Ordinance 2006-76
ORDINANCE NO. 2006-76
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AN ORDINANCE OF THE CITY OF WYLIE, TEXAS,
ESTABLISHING AN ACTIVE AND CONTINUING RECORDS
MANAGEMENT PROGRAM/PLAN FOR THE CITY OF WYLIE;
REPEALING ORDINANCE NO. 91-20 AND AMENDING ARTICLE
VI OF THE WYLIE CODE OF ORDINANCES. PROVIDING FOR
REPEALING, SAVINGS AND SEVERABILITY CLAUSES; AND
PROVIDING FOR AN EFFECTIVE DATE OF THIS ORDINANCE.
WHEREAS, Title 6, Subtitle C, Local Government Code (known as the "Local
Government Records Act") provides that a municipality must establish by ordinance an active and
continuing records management program to be administered by a Records Management Officer;
and
WHEREAS, the City Council of the City of Wylie, Texas ("City Council") investigated
and determined that its existing records management program needed to be reviewed and updated
in order to more clearly and comprehensively establish a records management program to be
implemented by the City of Wylie, Texas ("City"); and
WHEREAS, City staff has prepared a recommended records management program which
prescribes policies and procedures consistent with the Local Government Records Act and in the
interests of cost-effective and efficient recordkeeping; and
WHEREAS, the City Council has investigated and determined that the records
management program set forth below should be adopted and implemented by the City; and
WHEREAS, the City Council has further investigated and determined that Ordinance No.
91-20 should be repealed in order to establish a more clear and comprehensive records
management program as set forth below.
NOW THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY
OF WYLIE:
SECTION 1. FINDINGS INCORPORATED
The findings set forth above are incorporated into the body of this Ordinance as if full set forth
herein.
SECTION 2. REPEAL OF ORDINANCE NO. 91-20
Ordinance No. 91-20 is repealed upon the effective date of this Ordinance. Such repeal shall not
affect the applicability and/or enforceability of City's records management program in effect
.-.., before the effective date of this Ordinance. This Ordinance shall apply prospectively from the
effective date hereof.
Ordinance No. 2006-76
Establishing Records Management Plan Page 1
SECTION 3. DEFINITION OF MUNICIPAL RECORDS
All documents, papers, letters, books, maps, photographs, sound or video recordings, microfilm,
magnetic tape, electronic media, or other information recording media, regardless of physical form
or characteristic and regardless of whether public access to them is open or restricted under the
laws of the state, created or received by the City of Wylie or any of its officers or employees
pursuant to law or in the transaction of public business are hereby declared to be the records of the
City of Wylie and shall be created, maintained, and disposed of in accordance with the provisions
of this Ordinance or procedures authorized by it and in no other manner.
SECTION 4. ADDITIONAL DEFINITIONS
(1) "Department head" means the officer who by ordinance, order, or administrative policy is
in charge of an office ofthe City of Wylie that creates or receives records.
(2) "Essential record" means any record of the City of Wylie necessary to the resumption or
continuation of operations of the City of Wylie in an emergency or disaster, to the re-
creation of the legal and financial status of the City of Wylie, or to the protection and
fulfillment of obligations to the people of the state.
(3) "Permanent record" means any record of the City of Wylie for which the retention period
on a records control schedule is given as permanent.
(4) "Records control schedule" means a document prepared by or under the authority of the
Records Management Officer listing the records maintained by the City of Wylie, their
retention periods, and other records disposition information that the records management
program may reqUIre.
(5) "Records management" means the application of management techniques to the creation,
use, maintenance, retention, preservation, and disposal of records for the purposes of
reducing the costs and improving the efficiency of recordkeeping. The term includes the
development of information retrieval systems, the protection of essential and permanent
information, the economical and space-effective storage of inactive records, control over
the creation and distribution forms, reports, and correspondence, and the management of
micrographics and electronic and other records storage systems.
(6) "Records liaison officers" means the persons designated under Section 11 of the
Ordinance.
(7) "Records management officer" means the person designated in Section 7 of this
Ordinance.
(8) "Records management plan" means the plan developed under Section 8 of this Ordinance.
(9) "Retention period" means the minimum time that must pass after the creation, recording,
or receipt of a record, or the fulfillment of certain actions associated with a record, before it
is eligible for destruction.
Ordinance No. 2006-76
Establishing Records Management Plan Page 2
SECTION 5. MUNICIPAL RECORDS DECLARED PUBLIC PROPERTY
All municipal records as defined in Section 3 of this Ordinance are hereby declared to be the
property of the City of Wylie. No municipal official or employee has, by virtue of his or her
position, any personal or property right to such records even though he or she may have developed
or compiled them. The unauthorized destruction, removal from files, or use of such records is
prohibited.
SECTION 6. POLICY
It is hereby declared to be the policy of the City of Wylie to provide for efficient, economical, and
effective controls over the creation, distribution, organization, maintenance, comprehensive
system of integrated procedures for the management of records from their creation to their
ultimate disposition, consistent with the requirements of the Texas Local Government Records Act
and accepted records management practice.
