Resolution Number 85-8-6-51fg
RESOLUTION NO. 85-8-6-5
RECORDS MANAGEMENT
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF SAN JUAN CAPISTRANO, CALIFORNIA, ESTABLISHING
PROCEDURES FOR A RECORDS MANAGEMENT PROGRAM
WHEREAS, the purpose of this Resolution is to provide
procedures for the management of City records, in compliance with
the policy of the City of San Juan Capistrano to provide for
efficient, economical, and effective controls over creation,
distribution, organization, maintenance, use, and disposition of
all City records.
Section 1. Authority.
The City Clerk shall be responsible for the
administration of a uniform Records Management Program assisting
all City Departments, offices, and agencies.
Section 2. Definitions.
(a) Appraisal: The process of determining the value
and thus the disposition of records based upon
their (1) administrative, legal, fiscal, and
historical uses; (2) relative activity; (3)
relationship to other records; and, (4) evidential
and informational value.
(b) Disposition: Actions taken with regard to records
and nonrecords following their appraisal. These
actions include the transfer of records to
inactive storage or the destruction of records or
nonrecords no longer required in the course of the
City's business.
(c) Duplicate record: Copies or reproductions of
original records, whether or not the same physical
form as the original, which are retained for
personal reference or for operational
requirements.
(d) Maintain: Provide custody and care for a record.
(e) Nonrecord: Material which is not retained in the
regular course of business or is a temporary aid,
not created for the purpose of preserving its own
documentary or informational content for future
reference. This includes but is not limited to:
Transmittal letters and acknowledgments which do
not add any information to the material
transmitted.
Requests for printed material after the requests
have been filled.
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Informal notes, worksheets, and rough drafts of
letters, memoranda, or reports that do not
represent basic steps in the preparation of
documents.
Shorthand notes, including stenographic notebooks
and stenotype tapes, and dictating media which
have been transcribed.
Miscellaneous notices of community affairs,
employee meetings, or holidays.
Stocks of publications or unused blank forms that
are kept for supply purposes only.
Tickler, follow-up, or suspense copies of
correspondence.
Extra copies of documents already in an official
file.
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Publications or reference materials received or
acquired from outside sources such as professional
organizations, conferences, seminars, or
Cworkshops.
Library and museum materials made or acquired and
preserved solely for reference or exhibition
purposes.
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(f)
Official record: Any record containing
information relating to the conduct of the
public's business prepared, owned, used, or
retained by any City department or agency
regardless of physical form or characteristics.
(g)
Original record: The first or initial
documentation, that of which anything else is a
copy or reproduction.
(h)
Record: All books, papers, maps, exhibits,
magnetic or paper tapes, photographic films and
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prints, punched cards, and other documentary
material regardless of physical form or
characteristics, produced, received, owned or used
by a City department and preserved because of the
informational value of data in them or as evidence
of the organization, functions, policies,
decisions, procedures, operations, or other
activities of the City.
(i)
Record copy: A reproduction of an original record
which is retained in lieu of the original record
as the official record of the City.
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(j) Records Retention and Disposition Schedule: A
listing of records series by department,
indicating for each series the length of time
it is to be maintained in office areas and in
inactive storage. The Schedule constitutes
authority for the destruction of records listed
thereon, after required retention periods have
lapsed.
(k) Record series: File units or documents arranged
in accordance with a filing system or maintained
as a unit because they relate to a particular
subject or function, result from the same
activity, have a particular form, or because of
some other relationship arising out of their
creation, receipt, or use. Record series may
consist of records of a single type or format and
can be described, handled, and disposed of or
retained as a unit.
(1) Writing: Handwriting, typewriting, printing,
photostating, 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
types, photographic films and prints, magnetic or
punched cards, discs, drums, and other documents,
retained in the ordinary course of business.
Writings are record or nonrecord material.
Section 3. Records Retention and Disposition
Schedule.
The Records Retention and Disposition Schedule will
serve as the basis for the City's Records Management Program.
The head of each department, office, or agency has received a
Records Retention and Disposition Schedule for his/her
department, which includes:
(a) A physical inventory and appraisal of all records
to determine their administrative, fiscal, legal
and historical value.
(b) Identification of record series titles for all
department records and specific and accurate
descriptions of records listed thereunder.
Any amendments to the Records Retention and
Disposition Schedules subsequently proposed by
Department Heads shall be prepared and submitted
to the City Clerk and City Attorney, the
preparation to include:
(1) An appraisal of the records; and,
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(2) An accurate description of the records
listed.
Terms used as record series titles or as
description of files on the Records Retention and
Disposition Schedule, or any revision thereto,
shall be descriptive. They shall not include the
use of the words "miscellaneous" or "various," or -�
words of similar connotation; nor shall any such
schedule or request bearing such nomenclature be
submitted to the City Clerk and the City Attorney
for their consideration and approval.
In addition, each department shall conduct a
periodic review or audit of records to verify
their conformance with the Records Retention and
Disposition Schedule.
Following the review or audit, the City Clerk will
be notified of any proposed amendments to the
Records Retention and Disposition Schedules that
are needed. Such amendments may include the
addition of new record series titles to the
Records Retention and Disposition Schedule, or
requests to have superseded record series titles
removed from the Records Retention and Disposition
Schedule.
Section 4. Responsibilities.
(a) The City Clerk shall:
(1) Be responsible for the maintenance of all
inactive Official Records with the following
exceptions:
(i) Records identified pursuant to this
Ordinance in the Records Retention and
Disposition Schedule, which are
entrusted to the custody of other
City officers, departments, offices
or agencies.
(ii) Newly created or unidentified record
series, which shall be the
responsibility of the originating
department, until properly identified
within the Records Retention and
Disposition Schedule.
