HomeMy WebLinkAbout0011_5_Records Mgmt Program - Exhibit D ManualTable of Contents
Introduction..................................................................................................................................................4
Modifications and Additions of This Manual............................................................................................4
Acknowledgments......................................................................................Error! Bookmark not defined.
Contact Us.................................................................................................................................................5
Chapter 1 - Establishing a Records Management System............................................................................6
Designating a Records Coordinator..........................................................................................................6
Record Inventories....................................................................................................................................7
Chapter 2 - Filing & Storage Practices...........................................................................................................8
Choosing Files to Maintain........................................................................................................................8
Selecting Storage Areas ............................................................................................................................8
Naming Conventions.................................................................................................................................9
File System Index....................................................................................................................................10
File Tracking............................................................................................................................................10
Audits......................................................................................................................................................10
Disposition ..............................................................................................................................................10
Chapter 3 - Electronic Files.........................................................................................................................11
Electronic File Storage.............................................................................................................................11
File Formats.............................................................................................................................................11
Storage....................................................................................................................................................12
Chapter 4 - Identifying Records..................................................................................................................13
What is a Record?...................................................................................................................................13
Non-Records ...........................................................................................................................................13
Chapter 5 - Access, Privacy and Freedom of Information..........................................................................15
What is a Public Record?.........................................................................................................................15
What Records are Exempt from Disclosure?..........................................................................................15
Preparing a Record Request Response...................................................................................................16
Fees.........................................................................................................................................................17
Chapter 6 - Disposition of Records .............................................................................................................17
Preservation of Permanent Records.......................................................................................................18
Imaging of Records .................................................................................................................................18
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Destruction of Records ...........................................................................................................................19
Chapter 7 - City of Lake Elsinore Retention Schedule.................................................................................21
Maintenance of the City’s Record Retention Schedule..........................................................................21
Utilization of the Record Retention Schedule.........................................................................................21
Appendix A - Record Disposition Authorization .........................................................................................23
FM 1901-001 Authorization to Disposition Records After Imaging........................................................24
FM 1901-002 Authorization to Transfer Records to the Center for Lake Elsinore History...............Error!
Bookmark not defined.
FM 1901-003 Authorization to Destroy Records....................................................................................25
FM 1901-004 Record Inventory Worksheet – Employee Records..........................................................26
FM 1901-005 Worksheet........................................................................................................................27
Appendix B - File System Naming Conventions..........................................................................................28
Special Characters...................................................................................................................................28
Date.........................................................................................................................................................28
Multiple Versions....................................................................................................................................28
Abbreviations.............................................................................................Error! Bookmark not defined.
Approved Abbreviations............................................................................Error! Bookmark not defined.
Appendix C - Box Label................................................................................................................................29
Appendix D - Sample Public Record Request Response Letters.................................................................30
Record Response Letter (payment required) .........................................................................................30
Extention Request...................................................................................................................................30
No Records Found...................................................................................................................................30
Letter Accompanying Record Response.................................................................................................31
Records Not Held or Disclosable.............................................................................................................31
Appendix E - Conducting a Records Inventory............................................................................................32
FM 1901-006 Worksheet........................................................................................................................33
Appendix F – Government Code Section....................................................................................................34
CALIFORNIA CODES: GOVERNMENT CODE SECTION 6250-6270............................................................34
CALIFORNIA CODES: GOVERNMENT CODE SECTION 34090...................................................................34
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Introduction
Records should be easily accessible, aid staff in completing their work, and not be cumbersome. They
should not be an impediment to work, but instead facilitate the efficient operation of the city. A sound
records management system provides many benefits to the staff that use it and the public who have a
right to examine the City’s records. This manual is designed to assist city staff and department level record
coordinators in the management of the City’s records, and to ensure the preservation of records that
document the history of the City.
In addition to the City’s own established policies on records management the City is obligated to ensure
that they are in compliance with other local, state, and federal mandates that provide direction to the
City regarding record retention.
In 1968 the California State Legislature passed the California Public Records Act (CPRA, Government Code
§6250et seq.) which was modeled after the federal Freedom of Information Act (FOIA) and details what
government information is and is not, available to the public. In general most records created and held by
the City are subject to examination by the public with the exception of 28 specific exemption categories.
These exemptions are discussed in further detail in this manual and are outlinedin California Government
Code §6254.
In California, the elected Secretary of State is charged with establishing a Local Government Records
Program (CA GC§12236). The program was established, with the assistance of the City Clerk Association
of California, in 1999 and is overseen by the State Archives.
Locally the Lake Elsinore City Council and the City Clerk of Lake Elsinore provide direction and adopt
policies regarding the production, maintenance, preservation, and disposition of records. This is mainly
accomplished by the creation, implementation, and adherence to the City’s Record Retention Schedule.
The City’s Retention Schedule is maintained and updated as necessary by the City Clerk.
Scope, Modifications and Additions of This Manual
This manual is intended to be a reference guide for City Staff whose job includes the management of City
Records. Staff with questions about records management that cannot be determined after reviewing AP
100-10 Public Records Requests, the associated procedures, and this manual shall contact the City Clerk
for additional assistance. Because records reflect activities that are constantly changing, the retention
requirements for records frequentlyrequirerevision as well. Consequently this manual,records retention,
and disposition schedules often need modification or additions in order to be realistic and effective. There
may be some retention periods and disposition requirements within this schedule that may change
between major reviews of the schedule. The City Clerk’s Department welcomes all comments and
suggestions concerned with improvement of record retention schedules through modifications and
additions.
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Contact Us
For further information on any records management or preservation questions, please contact:
City Clerk’s Department
130 S. Main Street
Lake Elsinore, CA 95230
(951) 674-3124
Email: sdomen@lake-elsinore.org
Website:
http://www.lake-elsinore.org/city-hall/city-departments/city-clerk/public-records-request-application-
forms
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Chapter 1 - Establishing a Records Management System
Every day the City of Lake Elsinore produces records that document the actions of the government and
the history of the community in which they live. It is the responsibility of City Clerk to effectively maintain
and manage these records and to ensure the continued preservation of those records as essential
evidence that has enduring and permanent value.
Records management is more than retention, storage, and disposition of records; it entails all record-
keeping requirements and practices that allow an organization to establish and maintain control over
information flow and administrative operations. Complete records management systems control and
manage records throughout their life cycle, from their creation through active use, inactive storage, and
final disposition. Records retained beyond their value “just in case” only extendthe agency’s legal liability
in the event of adverse litigation or investigation.
Objectives of a Records Management System:
Develop policies and procedures for records management;
Conduct a survey or inventory of records in all formats;
Utilize technology to create, store, and retrieve records;
Destroy Records at the end of their retention period and document destruction;
Store inactive records in a cost-effective and secure location;
Identify and preserve vital records;
Identify and preserve permanent records;
Develop a disaster preparedness plan to protect and recover records;
Implement filing and indexing systems.