SECTION 7. DESIGNATION OF RECORDS MANAGEMENT OFFICER
The City Secretary, and the successive holders of said office, shall serve as Records Management
Officer for the City of Wylie. As provided by state law, each successive holder of the office shall
file his name with the director and librarian of the Texas State library within thirty (30) days of the
initial designation of or taking up the office, as applicable.
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SECTION 8. RECORDS MANAGEMENT PLAN TO BE DEVELOPED~ APPROVAL OF
PLAN. AUTHORITY OF PLAN.
(a) The Records Management Officer and the City Manager shall develop a records
management plan for the City of Wylie for submission to the City Council. The plan must
contain policies and procedures designed to reduce the costs and improve the efficiency of
recordkeeping, to adequately protect the essential records of the municipality, and to
properly preserve those records of the municipality that are of historical value. The plan
must be designed to enable the Records Management Officer to effectively carry out his or
her duties prescribed by state law and this Ordinance.
(b) Once approved by the City Council, the records management plan shall be binding on all
offices departments, divisions, programs, commissions, bureaus, boards, committees, or
similar entities ofthe City of Wylie and records shall be created, maintained, electronically
stored, microfilmed, or disposed of in accordance with the plan.
(c) State law relating to the duties, other responsibilities, or recordkeeping requirements of a
department head do not exempt the department head or the records in the department
head's care from the application of this Ordinance and the records management plan
adopted under it and may not be used by the department head as a basis for refusal to
participate in the records management program of the City of Wylie.
Ordinance No. 2006-76
Establishing Records Management Plan Page 3
SECTION 9. DUTIES OF RECORDS MANAGEMENT OFFICER
In addition to other duties assigned in this Ordinance, the Records Management Officer shall:
(1) administer the records management program and provide assistance to department heads in
its implementation;
(2) plan, formulate, and prescribe records disposition policies, systems, standards, and
procedures;
(3) in cooperation with department heads, identify essential records and establish a disaster
plan for each municipal office and department to ensure maximum availability of the
records in order to re-establish operations quickly and with minimum disruption and
expense;
(4) develop procedures to ensure the permanent preservation of the historically valuable
records of the City of Wylie;
(5) establish standards for filing and storage equipment and for recordkeeping supplies;
(6) study the feasibility of and, if appropriate establish a uniform filing system and forms
design and control system for the City of Wylie;
(7) provide records management advice and assistance to all municipal departments by
preparation of a manual or manuals or procedure and policy and by on-site consultation;
(8) monitor records retention schedules and administrative rules issued by the Texas State
Library and Archives Commission to determine if the records management program and
the municipality's records control schedules are in compliance with state regulations;
(9) disseminate to the City Council and department heads information concerning state laws
and administrative rules relating to local government records;
(10) instruct Records Liaison Officers and other personnel in policies and procedures of the
records management plan and their duties in the records management program;
(11) direct Records Liaison Officers or other personnel in the conduct of records inventories in
preparation for the development of records control schedules as required by state law and
this Ordinance;
(12) ensure that the maintenance, preservation, microfilming, electronic storage, destruction, or
other disposition of municipal records are carried out in accordance with the policies and
procedures of the records management program and the requirements of state law;
(13) maintain records on the volume of records destroyed under approved state records control
schedules, the volume of records microfilmed or stored electronically, and the estimated
cost and space savings as the result of such disposal or disposition;
Ordinance No. 2006-76
Establishing Records Management Plan Page 4
(14) report annually to the City Manager on the implementation of the records management
~~ plan in each department of the City of Wylie including summaries of the statistical and
fiscal data compiled under Subsection (13); and
(15) bring to the attention of the City Manager non-compliance by department heads or other
municipal personnel with the policies and procedures of the records management program
or the Local Government Records Act.
SECTION 10. DUTIES AND RESPONSIBILITIES OF DEPARTMENT HEADS
In addition to other duties assigned in this Ordinance, department heads shall:
(I) cooperate with the Records Management Officer in carrying out the policies and
procedures established in the City of Wylie for the efficient and economical management
of records and in carrying out the requirements of this Ordinance; and
(2) adequately document the transaction of government business and the services, programs
and duties for which the department head and his or her staff are responsible; and
(3) maintain the records in his or her care and carry out their preservation, microfilming,
destruction, or other disposition only in accordance with the policies and procedures of the
records management program of the City of Wylie and the requirements of this Ordinance.
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SECTION 11. DESIGNATION OF RECORDS LIAISON OFFICERS
Each department head shall designate a member of his or her staff to serve as Records Liaison
Officer for the implementation of the records management program in the department. If the
Records Management Officer determines that in the best interests of the records management
program more than one Records Liaison Officer should be designated for a department, the
department head shall designate the number of Records Liaison Officers specified by the Records
Management Officer. Persons designated as Records Liaison Officers shall be thoroughly familiar
with all the records created and maintained by the department. In the event of the resignation,
retirement, dismissal, or removal by action of the department head of a person designated as a
Records Liaison Officer, the department head shall promptly designate another person to fill the
vacancy and report this change to the Records Management Officer. A department head may serve
as Records Liaison Officer for his/her department.