(iii) Inactive records which have been
transferred to non -City organizations.
(iv) Records which are legally maintained by
other governmental agencies.
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(2) Be responsible for the administration of a
uniform Records Management Program assisting
all City Departments, and for the
development, administration and coordination
of procedures.
(3) Administer a Records Center for the efficient
and economical storage, maintenance, and
servicing of inactive City records.
(b) The Deputy City Clerk and Records Coordinator,
under the direction of the City Clerk, shall:
(1) Provide effective control over the
identification, appraisal, maintenance,
protection, preservation, transfer,
retention, and disposition of all City
Records. This shall include:
(i) Providing assistance and guidelines to
departments in the preparation of
amendments to their Records Retention
and Disposition Schedules.
(ii) Following established procedures for
securing necessary revisions to the
Records Retention and Disposition
Schedule, with the approval of the City
Attorney.
(iii) Providing direct technical assistance
and guidance to departments that will
aid in resolving specific files and
related records problems.
(2) Operate the Records Center in an orderly and
efficient manner. This operation shall
include:
(i) Providing information, assistance and
records to officials, using departments,
and authorized agencies upon request to
insure optimum utilization of the
Records Center.
(ii) Notifying using departments periodically
when records held by the Records Center
are eligible for destruction.
(iii) Causing to be destroyed records held by
the Records Center only after receiving
proper authorization from the
responsible department head.
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(c) Each department head shall:
(1) Cooperate with the City Clerk to assure
proper administration and implementation of
the City's Records Management Program.
(2) Ensure the proper application of the Records
Retention and Disposition Schedule to his/her
department's records.
(3) Ensure that records are transferred to the
Records Center for storage at the end of the
office retention period listed in the Records
Retention and Disposition Schedule.
(4) Review the Records Retention and Disposition
Schedule and recommend to the City Clerk any
amendments thereto which are necessary due to
changing requirements.
(5) Comply with procedures mentioned in this
Ordinance regarding the destruction of
records and nonrecords.
(6) Appoint a Records Liaison to work in
cooperation with the City Clerk's Department
and the Department and to assist in the
implementation of the Records Management
Program.
Section 5. Destruction of Records.
(a) Eligibility
No record shall be destroyed until it has been
properly inventoried, appraised, and entered in
the Records Retention and Disposition Schedule.
Furthermore, before a record is eligible for
destruction, the department head must first make
the following recommendations:
(1) Required retention periods listed in the
Records Retention and Disposition Schedule
have lasped.
(2) The record is maintained by said department.
(3) The record is no longer required to fulfill
any administrative, fiscal, legal, or
historical interests of the City or the
public.
(4) The record series title is descriptive and
does not include the use of the words
"miscellaneous" or "various," or words of
similar connotation.
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Before records are destroyed, the department head
shall:
(1) In compliance with the Records Retention and
Disposition Schedule, exercise a final review
over all records eligible for destruction for
the purpose of determining any further
administrative, fiscal, legal, or historical
needs.
(2) Ensure that if the Records Retention and
Disposition Schedule does not specify records
for transfer to the Records Center, the
records shall be destroyed at the end of the
listed office retention period in compliance
with the Records Retention and Disposition
Schedule.
(3) Ensure that if the Records Retention and
Disposition Schedule does specify records for
transfer to the Records Center, and this has
not occurred, the records shall be destroyed,
providing they have exceeded their total
retention requirement (office plus Records
Center).
(4) Destroy duplicate records and nonrecords when
they are no longer needed in the course of
the City's business.
PASSED, APPROVED AND ADOPTED this 6th day of
August , 1985
ILLI• R. 'SCHVARTZEPMAYOR
ATTEST:
LEMMM -MR
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STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF SAN JUAN CAPISTRANO )
I, MARY ANN HANOVER, City Clerk of the City of San Juan
Capistrano, California, DO HEREBY CERTIFY that the foregoing is a
true and correct copy of Resolution No. 85-8-6-5 , adopted by
the City Council of the City of San Juan Capistrano, California,
at a regular meeting thereof held on the 6th day of
August , 1985 , by the following vote:
AYES: Councilmen Bland, Buchheim,
Hausdorfer, and Mayor Schwartze
NOES: None
ABSENT: Councilman Friess
(SEAL)
MARY ANNN VER, CITY CLERK
177
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss. AFFIDAVIT OF POSTING
CITY OF SAN JUAN CAPISTRANO )
MARY ANN HANOVER, being first duly sworn, deposes
and says:
That she is the duly appointed and qualified City Clerk
of the City of San Juan Capistrano;
That in compliance with State laws of the State of
California and in further compliance with City Resolution
No. 83-12-20-3 and on the 8th day of August 1985 ,
she caused to be posted:
RESOLUTION NO. 85-8-6-5
being: RECORDS MANAGEMENT
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF SAN JUAN CAPISTRANO, CALIFORNIA, ESTABLISHING
PROCEDURES FOR A RECORDS MANAGEMENT PROGRAM
in three (3) public places in the City of San Juan Capistrano,
to wit: City Hall; Old Fire Station Recreation Complex; Orange
County Public Library.
MARY ANN VER, CITY CLERK
San Juan Capistrano, California
CHECK LIST
ORD. NO...._.-_.. RES.
NO..85-8-6-5
Mayor has signed
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Clerk has signed
City Seal stamped
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All blanks typed in
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"Noes" .........................
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in Official Record Book
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Posted to Classified a/jII'd�S`
Copies sent to..�QS
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Legal Publication ordered
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to be published
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No. Affidavits ........... ... ..........._.........
No. Printed copies required ..........
Remarks........................................................
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