Benefits of a Strong Records Management Program:
Space savings;
Reduced expenses for filing equipment;
Increased efficiency of information retrieval;
Compliance with records retention requirements;
Identification and protection of vital records;
Control over creation of new records;
Identification of historical records.
Designating a Records Coordinator
Each department should identify a person who serves at the department’s primary Records Coordinator.
This person would coordinate the department’s record program, coordinate the legal disposition of
department records, oversee public record requests made to the department, and serve as a liaison
between the City Clerk’s Department and the department. This position does not have to be a formal
designated position whose sole responsibility is records oversight. Often this is a person is a manager or
supervisor in an administrative unit to who the Department Director can delegate decision making
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authority over the department’s records. However, depending on the complexity or volume of a
department’s records the Department Director may chose to hire a Records Coordinator.
Record Inventories
A critical part of establishing a records management system is to identify existing records. Agencies need
to know what records they have, where they are kept, the volume of records, and how they are used.
Inventories are not a list of every single page or document. Instead an inventory is done at the record
series level and should include:
Record series – this should match the City’s Record Retention Schedule. During an inventory a
new record series might be identified and need to be added to the retention schedule.
What format(s) the record is kept in – it is important to note if the record is in multiple places
and/or formats. For example, is the record kept in hard copy in the file room and kept
electronically on a computer drive. Ultimately records should not be held in more than one
location; however, during an inventory it is important to note were all records are so as to
identify duplications.
The date range of the records – it is important to be as specific as possible, making sure to
include any gaps in the record series.
Level of Use – is the record actively or frequently in use, inactive storage, or at/near final
disposition.
Volume of collection –approximate the size of the record collection. Are their twelve (12) boxes
of records, nine (9) file cabinets, etc.
Record inventories, when well planned; need not take days or weeks of staff time to conduct. The City
Clerk’s Department is available to prepare and assist staff with conducting record inventories and
subsequently creating a record management system. It is recommended that the inventory begin with
active records and those that are unique to the function of the department. Include all records in the
inventory regardless of format or storage location. Once these series are identified it should be described
in such a way so that a person who has no knowledge of the department or city can easily understand
what is contained in the series.
See Appendix E for Record Inventory Form
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Chapter 2 - Filing & Storage Practices
When discussing filing or records, generally thoughts turn to paper files and paper filling systems;
however, in the City of Lake Elsinore, filing and retention practices are applicable to both electronic and
hard copy records. All of the principles applicable to the paper filing system are also important to an
electronic filing system and should be applied the same. When creating paper or electronic filing systems
the department should be mindful and create a filing system that is simple, easily accessible by all staff,
used department wide, and closely monitoring items filed to ensure proper and timely disposition.
There are several different ways to establish a filing system: alphabetical, numerical, alphanumeric, or
series driven. There are pros and cons to each type of filing systems and the alphabetical by subject has
been selected, for citywide implementation. Regardless of what type of filing system a department uses,
it is imperative that records are “filed” or kept in accordance to the City’s Record Retention Schedule.
Contact the City Clerk’s Department for assistance developing a filing system.
Choosing Files to Maintain
Maintaining filing systems can be very costly; particularly paper filing systems as they require the purchase
of filing supplies, space, and staff time to establish, manage, and retrieve/file materials. Record
coordinators should be mindful when determining which records departments are going to maintain.
Coordinators should consider the following:
Is this record listed on the City’s record retention schedule? All records maintained at the
department level should be listed on the Citywide or department specific portion of the record
retention schedule.
Does this record exist electronically? Records that exist electronically should not be printed for
the sole purpose of maintaining a paper copy.
Is my department the office of record? If another department is responsible for maintaining a
record a department may choose to keep it for a short time in a working file but there is no need
to maintain duplicate files. For example,the City Clerk’s Departmentis the office of record for city
council staff reports, resolutions, and ordinances. Departments do not need to keep these records
in paper or electronic files as the records are easily accessible through the Citywide Content
Management System (CCM).
Selecting Storage Areas
When deciding where files are going to be located several things should be considered:
Is the file area easily accessible by record staff, centrally located to the workgroup that will be
using the files?
Is the room appropriate for records (i.e., space for the cabinets to be opened and closed with
ease, climate controlled (not damp or wet), well lit and free of critters)?
Can the room be secured to permit the storage of sensitive or confidential records?Can the access
be restricted to prevent unauthorized removal and orderly return of files?
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Only shelving designed for file storage should be utilized. Paper is very heavy and files can add up quickly.
Shelving and cabinets should be anchored to prevent toppling or collapse. Select shelving that can hold a
total of 50 pounds per square foot. The shelves should be spaced so that record storage boxes can be
easily placed and removed.
It is not ideal to store frequently accessed records in storage boxes. Reserve the use of storage boxes for
records at or nearing the end of their active period orthat are going into long term storage. Boxes should
be uniform, it is recommended that boxes 15”X10”X12”, be used. Boxes that are larger are more difficult
to manage and move. Odd or multiple sized boxes do not stack well, and can cause a dangerous collapse
or damage records.
Boxes should be filled but not packed so tightly that records cannot be easily removed or inserted into
the box. When storing records in boxes, record coordinators should be sure to leave room for any records
that might need to be inserted into the box at a later date.Do not stack boxes directly on the floor, elevate
them on shelves in case of leaks or flooding. Boxes should be clearly labeled with the contents and
disposition information on the outside of the box, on both short ends so that it is always showing. See
Appendix C for box label suggestions
Naming Conventions
When creating a naming convention system, the Record Coordinator should consider utilizing commonly
understood words and terms for file naming, refraining from using abbreviations or jargon. The naming
convention that is established for a paper filing systembe designed so that it can be used in an electronic
filing environmentand vice versa. There should be no more than five (5) components/keywords/metadata
sections to a file name. Traditionally two of these items are the record category and date. Dates should
always consist of a four-digit year; the recommended date format is MMDDYYYY. When departments
issue project numbers, permit numbers, or something similar where the year is used, the year should be
a four-digit date. For example, a police report should be 2011-0001, not 11-0001. It is recommended that
department’s use categories established in the Record Retention Schedule, but may choose to develop
their own category list. For example, departments filing grant records might choose the following
convention.
Grant Name / Date Grant Issued COPPSGrant_ 12012010
However, a file name may be more extensive. For example,a file regarding a building permit may contain
the date issued, the permit number, and the location of the permit.
Permit Number / Date Issued / Location COM2010-0001_12012010_1234MainStreet
Note in this example that a four-digit year is used and the word street is spelled out. This is important
because the City holds recordsfrom the 1800’s, 1900’s and 2000’s, this is confusing in a two-digit format.
Equally important is to spell out all words, as different people will abbreviate the same words differently.
Consult the Records Manager for assistance as there are some universal records management
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abbreviations. See Appendix B for additional naming convention standards and approved city
abbreviations.