SECTION 12. DUTIES AND RESPONSIBILITES OF RECORDS LIAISON OFFICERS
In addition to other duties assigned in this Ordinance, Records Liaison Officers shall:
(a) conduct or supervise the conduct of inventories of the records of the department in
preparation for the development of records control schedules;
-- (b) in cooperation with the Records Management Officer, coordinate and implement the
policies and procedures of the records management program in their departments; and
Ordinance No. 2006-76
Establishing Records Management Plan Page 5
(c) disseminate information to department staff concerning the records management program.
SECTION 13. RECORDS CONTROL SCHEDULES TO BE DEVELOPED~ APPROV AL~
FILING WITH STATE
(a) The Records Management Officer, in cooperation with department heads and Records
Liaison Officers, shall prepare records control schedules on a department by department
basis listing all records created or received by the department and the retention period for
each record. Records control schedules shall also contain such other information
regarding the disposition of municipal records as the records management plan may
requIre.
(b) Each state records control schedule shall be monitored and amended as needed by the
Records Management Officer on a regular basis to ensure that it is in compliance with
records retention schedules issued by the state and that it continues to reflect the
recordkeeping procedures and needs of the department and the records management
program of the City of Wylie.
(c) Before a state records control schedule is amended within a department, a request must be
submitted to the Records Management Officer on the state form. Once received by the
Records Management Officer, that amendment will be submitted to the Texas State
Library and Archives for approvaL Once approval has been received, the record series will
be added to the department schedules.
(d) The state schedules set forth in and adopted by Ordinance No. 97-3 are incorporated herein
by reference as if fully set forth at length.
SECTION 14. IMPLEMENTATION OF RECORDS CONTROL SCHEDULES~
DESTRUCTION OF RECORDS UNDER SCHEDULE
(a) The City of Wylie has submitted and been approved to follow the state retention schedules
by the enactment of Ordinance No. 97-3 and the Director of the Texas State Library and
Archives. These schedules shall be implemented by department heads and Records Liaison
Officers according to the policies and procedures of the records management plan.
(b) A record, which retention period has expired on a records control schedule, shall be
destroyed unless a public information request is pending on the record, the subject matter
of the record is pertinent to a pending law suit, or the department head request in writing to
the Records Management Officer that the record be retained or an additional period of
time. If the record series will be kept for a longer period of time, the Records Management
Officer will follow the procedures in accordance with Section 13(b )-( c) of this Ordinance.
(c) Prior to the destruction of a record under a state approved records control schedule,
authorization for the destruction must be obtained by the Records Management Officer and
the City Manager.
Ordinance No. 2006-76
Establishing Records Management Plan Page 6
SECTION 15. OFF-SITE RECORDS FACILITY
An offsite records retention facility, developed pursuant to the plan required by Section 8, shall be
under the direction control and supervision of the Records Management Officer. Policies and
Procedures regulating the operation and use of the records facility shall be contained in the records
management plan developed under Section 8.
SECTION 16. MICROGRAPHICS AND ELECTRONIC LASERFICHE
Unless a micrographics or laserfiche program in a department is specifically excepted by order of
the City Council, all microfilming or electronic storage (laserfiche) will be centralized and under
the direct supervision of the Records Management Officer. The records management plan will
establish policies and procedures for the microfilming of municipal records, in accordance with
standards and procedures for the microfilming or electronic storage of local government records
established in the rules of the Texas State Library and Archives Commission. The plan will also
establish criteria for determining the eligibility of records for microfilming/electronic storage and
protocols for ensuring that a microfilming/electronic storage program that is exempted from the
centralized operations is, nevertheless, subject to periodic review by the Records Management
Officer as to cost-effectiveness, administrative efficiency, and compliance with commission rules.
SECTION 17. SAVINGS/REPEALING CLAUSE
All provisions of any ordinance in conflict with this Ordinance are hereby repealed to the extent
they are in conflict; but such repeal shall not abate any pending prosecution for violation of the
repealed ordinance, nor shall the repeal prevent a prosecution from being commenced for any
violation if occurring prior to the repeal of the ordinance. Any remaining portions of said
ordinances shall remain in full force and effect.
SECTION 18. SEVERABILITY
Should any section, subsection, sentence, clause or phrase of this Ordinance be declared
unconstitutional or invalid by a court of competent jurisdiction, it is expressly provided that any
and all remaining portions of this Ordinance shall remain in full force and effect. The City hereby
declares that it would have passed this Ordinance, and each section, subsection, clause or phrase
thereof irrespective of the fact that anyone or more sections, subsections, sentences, clauses and
phrases be declared unconstitutional or invalid.
SECTION 19. EFFECTIVE DATE
This Ordinance shall become effective from and after its adoption.
Ordinance No. 2006-76
Establishing Records Management Plan Page 7
DULY PASSED AND APPROVED BY THE CITY COUNCIL OF THE CITY OF
","".-. WYLIE, TEXAS on this the lth day of December, 2006.
