sex,
national origiu, sexual orientation, age; religious belief& or political beliefh.
4. The systems are neither intended nor sized to serve as permanent repositories for
wmmuniqu~. Therefore, it is the City’s policy that all wmmun.ications be read or
listened to, then deleted, as soon as possible, and NOT saved (electronically or in print form) in the ordinary course of business.
5. Any passwords issued to, or used by, an employee ahall be kept wnf?dential for use
by the employee only. Employees are prohibited fiomrevealing their password to
any non-author&d employee or to any other person or to otherwise breach the security of the City’s networks or Internet access.
6. Employees are prohibited firorn unauthorized use of another employee’s password, and the unauthorized entry or attempt to enter wmputer files or wmmunications of
another.
7. Only software purchased and/or licensed to the City shah be used on City computers.
Employees are prohibited from installing unauthorized software as it increases the
risk of exposure of the City’s network to viruses and system/sofMue
incompatibilities.
8. It is a violation of federal copyright laws to copy software. Employees shall not copy
software from a City wmputer for personal use on home computers, or for use on
other non-licensed City systems. The City may have received approval for employees
to install some City-purchased software applications on home computers. In those
instances, employees should contact the Information Systems Department for the
installation disks.
9. The systems arc provided to employees for use in the performance of their jobs. The
City has historically allowed, and will continue to allow employees reasonable use of
the systems for personal, incidental uses. Under no circumstances shall the systems
be used for any illegal activity, for any commercial promotional purpose, to run a
private business, for other employment or pecuuhy gain, or to wmmunicate any
material or information of a political, obscene, defamatory or derogatory nature.
ACTION:
This Administrative Order is efktive immediately, and replaces Administrative Order
No. 53 dated August 9,199l and Administrative Order No. 41 dated October 28,199l.
RAYMOND R. PATCHETT
City Manager