File System Index
When a filing system is established the department should index what records are filed and where they
are filed.File location information is contained on the City’s Record Retention Schedule. The index can be
as high level as listing the category of the record and the address of the files location, or as specific as
listing the room, file cabinet, and drawer where the file is kept. This index should be updated as records
are added or removed from the system and reviewed annually.
File Tracking
It is important to track files as they temporarily leave the filing cabinet, room, or are recalled from off-site
storage. A sign out card should be used and inserted into the location from where the file was removed.
A sign out card will show the date of the removal and who has the file. This will maintain the integrity of
the system and aid in the retrieval of the record should it be needed while it was checked out.
Audits
Regular record audits must be conducted. This will alert the Records Coordinator of the need to add a
record type or series to the retention schedule as well as purge records that have come to the end of their
life cycle.
Disposition
In a paper filing system, it is very helpful that when the folder is set up the Record Coordinator notes the
date that the record is eligible for disposition on the outside of the folder along with the record series
number from the retention schedule. If the folder contains records that will have different disposition
dates, note that on the exterior of the folder. This will alert the Record Coordinator that the folder will
need to be reviewed periodically for dispositionable items. For electronic records held in CCM this date is
automatically assigned when the record is entered in the system. If the department is using an electronic
system other than CCM, this information should be added to the file title or in the metadata/properties
of the file.
It is important to remember that just because a record exists, or a record is created it is not required,
expected, or feasible that the record will live in perpetuity. Filing systems need to be annually reviewed
and disposed of in accordance with the records retention schedule. Permission must be requested prior
to the disposition of records, and the approval paperwork will then serve as the record of what occurred
with the records.
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Chapter 3 - Electronic Files
The City of Lake Elsinore utilizes an electronic repository to store both permanent and transitory
documents. All electronic records are subject to the retention schedule and shall be dispositioned in
accordance with the retention schedule. The Citywide Content Management System (CCM) is the City’s
official repository for electronic records.
California Government Code does permit the City to destroy some original documents after they have
been scanned in accordance with the code. CCM meets the requirements of this code section. However,
some records of historical nature, that begin as hardcopy records shall be retained regardless if they have
been scanned. This would include resolutions and ordinances of legislative bodies.
Electronic File Storage
While in the previous chapter it was noted that the guiding principles of file management are the pretty
much the same for paper/hard copy files as they are for electronic files, some differences still remain.
While electronic files should be treated the same way as paper files when considering naming
conventions, accessibility, retention and disposition; electronic files can be assigned additional
information known as metadata.
According to the National Information Standard Organization, “Metadata is structured information that
describes, explains, locates, or otherwise makes it easier to retrieve, use, or manage an information
resource.” The City of Lake Elsinore uses sets of clear and ordered metadata to categorize records stored
in CCM. This is called descriptive metadata used for basic identification through preset fields.
Strong metadata sets are constructed from clearuniversally understood vocabularies. Generally,no more
than five (5) fields of metadata should be required for a record category. It is important to identify the
most likely material that would assist a person searching for a record. The metadata requirementsshould
not be so complex or extensive that it is difficult or cumbersome to maintain.
File Formats
When selecting the format that will be used for document storage there are two main considerations:
1. What electronic format is permitted for archival storage or records by the California Secretary of
State? and
2. What format is universally accepted for use by staff and the public?
When selecting from the file formats permitted by the Secretary of State, it is important to consider the
accessibility of the format: is it something that is commonly understood? Most importantly is the format
that has been selected something that has had market longevity and proven migration examples.
Electronic records can be invaluable, but they can also become obsolete or worse unusable, if the format
they are stored in cannot continue to migrate to new and available versions.
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CCM allows storage of many different formats including files originating in Microsoft Office, Portable
Document Format and Format/A (PDF and PDF/A), eXtensible Markup Language (XML), and Rich Text
Format (RTF), as well as video and audio files.
Storage
There are a variety of ways to store electronic files and media:
CD/DVD or other removable drive;
On a local computer;
On the City network via a network drive folder;
CCM.
Storage on CD/DVD, removable drives, and/or a local staff computer is completely inadvisable. Records
stored on these mediums are very vulnerable and often difficult,if not impossible,to restore if lost, stolen,
or damaged. File storage on the City’s Network via a shared or network drive does provide more security
and is backed up for disaster recovery, but still is not the optimal storage place. Network drives usually
have specific or limited access, thereby preventing the easy access of City Records. Additionally, records
stored on network drives are rarely reviewed or purged and are not automatically retentioned. Ideally all
of the City’s electronic records would be stored in CCM. The system provides security and redundancy as
well as placing retention on the items stored in the system.
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Chapter 4 - Identifying Records
The simplest way to identify if material is a record is to consult the City’s Retention Schedule. If the
material in question is identified on the schedule, records coordinators are obligated to maintain the
record in accordance with the schedule. One of the most challenging aspects of records management can
be determining if a document or media is a record when it is not identified on the schedule. In these
situations, the Records Coordinator should conduct the records test on the following page to assist them
in determining an initial finding regarding the record’s status. If it is unclear if the material is a record or
if it is clear that the material is a record, but is not includedon the schedule the coordinator should contact
the City Clerk’s Department for additional assistance.
What is a Record?
Some records, because of their enduring administrative, fiscal, legal or historical value, should be
permanently retained. These records require that special care and consideration be given to their storage
conditionsand enduring preservation. Examples of permanent records include year-end reports; meeting
minutes from Brown Act governed bodies; resolutions, and ordinances. Most records do not have values
that warrant their permanent preservation. Those records with short-term value should, upon reaching
the end of the retention period, be destroyed.
Records are any writing or recording that contains information related to the conduct of the public's
business prepared, owned, used, or retained by the City regardless of physical form or characteristics.
"Regardless of physical form" means that video,audio files and data in a computer system used to conduct
business are also records.
Non-Records
Even though records include a broad spectrum of recorded information, not all information held by the
City is a record. Examples of non-records include the following materials:
Identical copies of documents maintained in the same file, blank forms:
Extra copies of printed or processed materials;
Superseded manuals and other directives (maintained outside the office of record);
Messages: texts, instant messaging (outlook, facebook) and voicemails;
Materials received from other agencies, people, or businesses that require no action;
Catalogs, trade journals and other publications or papers received from government agencies,
commercial firms or private institutions that require no action and are not part of an action case
record.
Non-records do not require retention scheduling or destruction authorization or reporting. To control
excessive accumulation, it is necessary to keep only current, useful materials and to destroy non-records
immediately after needs have been satisfied. Staff should take care not to file non-record material with
records.
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What is a Record?
1. Was material mandated by statue or
regulation?
2. Does the material support a financial or
legal claim/obligation?
3. Is the material required to operate a
City program or provide program support?
4. Was the material created or received
during the conduct of City business?