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Ordinance No. 2006-76
Establishing Records Management Plan Page 8
Prepared November_
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City of Wylie
Table of Contents Records Management Manual
T ABLE OF CONTENTS
I. INTRODUCTION
Records Management - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 5
What is a Records Management Program?
Why does the City of Wylie need a Records Management Program?
Where does Records Management fall in the organization?
What kind of authorization does the Records Management Program have in the City of Wy lie?
What does the City of Wy lie's Records Management Program have to offer my department?
What does it take to make a Records Management Program successful?
S ta temen t 0 f Goal s- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ---- -- - - --- ----- - - --
7
Duties of Records Management --------------------------------------------------------------
10
Records Liaisons ------------------------------------------------------------------------------
11
Organization Chart for Records Management Program
City of Wylie ------------------------------------------------------------------------ Exhibit
A
State Schedule Approval/Certification ---------------------------------------------- Exhibit
B
Ordinance No. 91-20 ------------------------------------------------------------------- Exhibit
C
Ordinance No. 97 -0 3 - -- --- -- -- -- ------- ---- ------- -- -- --- -- -- -- -- --- -- -- -- -- --- -- -- -- -- Exhi bi t
D
Ordinance No. 2006- XX --------------------------------------------------------------- Exhibit
E
II. RETENTION/DISPOSITION SCHEDULES
Retention/Disposi tion Schedules -------------------------------------------------------------
12
Internal Inventory Schedule (form) --------------------------------------------------- Exhibit
F
Local Government Records Control Schedule (form) ---------------------------- Exhibit
G
III. RECORDS CENTERS
Wy lie Municipal Records Centers ------------------------------------------------------------
13
L i ti gati on S u ppo rt Po Ii cy - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - --
14
IV. RECORDS TRANSFER
City of Wylie
Transferring Records ---------------------------------------------------------------------------
15
Records Preparation: Hard Copy
Completion of Forms
Records Preparation: Microfilm/Tape/Disk
Records Transfer List: All Media
Box Label Card (form) ---------------------------------------------------------------- Exhibit
H
Records T ransmi ttal List (form) -- -- -- -- --- -- -- -- -- --- -- -- -- -- --- -- -- -- --- -- -- -- -- --- -- Exhi bi t
I
11
City of Wylie
Table of Contents Records Management Manual
V. RECORDS DISPOSITION
Records Di spo si ti on - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - --
17
Purging of Files
Destruction of Records
Certificate of Records Destruction (form) ------------------------------------------ Exhibit
J
VI. RECORDS RETRIEV AL
Records Retrieval -------------------------------------------------------------------------------
19
Procedures for Requesting Records
Check-out and Follow-up
Wylie Municipal Records Control Retrieval Authorization (form)--------------Exhibit
K
VII. ELECTRONIC STORAGE
E I ectroni c S torag e - - - - - - - - - - - - - - - --- - --- -- -- --- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - --
20
VIII. RECORDS PROTECTION PROGRAM
Vital Records Program -------------------------------------------------------------------------
21
Definition
Identification
Protection
Storage
IX. HISTORICAL RECORDS
Guidelines: Appraising the Historical Value of Modern Records -----------------------
23
Organizational Documents
Procedural Documents
Reportorial Documents
X. RECORD COPY SYSTEM
Record Copy De si gna ti on - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - --
25
City of Wylie
Responsibilities. . .
Identification
Designation
Filing of the Record Copy
111
City of Wylie
Table of Contents Records Management Manual
XI. ACTIVE FILES MANAGEMENT
F il es Management -- -- -- -- -- --- -- -- -- --- -- -- -- -- --- -- -- -- -- --- -- -- -- --- -- -- -- -- --- -- -- -- -- --- ----
27
Filing TiIJs ----------------------------------------------------------------------------------------
28
Finding Lo st Records - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -- ---- ---- --- ---- ---- - - - - --
29
Document Flow Cycle (chart) --------------------------------------------------------- Exhibit
L
F il e OIJerati ons -- -- -- --- -- -- -- --- -- -- -- -- --- -- -- -- -- --- -- -- -- -- ----- ---- --- -- -- -- -- --- -- -- -- -- ---
30
Common Filing Problems ----------------------------------------------------------------------
31
FORMS
Local Government Records Control Schedule ------------------------------------------- Exhibit
G
Box Labe I Card - - - - - -- - - - - - - - - - - - - - - - - - - ---- -- --- - --- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exhi bi t
H
Records Transfer List ------------------------------------------------------------------------ Exhibit
I
Certificate of Records Destruction --------------------------------------------------------- Exhibit
J
Wylie MuniciIJal Records Control Retrieval Authorization -------------------------- Exhibit K
A copy of the
Information Disaster Recoverv Plan for Municioal Records
has been included with this manual.
City of Wylie
-
IV
City of Wylie
P art I: Introduction Records Management Manual
RECORDS MANAGEMENT
What is a Records Management Program?
Records Management is the managing of records from their creation through their
destruction. A full-blown Records Management Program consists of: reports
management, mail management, correspondence management, files management, records
protection program, and records disposition. Within these areas are micrographics, copy
reproduction control, directives management, policies and procedures, filing systems, vital
records, historical records, disaster recovery, etc.