5. Does the material document or
facilitate:
The City’s actions
Formulationof polices & decisions
City’s directives
Board, committeemeeting notes
6. Does the material protect government
and individual rights and interests?
7. Was the material filed, stored, or
otherwise systematically maintained by
the City?
8. Is the material appropriate for either
permanent or temporary preservation by
the City?
9. Does the material have administrative
fiscal or legal value?
If you answered yes to any of the questions the
material is most likely an official record. This
could include but is not limited to :
●Decision Papers;
●Correspondence;
●Video or Audio Files;
●Data Bases, and Data Storage Files;
●Reports;
●Publications.
If you answered no to the questions the
material is most likely a non-record. This could
include but is not limited to:
●Materials that do not contribute to an
understanding of the City's operations or
decision making processes;
●Matrials that have no substantial
programmatic value;
●Extra copies of offical records that are
obtained elswhere such as council staff reports.
●Transitory communications such as texts,
instant messaging, subscriptions,and voicemail
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Chapter 5 - Access, Privacy and Freedom of Information
The City of Lake Elsinore understands and supports the public’s need and more importantly their right to
access the majority of the records created and maintained by the City. The CityClerk shallaccept, review,
and respond to all public record requests received, regardless of how they were submitted, by whom they
are received from or the reason the request was submitted in accordance with the California Public Record
Request Act. (CPRA, California Government Code §6250) The City Clerkwill assist in identifying responsive
records by, where appropriate, describing the City’s records, location of records, and providing
suggestions in order to avoid obstacles to records. Staff other than the City Clerk receiving PRAs shall
immediately forward the request to the City Clerk’s Department.
The CityClerkis obligated to respond to all requests within ten (10) calendar days of receipt of the request;
although most requests can and should be fulfilled in less time. There is nothing in the CPRA that permits
the City Clerk to hold a response for ten (10) days when a record is readily accessible. It is important to
note that “response” does not necessarily mean the production of records. For the purpose of a public
record request a response may be a letter advising the requestor that responsive records are available for
review, a letter that states that the City does not have any records responsive to the request, or that the
City is invoking their right for a 14-day extension (CA GC §6253.9(c)) should unusual circumstances exist.
What is a Public Record?
Per the California Public Records Request Act (CA CG §6250 -6270): A “public record” includes any writing
containing information relating to the conduct of the public’s business prepared, owned, used or retained
by the City of Lake Elsinore regardless of physical form or characteristics. Records are not just printed or
hand written documents, they may be video recordings or information in a database. “Writing” means
handwriting, typewriting, printing, photo stating, photocopying, photographing, transmitting by
electronic mail or facsimile, and every other means of recording upon any tangible thing, any form of
communication or representation, including letters, words, pictures, sounds or symbols or any
combination thereof, and any record thereby created, regardless of the manner in which the record has
been stored. Transitory Communications such as texts, instant messaging (outlook, facebook, etc.) and
voice mail messages that are temporary or of a brief duration are not records.
What Records are Exempt from Disclosure?
While the intent of the California Public Record Act is to protect the public’s access to records, it also
outlines what information is not covered by the Act and what information the City is prohibited from
releasing. The Act exempts certain records from disclosure in whole or in part, they are outlined in section
6254 of the code. This does not mean they are not public records or that disclosure is prohibited. The City
may withhold the records, but can allow greater access if it wishes. (CA GC§ 6253(e)). However, "selective"
or "favored" access is prohibited; once it is disclosed to one requester, the record is public for all. (CA GC§
6254.5). Many categories of records are exempt, some by the Act itself, (CA GC§§ 6254(a)-(z)) and some
by other laws (CA GC§§6275-6276.48). Below is a partial listing of exemptions:
Employees' private papers, unless they "relat[e] to the conduct of the public’s business [and are]
prepared, owned, used, or retained by the agency." (CA GC §6252(e)).
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Computer software "developed by a state or local agency ... includ[ing] computer mapping
systems, computer programs, and computer graphic systems.” (§§ 6254.9(a),(b)).
Records not yet in existence: The CPRA covers only records that already exist, and an agency
cannot be required to create a record, list, or compilation. "Rolling requests" for future-generated
records are not permitted.
Attorney-Client discussions are confidential, even if the City is the client. (§§ 6254(k), 6254.25,
6276.04)
Preliminary drafts, notes and memos may be withheld only if: (1) they are "not retained...in the
ordinary course of business" and (2) "the public interest in withholding clearly outweighs the
public interest in disclosure." Drafts are not exempted if: (1) staff normally keep copies; or (2) the
report or document is final even if a decision is not. (§ 6254(a)) Where a draft contains both facts
and recommendations, only the latter may be withheld. The facts must be disclosed. (CBEv. CDFA.,
171 Cal.App.3d 704 (1985)).
Home Addresses in DMV, voter registration, gun license, public housing, local agency utility and
public employee records are exempt, as are addresses of certain crime victims. (§§6254(f),(u),
6254.1, 6254.3, 6254.4, 6254.16,6254.21).
Records concerning agency litigation are exempt, but only until the claim is resolved or settled.
The complaint, claim, or records filed in court, records that pre-date the suit (e.g., reports about
projects that eventually end in litigation),and settlement records are public. (§§ 6254(b),6254.25;
Register Div. of Freedom Newspapers, Inc. v. County of Orange, 158 Cal. App. 3d 893 (1984)).
Personnel, medical and similar files are exempt only if disclosure would reveal intimate, private
details. (§ 6254(c)). Employment contracts are not exempt. (§ 6254.8).
Police Incident reports, rap sheets and arrest records are exempt (Penal Code §§ 11075, 11105,
11105.1), but information in the "police blotter" (time and circumstances of calls to police; name
and details of arrests, warrants, charges, hearing dates, etc.) must be disclosed unless disclosure
would endanger an investigationor the life of an investigator. Investigativefiles may be withheld,
even after an investigation is over. (CA GC § 6254(f)). Identifying data in police personnel files
and misconduct complaints are exempt, but disclosure may be obtained using special procedures
under Evidence Code section 1043.
Financial data submitted for licenses, certificates, or permits, or given in confidence to agencies
that oversee insurance, securities, or banking firms; tax, welfare, and family/adoption/birth
records are all exempt. (§§ 6254(d),(k),(l), 6276).
Records Coordinators in doubt of whether a record should be released, exempted, or redacted should
contact the City Clerk’s Department.
Preparing a Record Request Response
The California Public Records Act requires that the City will respond to requests for public records within
ten (10) days. This does not always mean that the records will be produced for the requestor, although
the City Clerk shall not wait until the 10th day to provide a request or records if it can be done sooner. In
some instances, a response might be advising the requestor the records are available for their review,
City of Lake Elsinore | City Clerk’s Department P a g e |17
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notification that the city does not hold any responsive records, or initiating an extension of the response
period. Responses are generally done in writing (either traditional mail or email), when possible. If the
requestor cannot be reached in writing, staff should make a note on the request form of any telephone
or in person communication. See Appendix A for sample response letters.