Why does the City of Wylie need a Records Management Program?
Every original record created within a municipality in the State of Texas belongs to the
State and falls under State retention codes. Therefore, when an original record governed
by State or Federal codes is destroyed, State or Federal property is destroyed. If litigation
should arise involving destroyed records, the City is liable for the destruction of those
records. This could result in the loss of litigation or a jail sentence (in severe cases).
When cities have an official Records Management Program that has been registered with
the State, they are protected from further repercussions once they have submitted proof
that the records were destroyed in the ordinary course of business, under an approved
records retention program, prior to litigation. The City of Wylie has been approved by the
State of Texas for state retention schedules.
Where does Records Management fall in the organization?
Records Management is part of the City Secretary's Office with the Records Manager
directly answerable to the City Manager.
What kind of authorization does the Records Management Program have in the City
of Wylie?
The Records Management Program has been officially established through the passage of
Ordinance 91-20 by the City Council of the City of Wylie. The state schedules were
adopted by Ordinance 97-3; The repeal of Ordinance 91-20 and the passage of Ordinance
No. 2006-76 further clarified the Records Management Policies to align with current State
Law. The passage of these ordinances by the City Council of the City of Wylie, give
management support in its endeavors to manage City records in accordance with State and
Federal laws.
City of Wylie 5
P art I: Introduction Records Management Manual
What does the City of Wylie's Records Management Program have to offer my
department?
The Records Management staff is available for assistance with:
. Filing systems and equipment;
. Scanning of documents into laserfiche
. Preparation of documents prior to scanning;
. Preparation of records for storage or destruction;
. Purging files;
. Storing, retrieving, and/or destroying records;
. Assist departments with annual inventory and destruction reports;
. Identifying vital records;
. Assistance with records recovery in the event of a disaster.
Staff members will also:
. Develop, revise, and register retention schedules with the State if applicable;
. File required State destruction reports when applicable;
. Destroy records in accordance with State guidelines;
. Maintain inventories for records stored at the City's offsite retention facility;
. Retrieve stored records in a timely fashion;
. Be responsible for maintenance of electronic equipment;
. Be responsible for providing scanning in electronic format (laserfiche) services for
approved departments;
. Conduct records management training/information sessions for employees;
. Develop, distribute, and update the City of Wylie's Records Manual;
. Maintain records in accordance with State and Federal requirements;
. Develop other records management programs (such as forms management) as the
need arises.
What does it take to make a Records Management Program successful?
Cooperation between departments and the Records Management staff is necessary for
success. Records Management is a service area established to relieve user departments of
the obligations and problems involved in managing records. Staff members are available
at all times to assist departments with their records management needs.
City of Wylie 6
P art I: Introduction Records Management Manual
STATEMENT OF GOALS
PURPOSE
To establish and maintain a city-wide Records Management Program that will create a
more orderly approach of managing the volume of municipal records throughout the City.
Goals:
1. To release space and reduce the need for storage and filing equipment.
Reduce the volume of inactive records held in City offices.
Develop and maintain a cost-justified electronic storage program.
Develop and maintain City procedures for electronic and digital records.
Evaluate and make recommendations regarding digital technology.
Provide records management consultation to all City departments.
Establish and maintain an offsite retention facility for inactive records until their
destruction.
Establish and maintain the Wylie Municipal Vault Records Center (Finance
Department) for storage of vital and historical records.
Make recommendations concerning filing methods and selection of storage and
standard filing equipment.
2. To develop and maintain an efficient retrieval operation for City records.
(Retrieval systems for active records will be developed upon the request of the
department).
Advise and assist departments in establishing standard filing procedures and in
organizing files.
Assist in selecting standard filing equipment for the most efficient retrieval of
departmental records.
Assist in the design and layout of filing equipment in the departments for more
efficient paper flow.
City of Wylie 7
P art I: Introduction Records Management Manual
Develop and publish a booklet to inform City departments of different filing practices
and suggested methods to be used for rapid retrieval of documents.
Maintain records management control files that allow accessibility to inactive records
stored in the offsite records facility.
3. To provide for routine disposition of paperwork.
Establish retention schedules for each series of records generated by each department,
using the approved state schedules.
Audit the retention schedules periodically to determine the need for revision.
Promote the use of an Offsite Records Facility for inactive records.
Contact departments annually to encourage a continuous flow of records from offices
to the Offsite Storage facility and electronic storage for easy access; for cost
reductions of records.
Routine disposal of records which have expired retention periods and which have been
approved by the Department Head, Records Management Officer and City Manager
for destruction.
4. To maintain total security over City records.
Assist with the inventory of City records and set up suggested disposition schedules.
Design and implement procedures and establish controls to enhance the safety of the
City's records stored in departments and offsite.
Electronically store certain designated record types before destruction (less than 10
year retention with authorization) of the hard copy or for use as convenience copies.
Provide a system to control records' removal from and replacement at the Wylie
Offsite Storage Facility.
Maintain a Records Destruction Log listing records from the City of Wylie
departments that are destroyed after expiration of their retention periods and proper
approval.
Establish and maintain a policy for accessibility to confidential records.
Identify and protect vital records.
Establish off-site storage (bank vault) for original backups of electronically stored
records to serve as a security copy of master documents (laserfiche) through the
Information Systems (IS) department.
City of Wylie 8
P art I: Introduction Records Management Manual
5. To communicate the need for an effective records management program.
Expand the scope of records management to encompass all departments.
Keep open communication lines with all departments.
City of Wylie 9
P art I: Introduction Records Management Manual
DUTIES OF RECORDS MANAGEMENT
1. Develop and circulate rules, regulations, and policies as may be necessary and proper
to implement and maintain the City of Wylie's Records Management Program.
2. Establish and maintain a Wylie Offsite Records Center thru a contracting company
and a Records Vault to store and preserve vital, historical, and inactive records prior to
disposition.
3. Develop retention and disposition schedules based upon State and Federal retention
periods for all City records.
4. Consult and assist City departments in all areas of records management, including
filing systems; filing equipment; microfilm; imaging systems; records maintenance,
transfer, storage, retrieval, and disposition.
5. Centralize implementation and management of the laserfiche program for all City of
Wylie departments.
6. Develop and implement a Vital Records Program to ensure the safety of essential
records in the event of a disaster.
7. Develop informational material and conduct workshops to inform City departments of
the various facets of records management.
8. Develop and maintain an efficient retrieval operation for records stored in the offsite
fac ili ty .
9. Assist with the creation and maintain all records/logs required by law pertaining to the
Records Management program.
11. Keep up-to-date on all aspects of records management and advise City departments of
any developments in technology that would benefit their operations.
12. Develop a Disaster Recovery Plan detailing the procedures to be followed by City
employees when recovering records after a disaster.
City of Wylie 10
P art I: Introduction Records Management Manual
RECORDS LIAISONS
Records Liaisons are the vital link between their department and Records Management.
They are responsible for records management activities in their respective department to
help identify and implement specific programs with the guidance of the Records
Management staff
Coordinators will be responsible for:
1. Reviewing departmental records at least annually to purge and transfer inactive
records to the offsite facility.
2. Preparing records for transfer according to instructions in the Records Manual
and arrange for their transfer to the offsite facility.
3. Reviewing records periodically to assure they are properly protected and that
vital and historical records are so classified and to recognize potential
electronic storage applications.
4. Notifying Records Management when new categories of records are created,
when changes are required to Records Retention Schedules, and when records
become obsolete.
5. Acting as liaison person between their department and Records Management
to resolve any problems which arise relating to the Records Management
Program.
6. Notifying their department and records management, in case of legal litigation
to insure the safe keeping of all records pertaining to the suit.
7. Acquiring knowledge of their department's electronic storage applications in
order to communicate desired changes of additional needs to Records
Management. Notifying Records Management of any electronic storage other
than laserfiche that is used in the processing of original records. (must be pre-
approved for original documents)
8. Working with Records Management in developing and implementing new
records management programs.
City of Wylie 11
Part II: Retention/Disposition Schedules Records Management Manual
RETENTION/DISPOSITION SCHEDULES
Before records can be stored, filmed, or destroyed, an inventory must be taken of all
departmental records. From this inventory, the records are placed in general categories (or
record series) that are applicable to State or Federal codes (assigned to each category).
The assigned codes will designate the amount of time the State or Federal government
requires a particular record to be retained. If departments wish to retain records beyond
the mandatory retention period, it is permitted with the approval of the State. If
departments wish to retain records longer than the state retention, contact the records
management staff to request in writing from the state a revision to the state schedules.
Note: All records must be retained the minimum amount of time stipulated by law.
Based upon the above information, individual departmental retention/disposition schedules
are prepared by each department and given to the Records Management Officer for
safekeeping. Retention periods on these schedules are adjusted in accordance with the
department's desired retention period once State and Federal requirements are met. (See
Exhibit G for a copy of the Local Government Records Control Schedule).
Retention schedules are necessary to provide the department with guidelines for purging
files and destroying records; and registering with the State of Texas so that regular
destruction schedules can be established and maintained without having to get approval for
each record's destruction from the City Attorney, State, and City Council.
When there is reorganization or a program is added to a department's responsibilities, thus
creating new categories on an existing retention schedule, Records Management will
revise the department's schedule and file the revisions with the State.
Retention schedules are a department's working tool for management of their records.
Please advise Records Management when changes occur or you think there might be
changes in your existing schedule.
City of Wylie 12
Part III: Records Centers Records Management Manual
WYLIE MUNICIPAL RECORDS CENTERS
The City of Wylie has two records centers for all records not stored in departments - one
located offsite through Iron Mountain, and the other in a secured, fireproof vault located in
the Wylie Finance Department.
The Wylie Off-Site Records Center is an approved State Retention Site and provides a
secured, centralized storage area for inactive, hard copy records. Each box of records
received in the offsite records center is assigned a bar code identifying its shelf location.
This number enables the Off-Site Records provider to provide quick retrieval of records
when requested by departments or records management staff. The Off-Site Records Center
provides destruction of records once the a1212roval process has been completed for all
records stored in this facility and out of retention dates (see fee schedule for Iron
Mountain).