Once the potentially responsive documents are collected, they must be reviewed to ensure that only
records permitted to be disclosed are released, and redacted if required. The City Clerk will notify the
requestor that the records are available for review, or prepare them in accordance with the initial request.
The California Public Records Act requires that the City must provide records to the public in the format
in which the City maintains the records. This does preventthe City from offering the requestor a different
format, only that they cannot require a requestor to take it in an alternative format. For example, if a
record only exists in paper the City is not required to put it into any other format or force the requestor
to take it in any other format other than paper. However, the requestor may prefer and the City is
permitted to provide, an electronic copy of the record. The City wouldn’t be able to force the requestor
to take the document via email, if they prefer to come in and examine the record in person or purchase a
photocopy.
The City is not required to create a record when a request is made. For example, a requestor may ask for
a list of the address of all city buildings. If a list does not existstaff is not required to make a list. However,
if there are records in the City’s possession that contain the requested information (such as a map that
marks each location, or property deeds), the records must be provided. There are very limited situations
where creating a record may be appropriate. Consult with the City Clerk’s Department to determine the
best response.
If a request has been made for copies, the City Clerk shallrequire that payment is received prior to making
copies. In the response letter advise the requestor that the records responsive to their request have been
identified, the total cost of reproduction, and that copies will be made once payment has been received.
Fees
Access to review or examine public records is free. Requestors may review the requested items during
regular business hours, at a time and place that will not disrupt day-to-day operations in the presence of
a city employee, at no charge. Records may be duplicated. Duplication fees are listed on the City’s Fee
Schedule and should be paid prior to providing copies of records. Duplication of official building plans will
not be produced by the City until the City receives written permission to do so from the licensed
professional who prepared the plan(s) and the building owner.
A requestor cannot be charged for the staff time it takes to complete a request, the cost of retrieving files
from offsite storage, or any incidental research fee.
Chapter 6 - Disposition of Records
There are several distinct periods in the lifecycle of a record. They are commonly referred to as the active
period, inactive period, and final disposition period. The active period will vary according to the record,
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but is generally characterized as a record that is used or referred to frequently during the course of
business and should be readily accessible. The inactive period is when the record’s regular use declines or
ends; however, the record is still required to be held. The final disposition is generally the end of the
record’s life and a final decision is made about the record. This can include the scanning of a record for
electronic storage, destruction of the record, or for the transfer to The Center for Lake Elsinore History.
The proper dispositioning of records is important as it helps protect vital andhistoric records and ensures
compliance with regulatory retention requirements. Proper record retention also helps improve the City’s
efficiency and manage the costs of file maintenance, retrieval, and storage.
There are two (2) main types of record dispositions utilized by the City: imaging of records in order to
purge existing hard copy records and the destruction of non-historical records at the end of the specified
retention period. Authorization must be obtained from the City Manager, City Clerk’s Department, and
the City Attorney priorto any destruction of records.This is achieved by the proper completion of records
management forms FM1901-001 thruFM1901-004. See Appendix A for copies of these forms, and below
for further detail about processing requests.
Preservation of Permanent Records
A fundamentalobligation of local government is to care for its permanent records. The records that have
been identified as permanent require special handling and storage if they are to be preserved.
Temperature, humidity, light, and air can all be detrimental to records and exposure to these elements
can cause degradation and even destruction of records.
It is difficult to foresee in the moment what records may be of historical value in the future. When a record
is being evaluated for final disposition, City staff may contact the City Clerk’s Department.
Imaging of Records
As previously mentioned the California Government code does permit the City to destroy some original
documents after they have been scanned in accordance with the code. The Citywide Content
Management System (CCM) meets the requirements of this code section. However, some records of
historical nature, which began as hardcopy records should be retained regardless if they have been
scanned. This would include resolutions, ordinances, and minutes of Brown Act governed bodies.
Before embarking on a major project to scan records, staff should consult with the CCM Team. This team
is prepared and has the expertise to evaluate your current records and assist you in developing a plan to
convert existing documents into electronicfiles, and migrate the filesto CCM. There are strict parameters
surrounding the migration of records into CCM, staff needs to ensure all of the conditions have been met,
including cost, time, and processes have been identified prior to imaging records. It is important to note
that CCM is much more than a repository for records. Thissystem was also selected for its robust workflow
capabilities. Records coordinators should consider what is generating paper records in their department
and contact the CCM Team to determine if any or all of the process can be converted into an electronic
process contained within the CCM system.
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Records ideal for CCM are ones that may be:
Used by many departments or many people in the same department;
Permanent records, particularly those that are accessed regularly;
Records that have a long retention period;
Records that start and end in a electronic format;
Public records that are frequently requested by the public;
Record series that are voluminous, making onsite storage impossible, but that are accessed often
creating offsite storage and retrieval fees.
Staff should not scan and store records on local or internal drives. These drives often do not provide the
same searching, storage, or security features as CCM. Most importantly these drives are often not purged
creating a strain on the City’s Information Technology infrastructure, and not in compliance with the City’s
Record Retention Schedule.
To image records for CCM and subsequent destruction,staff must first complete the CCM Project Request
Form; and subsequently receive authorization from and develop an imaging plan with the CCM Team.
Once the imaging is completed and the images have been reviewed for quality, staff can request
authorization to destroy the hard copy version of the record. Staff shall complete form FM 1901-001 and
using their electronic signature, will sign the form as the record coordinator preparing the record and
obtain the Department Director’s signature in the same manner. The signed and completed form is then
forwarded to the City Clerk’s Department for review to ensure compliance with the City’s Record
Retention Schedule. The request is then forwarded to the Office of the City Attorney for review to ensure
the record does not need to be held due to an ongoing or pending investigation or litigation. Staff should
also complete and attach form FM1901-003 or 004, this form is a comprehensive inventory of the records
for potential transfer. Once the request is completed, these forms will serve as the official record of the
form’s history and demonstrate compliance with the retention schedule.
Destruction of Records
The records classification and retention periods in this manual constitute legal authority for retention and
disposal of official records. No records shall be destroyed until they have met the minimum retention
period listed in this manual, and disposition has been approved by the City Clerk’s Department and City
Attorney. In cases where there is no schedule for a particular record series, contact the City Clerk’s
Department for assistance.
The retention schedule prescribes the method of disposition (destruction or secure destruction).Records
requiring “destruction” may be disposed of by traditional recycling. Records requiring “secure
destruction” must be disposed of in a way that the record is no longer recognizable or usable by any
means. Records that are destroyed shall either be done under the supervision of a City employee or by
an approved agency. Upon completion of the destruction the supervising employee will attest to the
destruction by signing the destruction request form or the approved agency will supply the City with a
Certificate of Destruction.
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Staff can request authorization to destroy records that are at the end of their retention schedule by
completing form FM 1901-002 and using their electronic signature. They will sign the form as the record
coordinator preparing the record and obtains the Department Director’s signature in the same manner.