The second location, the Wylie Municipal Vault located in the Finance Department
(hereafter referred to as City Vault) provides storage for master copies of vital and
permanent records. Special environmental factors in this vault, ensures the preservation of
the documents and provides protection from hazards such as fire, flood, etc. The City's
vital records are also housed at this location in conjunction with the Vital Records
Protection Program approved by the City Council.
When storing records at both centers, departments will be required to complete a form that
designates the person(s) within their area who are authorized to retrieve the stored records.
Unless prior arrangements are made by the Department Head, no one other than the
person(s) so indicated will be able to recover or review stored records for that department.
Procedures for submission of items to be stored in the City Vault must meet certain criteria
prior to placement and be approved by the Records Management Officer and City
Manager.
City of Wylie 13
Part III: Records Centers Records Management Manual
LITIGATION SUPPORT POLICY
In the event a department is implicated in a Court action, any records which may be
involved must be retained and safeguarded from destruction or tampering regardless of the
retention period specified in the department's retention/disposition schedule. A special
area has been allotted in the City Vault for the holding of these records. Departments are
to contact Records Management if they wish to store litigation records in this secured area.
City of Wylie 14
Part IV: Records Transfer Records Management Manual
TRANSFERRING RECORDS
(WYLIE OFF-SITE RECORDS FACILITY, IRON MOUNTAIN)
1. Records PreDaration: Hard CODY
Preparation: When records are no longer retrieved regularly at the worksite, they
should be prepared for records storage either within the department or at the off-site
records facility, Iron Mountain. Records with less than 10 year retention may be stored
electronically in lieu of the hard copy by contacting the Records Management
Department. The first step in this preparation is purging of the records to remove
non-records, transitory records, records to be electronically scanned (under 10 year
retention), and records authorized for immediate destruction. The next step is to
separate records according to disposal dates and place in appropriate size box (es).
V olume: Records should be stored in 1.5 cubic foot boxes. Each full letter-size file
drawer contains 1.5 cubic feet of records and each legal-size file drawer contains 2.0
cubic feet of records. These boxes can be purchased at an office supply vendor or Iron
Mountain.
Packing: Pack legal-and letter-size records in (1.5) cubic foot box(es) in the following
manner:
Records should be packed in an upright position in the same arrangement used in
the original file (alphabetic, numeric, etc.).
Files should not be packed too tightly in the box so that retrieving the records is
made difficult.
2. ComDletion of Forms
Box Label: Hard Copy: After the boxes are packed, fill in all the information on the
Iron Mountain Transmittal Sheet, and attach the small portion of the corresponding
bar code identifying that item; placing the large bar code on the box itself. Records
Management can assist you with this process. The Records Manual Retention
Number and Destruction Date can be found in your department's retention schedule
and must be filled in on the transmittal sheet along with the description of the items
and dates included for those items. If you have any questions pertaining to these items
or the destruction date, contact Records Management. (See Exhibit H for a copy of the
Box Label Form).
Departmental box numbers may also be used for easy identification when departments
request the retrieval of items or boxes for open records requests or department review.
Additional descriptions can be attached to the department's copy and the Records
Management copy of each transmittal sheet, for later referral.
15
City of Wylie
Part IV: Records Transfer Records Management Manual
All transmittal sheets, once completed, should be copied for the department records
and a copy for the Records Management files. Once completed, contact the Records
Management department for scheduling of pickup by Iron Mountain. All retrievals of
records, from Iron Mountain, should be coordinated through the Records Management
Department.
3. Records Preoaration: Electronic Stora2e" Microfilm/Taoe/Disk
Preparation (Master Copy): Records with state retention schedules of 10 years or
more must be retained in their original hard copy form and may be taken to the offsite
facility if they are considered inactive. Departments wishing to store these records at
the offsite facility and wish to have an electronic hard copy for department reference
may contact the Records Management Department to obtain an scanned convenience
copy of the record, provided they have the laserfiche software to retrieve the
information.
City of Wylie 16
Part V: Records Disposition Records Management Manual
RECORDS DISPOSITION
In accordance with State guidelines set forth in the Texas Municipal Records Manual
governing municipal records destruction, the following procedures should be followed
when purging files or destroying records of any kind.
Pur2in2 of Files
Departments may purge their files of "non-records" without consulting with Records
Management. Records are considered non-records when they are not the original or
official copies of a document and do not furnish information on organization, function,
policy, procedure, operation, or other activities and are retained in addition to the official
copy. Some examples are:
. duplicate (xeroxed) copies of memos, letters, and obsolete blank forms;
. surplus copies of publications, circulars, or bulletins;
. notes used as reminders;
. telephone messages;
. convenience files (working papers);
. "tickler" files.
Copies of records that are classified as "timely" (i.e., City Policies and Procedures or
Departmental Policies and Procedures) may be disposed of when superseded by a newer
version or voided because they have outlived their usefulness.
If you have questions concerning which of your records fit into these categories, contact
Records Management for assistance.