The signed and completed form is then forwarded to the City Clerk’s Department for review to ensure
compliance with the City’s RecordRetention Schedule. The request is then forwarded to the Office of the
City Attorney for review to ensure the record does not need to be held due to an ongoing or pending
investigation or litigation. Staff shall also complete and attach form FM1901-003 or 004, this form is a
comprehensive inventory of the records for potential transfer. Once the request is completed, these forms
will serve as the official record of the form’s history and demonstrate compliance with the retention
schedule.
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Chapter 7 - City of Lake Elsinore Retention Schedule
The City’s Record Retention Schedule establishes the retention periods for records and authorizes
dispositions for many of the administrative, fiscal and legal records of the City. Retention periods are
based upon federal, state, and local mandates, business needs, and general knowledge as to how long
records should be kept. Staff shall implement the schedule as it applies to their department’s records. The
schedule is subject to the following exceptions and limitations:
Before retaining a record longer than the specified retention period, the department should
contact the City Clerk’s Department for assistance. Records should not be maintained longer than
the retention period indicated on the schedule. The unnecessary retention of records can be
expensive in space and filing equipment, and costly litigation or discovery processes.
This schedule generally reflects audit requirements in its prescribed retention periods, but audits
are not always completed in a timely fashion. Therefore, any record that has an audit
requirement, or becomes subject to audit, must be retained until completion of that audit
regardless of its stated retention period in the general schedule.
This schedule does not authorize destruction of records that could be deemed relevant to current
or pending litigation or investigations.
Retention and disposition of records that are common to many departments are included in the Citywide
Schedule. Records unique to particular City Departments are addressed in individual department
schedules. It is important to note that the City’s Record Retention Schedule is a comprehensive list of the
records retained by the City. The Retention Schedule includes records that are releasable under the
California Public Request Act (CPRA), as well as records that are exempt from the Act . While most of the
records the City holds are releasable, some are not.
Maintenance of the City’s Record Retention Schedule
As the nature of the way the City conducts business is ever changing, we recognize that records, record
types, and record retentions will need to be periodically updated. A comprehensive overhaul and review
of the schedule is planned for every five years. However, minor revisions and additions may need to occur.
When these situations are identified,staff should contact the City Clerk’s Departmentwho will initiate the
schedule revision. Revisions are generally submitted by staff at the department level, and then are
reviewed by the City Clerk’s Department and the Office of the City Attorney.
Utilization of the Record Retention Schedule
The retention schedule is intended to direct City Staff on how long to hold City records, when and how to
disposition the records after they have exceeded their lifecycle. On the next page is a sample of a record
from the schedule, with category explanations.
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Record # Record and Series Name
File record numbers are composed of the department abbreviation and are
followed by four numbers. Whenever possible records have been combined
into a series of like items for example “Ceremonial Documents”. In some
cases records are so unique that their record name stands alone such as
“Building Permit”.
Also Called:When records go by more than one name, the alternative names are listed
here.
Function:In this section the purpose or function of the record is described.
Content:A series of records may be comprised of several document types, documents
that most likely will be found in this series are listed.
Total Retention:This is the total amount of time that the City is required, either by federal,
state, local statue or internal policy.
Disposition:Disposition refers to what will be done at the end of a records lifecycle; either:
destroyed or destroyed securely.
Statutory
Reference:
This section will be used to note any applicable government code related to
the record’s retention.
Location Where the record is stored/can be found.
Note:Any other notes, exceptions, or special instructions relating to the record or
record series are listed here.
Approval Date:This is the date that the specific record or record series was approved or
updated.
CW-0004 Calendar and Scheduling Records
Also Called:Appointment books, work schedules, planners, daily assignment sheets, shift
schedules.
Function:Records kept that document and facilitate the routine planning and scheduling
of meetings, appointments, daily tasks, work assignments, shift assignments,
vacation and/or day off schedules.
Content:May include, but is not limited to weekly schedule sheets, work schedules,
appointment logs, and work assignment memos.
Total Retention:2 years
Disposition:Destroy
Statutory Reference:CA GC §34090
Location:CCM
Note:
Approval Date:October 21, 2010
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Appendix A - Record Disposition Authorization
All records management forms have been created using Adobe, are completely fill-able, and utilize
electronic signature. Forms must be signed using the electronic signature feature and submitted
electronically to the City Clerk’s Department.
Authorization is required for the disposition of any andall records, with the exceptions of copies for which
the department is not the official record holder. For example, the City Clerk’s Department is the record
holder for all City Council Staff Reports. Any department that is keeping a copy of a staff report in any
form may dispose of it without further authorization.
There are four (4) forms for record disposition, they can be found on the City Clerk’s Page on SharePoint
under records management. When requesting authorization to image and disposition or destroy records
a coversheet must be completed (FM1901-001 thru FM1901-002) and accompanied by the appropriate
record inventory. The coversheet and inventory will then serve as the official record and are permanent
documents, which will record the City’s history of record management.
FM1901-001 Authorization to Disposition After Imaging
Use FM1901-001 to request authorization to disposition records after they are imaged. Once
authorization has been grantedto image, index, and properly quality check the original records, they may
then be dispositioned.
FM1901-002 Authorization to Destroy Records
Use FM1901-002to request authorization to destroy records that are at the end of their retention period.
Destruction may be “destroy” or “destroy securely.” Records requiring secure destruction must be
shredded or otherwise rendered unidentifiable or usable.
FM1901-003 Record Inventory Worksheet – Employee Records
Use FM1901-005to list all employee records that are being recommended for disposition. Each employee
must be listed with his or her start date.
FM1901-004 Record Inventory Worksheet – Non Employee Records
Use FM1901-004 to list all record series being recommended for disposition. Each series must be listed,
not each record.
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FM1901-001 Authorization to Disposition Records After Imaging
After completing the upper portion of the form as shown below, the department record coordinator will
use Adobe Signature to sign, then obtain the division or department head’s Adobe signature, attach the
appropriate inventory worksheet and forward form to the City Clerk’s Department electronically for
processing. Once approval is granted the form and inventory will be returned to the department to
complete the disposition process, electronically sign to acknowledge that disposition is complete and
electronically return to the City Clerk’s Department.
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FM1901-002 Authorization to Destroy Records
After completing the upper portion of the form as shown below, the department record coordinator will
use Adobe Signature to sign, then obtain the division or department head’s Adobe signature, attach the
appropriate inventory worksheet and forward form to the City Clerk’s Department electronically for
processing. The form and inventory will be returned to the department for destruction. Once the records
have been destroyed the department record coordinator will sign and return to the City Clerk’s
Department electronically. If the records were destroyed by a 3
rd party, the destruction certificate shall
be attached to the form and inventory.
FM1901-003 Record Inventory Worksheet – Employee Records
When requesting authorization to disposition employee records, each employee must be listed on form
FM1901-003. This form must accompany the appropriate authorization coversheet (FM1901-001 – 002,)
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FM1901-004 Worksheet
When requesting authorization to disposition records, each record series must be listed on form FM1901-
004. This form must accompany the appropriate authorization coversheet (FM1901-001 – 002). Each
record series need only be recorded one on the sheet, see the example below.
Appendix B - File System Naming Conventions
Clear file names are the key to file accessibility. We no longer have a limited number of characters
available for a file name and no longer have a need for acronyms and made up abbreviations. (See more
about abbreviations below)A good rule of thumb is to limit the name to five (5) or less metadata fields
and twenty-five (25) characters or less. Files and records are increasingly electronic and used by multiple
staffers, because of this a file should not only be readily accessible but easily identifiable as well. It is time
consuming and frustrating to have to open numerous files looking for the right one because the file was
poorly named.
Regardless of what naming convention is utilized by the department and/or City; to be effective it must
be consistent throughout its application. This includes not only what is contained in the file name, but the
order as well. Contact the City Clerk’s Department for assistance developing naming conventions and/or
how to manage exceptions and other naming convention issues.
Special Characters
In general avoid special characters such as / \: * ? < > | [ ] & $, etc. In many systems these symbols already
have a meaning or specific task, and using these symbols can alter your record and in some instances
errors or lost files. It is best to avoid using spaces or dashes in file names. If a delineator is needed to
provide clarity in a file name use underscore “_”. (ex: Budget_Journal_2011)
Date
As the City of Lake Elsinoreis well over 100 years old, utilizing a dating system that does not include a four
(4) digit year can be confusing. For example,the when the date 01/01/09 is used is the record from January
1, 2009 or January 1, 1909? To alleviate this confusion dates including only a four (4) digit year should be
used. The dating convention approved for records being held in the CCM system is: MM/DD/YYYY or
01/01/2011.
Multiple Versions
When a file has multiple versions, notate the version number in the file name, utilizing a version control
number. A version control number is typically expressed as “v1.0”. The initial version would be v1.0 and
any subsequent minor changes expressed as v1.1, v1.2, v1.3 etc. Major revision or updates would be
expressed by changing the first number: v2.0, v3.0. When previously versioned records are complete
remove the version number and replace with “FINAL.” The record should retain the “FINAL” designation
in the title when the versions are also being retained. If the previous versions are purged, the final record
name can be changed to remove any status indicators (version number or final designation).
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Appendix C - Box Label
When preparing records to be stored in record boxes it is crucial that boxes are clearly labeled and
organized so that they can be easily accessed. It is recommended that labels be applied to the short end
of each box so that the contents can be easily reviewed. Records boxes should be filled, but not packed
so tightly that records cannot be retrieved or inserted into the box. A copy of the inventory should also
be placed inside the box on top of the records. Below is a sample box label. Minimally the box should be
labeled with the record series number, record description, date range, and the date the entire box is
eligible for destruction.
Department & Division:Box #
Contents
Record Series
Number
Record Series Description/Note Date Range
Inventoried By (Print Name)/Date:Date Eligible for Destruction:
Department & Division:Transportation/Office of Director Box # 4 of 13
Contents
Record Series
Number
Record Series Description/Note Date Range
DOT-0001 City Infrastructure Project (admin)1/1978 –12/1990
Inventoried By (Print Name)/Date:
Tom Smith 4/5/1995
Date Box Eligible for Destruction:1/2011
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Appendix D - Sample Public Record Request Response Letters
Record Response Letter (payment required)
The City received a public records request from you dated March 25, 2010. In your request you asked for:
complete financial information regarding the Hart Trust Fund going back to the early 1990s specifically: 1)
all expenditures payments (not budgets), 2) copies of invoices from vendors, and 3) written authorization
of city officials for each expenditure.
In your letter you expressly request to be advised of any duplication costs in advance. As a result, in
response to the item “copies of invoices from vendors” the Finance department has run a report showing
all of the invoices received during the past two years. The report shows that there are 396 invoices on file,
the duplication cost to receive copies of these invoices would be $39.75. After a thorough review of our
records, fourteen City Council resolutions have been passed that are responsive to your request. The cost
of copies of these resolutions is $4.50. (Please note the cost of duplication is set forth by the City Council
in the annual fee and charge report: $0.25 for the first 8.5x11 inch sheet, and $0.10 for each additional
page.)
Prior to making copies of any of the documents described above, please remit full payment so that the
City can authorize the duplication of these records. You may bring or mail a payment to our office to my
attention at the address below. If you plan to pay by check please make it payable to “The City of Lake
Elsinore.”
I am happy to assist you with your request and am available to discuss any questions or clarifications you
may have regarding your request. I can be reached in the office directly at (951) 674-3124 ext. 269, via
email at sdomen@lake-elsinore.org, or in person by appointment.
Extention Request
This letter is in response to the Request for Public Records that you submitted to the City Manager’s Office
on January 25, 2011. You requested a list of all city owned properties, including additional details such as
when the city purchased the building, the address, and the monthly mortgage payments of the building.
Consequently, because of the large volume of materials included in your request, additional time is
necessary to properly respond to your request. (See Government Code § 6253, subdivision (c) (2).) We
will notify you within fourteen (14) days when the requested records are available for your inspection and
copying, and whether any documents are exempt from disclosure.
No Records Found
This letter is in response to the Request for Public Records that you submitted to the City Code
Enforcement Office, received by the City Clerk’s Office on July 22, 2009. You requested all citations issued
between April 22 – July 22, 2009 for parking within 15 feet of the fire hydrant on 29
th Street, between P
and Q Streets.
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After a thorough review we have no records responsive to your request. If you have any questions or
additional requests, please do not hesitate to contact me. I can be reached in the office directly at (951)
674-3124 ext. 269, or via email at sdomen@lake-elsinore.org . It has been a pleasure to assist you.
Letter Accompanying Record Response
Please see the enclosed documents that have been provided in accordance with your request for
documents under the California Public Records Request Act relative to 3803 40th Street in the city and
county of Lake Elsinore, CA.
To the best of my knowledge the enclosed document (20 pages – 2 pages of text report and 18 photofile
pages) are a complete and true record of documents held by the City of Lake Elsinore Code Enforcement
pertaining to Case 09-038842. These records have been directly printed from the city’s reporting system
and have not been altered in any way. If you have any questions or additional requests, please do not
hesitate to contact me. I can be reached in the office directly at (951) 674-3124 ext. 269, or via email at
sdomen@lake-elsinore.org. It has been a pleasure to assist you.
Records Not Held or Disclosable
This letter is in response to the Request for Public Records that you submitted to the City Clerk’s
Department on August 19, 2009. Regarding your requests for the following items, these items are either
not held by the City of Lake Elsinore and/or are exempt under the California Request for Records Act (§
6250-6270).
Voter’s Registration Records
Tax Records
Small Claims Court Records
School Records
Deeds, Mortgages, and Liens Records
Library Records
Marriage and Divorce Records
Census Records
With regard to your request for the following, these records are held by the City and are disclosableunder
the California Request for Records Act (§ 6250-6270). After a thorough review we have no records
responsive to your request.
Pet Licenses Building Permits
If you have additional questions or requests, please send them to my attention. I can also be reached in
the office directly at (951) 674-3124 ext. 269. It has been a pleasure to assist you.
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Appendix E - Conducting a Records Inventory
A records inventory is the systematic collection of information for each file folder. A thorough inventory
process can free up to two-thirds of storage space devoted to active files. Typically, one-third of the files
will be destroyed; one-third transferred to inactive storage, and one-third will remain in prime office
space. The process has also been designed to use the information you gather in many ways. The
information will be used in subsequent years for the following purposes:
Locate and track old records stored in boxes or other inactive storage areas;
Find misfiled or lost file folders;
Identify and correct inconsistencies in your filing systems;
Electronic master index (you can do text searches to find the file you want);
Create destruction lists in future years by “cut & paste”;
Create box labels by “cut & paste”;
Manage the location of records stored in off-site locations, and changes to location of records;
Will meet the requirements for an index for the purposes of the new law requiring staff to assist
the public in locating records;
Provides an index to use in the event of a disaster so that the most valuable records are located
and protected;
The inventory will be utilized to develop your retention schedule, and will ensure the schedule
covers all of your records and will meet your needs.
Do NOT move boxes, files, or cabinets from another department unless you receive permission from the
Department first.
Do NOT destroy ORIGINAL records until the records retention schedule has been adopted, or until a
resolution of destruction is presented to City Council. State law allows copies or drafts to be destroyed
“when no longer required”, but requires the Council to approve the destruction of any original record.
Copies and drafts can be destroyed as they are inventoried, provided:
You are certain the record is a copy, draft, or is not a City record;
If the record contains any confidential data (e.g. citizen’s names, phone numbers, etc.), must be
shredded or obliterated.
City of Lake Elsinore | City Clerk’s Department P a g e |33
Questions about records or this document? Email: sdomen@lake-elsinore.org or (951) 674-3124 ext. 269.
FM1901-005 Worksheet
When conducting a records inventory it is recommended that you utilize the form below for a consistent
accounting of the files on hand. Unlike the inventory for destruction, this inventory is meant to be
conducted down to the file level and should contain the exact location of the record. Use whatever
information is available to concisely identify the location of the records. This may be the names of a room,
a room number, a geographical notation such as north or east. When inventorying a records room, it is a
good idea to start by labeling the file cabinets and then the drawers. For example, the file cabinet you
start with would be FC1. Then the drawers (starting at the top) would be a, b, c, etc; Files in file cabinet 1
drawer b would be expressed: FC1-b.
City of Lake Elsinore | City Clerk’s Department P a g e |34
Questions about records or this document? Email: sdomen@lake-elsinore.org or (951) 674-3124 ext. 269.
Appendix F – Government Code Section
There are two primary California Government Codes that govern the holding and dissemination of the
City’s Records: CA GC §34090 (how and how long records are held); and CA GC §6250 (California Public
Records Act).
CALIFORNIA CODES: GOVERNMENT CODE SECTION 6250-6270
CALIFORNIA CODES: GOVERNMENT CODE SECTION 34090
Appendix G – Records Naming Convention
The purpose of this naming convention, is to bring consistency to the records throughout the City, based
on current industry standards and best practices. Having a city-wide naming system is imperative for the
success of the City’s Records Management program.
Physical Files:
All file labels must have the following information:
Name of Vendor
Department/Record Series
Type of Document
Dollar Value (if applicable)
Project Number (if applicable or other identifying information such as an address)
Destruction Date
File Label Example:
Electronic Files:
Agenda Packet Materials:
Agenda items shall all be labeled in a consistent manner, for ease of clarification that the items all belong
together. The name should reflect the following:
Name of item (this should be a summary) i.e. Summerly Park
Type of Document i.e. SR (Staff Report), ORD (Ordinance), RES (Resolution), AG (Agreement), etc.
Johnson & Johnson PW/AG
Health Services Agreement $12,000
Proj #100-32 Dest: 12/01/21
City of Lake Elsinore | City Clerk’s Department P a g e |35
Questions about records or this document? Email: sdomen@lake-elsinore.org or (951) 674-3124 ext. 269.
Example:
Summerly Park – SR
Summerly Park – Map
Summerly Park – AG
LaserFiche/U Drive:
Electronic document naming shall be consistent, to assist in searches for records and to create consistency
city-wide. Creating file names that are long is unnecessary. The name should include the following:
Vendor/Person Name
Type of Document/Project Name or Number/Address (should not be all)
Date (date of document/agreement date, etc.)
Example:
Luz Reyes PSA-Summerly 12-15-2021
Luz Reyes TM-12352 Alberhill Rd 1-16-2091
City of Lake Elsinore | City Clerk’s Department P a g e |36
Questions about records or this document? Email: sdomen@lake-elsinore.org or (951) 674-3124 ext. 269.
Appendix H – File Structures
Agreements
Department/Subject
Community Services
Parks
Lake
Recreation
Senior
Youth
Administrative Services
Finance
Risk Management
Human Resources
Information Technology
Community Development
Economic Development
Planning
Building
Code Enforcement
Public Works
Engineering
Operations
Maintenance
Fleet
Parks
Lake
Streets
Weed Abatement
City Manager
City Clerk
City Council
Successor Agency
Public Financing Authority
Oversight Board
Housing Authority
Planning Commission
Public Safety Advisory Commission
Redevelopment Agency
City of Lake Elsinore | City Clerk’s Department P a g e |37
Questions about records or this document? Email: sdomen@lake-elsinore.org or (951) 674-3124 ext. 269.
Planning
Administration
Agreements
Invoices
Community Development Dept. – Monthly Reports
PPR Responses
Advanced Planning
General Plan
Zoning
Housing Element
Current Planning
DRC Agendas
Requests for Comment
Project Files
CC
PC
CEQA
Correspondence
DRC
Exhibits
Final Documents
MSHCP
AB52 – SB18
Policies and Procedures
Manual
PDF Manual
Word Documents
Planning Master Forms
Application/Submittals Forms
SOPs
Department Forms
CEQA Forms
Public Hearing Forms
Decision letters
Transmittal Forms
Staff Report Template
Power Point Template
Incomplete letter Template
DRC correction letter template
CC
Reports
PowerPoints
PC
Agendas
Minutes
Reports
City of Lake Elsinore | City Clerk’s Department P a g e |38
Questions about records or this document? Email: sdomen@lake-elsinore.org or (951) 674-3124 ext. 269.
PowerPoints
Resolutions
Resolutions Log
PC Calendars