Destruction of Records
Before destroying office records:
Check to see if records fall in one of the above categories and purge those documents
from files.
Check remaining documents for retention periods. If you do not know a document's
retention number, refer to your department's retention schedule or contact Records
Management for assistance.
Place the records to be destroyed in letter/legal boxes (1.5 cubic feet).
Inventory each box of records to be destroyed on a records destruction form and
remove from the department inventory lists.
City of Wylie 17
Part V: Records Disposition Records Management Manual
When the retention period expires, making records eligible for destruction, the
appropriate department liaison will list all record series on a destruction form. If the
Department Head concurs, s/he will sign the destruction list form and return it to the
Records Management Department for processing. The Records Management Officer
will review records determining the eligibility of the records for destruction. The
Records Management Officer will transfer the destruction logs to the City Manager
for final approval for destruction. Once approved for destruction, the Department
Head will direct the Records Management Office as to the process for disposition of
the eligible records.
If the Department Head does not concur, s/he will respond in writing advising the
department liaison of changes and return the destruction form unsigned to the
department liaison. After changes have been made, a new form will be sent for
approval. The Department Head will then sign the corrected form and send it to
Records Management to complete the approval process and the destruction of records.
The manner of destruction will be determined by the Department Head. There are
presently four methods of destruction recognized by the State: shredding, burning,
recycling or burial in a landfill. Note that records of confidential matters must be
destroyed by shredding and then may be recycled. At the time of destruction, the
Department Head will select one of the above methods and advise Records
Management of their choice and note same on the destruction form. Costs incurred for
the destruction process will be paid by the appropriate department.
Be/ore records stored in the City's Off-Site Facility can be destroyed, the above
procedures will be/ollowed. In addition, the/ollowing procedures will apply:
Records stored at the City's Off-Site Facility should be monitored each year for
records that have completed their retention period. Records at the City's Off-Site
Facility that are eligible for destruction must be removed from the active inventory list
and placed on a destruction list. The Department Head must sign off on all records
transferred from the inventory lists to a destruction list. Once approved by the
Department Head, contact Records Management to complete the destruction process
and final arrangements for the destruction of records by shredding, recycling, or other
means available to the City through the City's Off-Site Facility (Iron Mountain). A
representative from the Records Management Department will verify destruction of
these records at the City's Off-Site Facility.
City of Wylie 18
Part VI: Records Retrieval Records Management Manual
RECORDS RETRIEV AL
Procedures for Reauestin2 Records
Department liaisons requesting retrievals from either the Off-Site Facility or the City Vault
should contact Records Management with the request(s), and provide the box number(s),
location(s) and description(s) of records needed. For Off-Site Records, the location
numbers are listed on the department's copy of the Records Transmittal form.
Every department storing records in the City's Off-Site Facility is responsible for
completing and submitting the copy of the Records Transmittal Form when requesting
retrieval of records. These forms are completed each year by departments that have
records stored in the City's Off-Site Facility. Records stored in the City Vault will require
a request to the Records Management Department with the box number or description of
the records to be retrieved. Department Heads or Records Liaisons should complete all
requests for retrieval of records.
Check-out and Follow-uo
Once clearance to access a record or retrieval from the Off-Site Facility has been
processed, the records will be brought to the department by carrier. Costs involved with
retrieval of records will be incurred by the department or passed on to the public
information requestor. If a department desires to permanently withdraw record(s) from
either center, the appropriate department must remove that location from the records
inventory and note final disposition of the records. (destruction/storage, listed or new
location site)
City of Wylie 19
Part VII: Electronic Storage/Micrographics Records Management Manual
ELECTRONIC SCANNING OF RECORDS
It is the goal of Records Management to produce a quality product efficiently and in a
timely manner. Therefore, all records scheduled for scanning into laserfiche should be
"scanner ready."
The work our staff does for you is only as good as the
product you give us to work with.
To assist departments in receiving (and Records Management in providing) satisfactory
results, the following list of criteria should be helpful:
1. A complete listing of documents must accompany all work.
2. The number of documents within each group must be included in the listing.
3. Folders should be labeled in the exact manner the laserfiche files are to be labeled.
4. Files are to be placed in the exact sequence they are to appear on the laserfiche file.
5. Documents with torn pages should be mended on the back side with scotch tape.
6. All staples and paper clips must be removed unless one is needed to hold a group
separate from another.
7. Drawings/records larger than 8.5" by II" must be capable of reduction to 8.5" by II".
(A group of 200 or more documents at a time is preferable.
8. Problems with completed work should be reported to Records Management as soon
as possible.
City of Wylie 20
Part VIII: Vital Records Records Management Manual
CITY OF WYLIE
VITAL RECORDS PROGRAM
Definition
Vital Records are defined as those:
. irreplaceable records for which reproductions do not have the same value as
the originals;
. records needed to recover money promptly;
. records needed to avoid delay in restoration of services; and
. records that give direct evidence of legal status, ownership, accounts
receivable and incurred obligations.
In the City of Wyllie's vital records are the records that the City must have in order to
continue its regular, day-to-day operations. These records can be on various forms of
media (paper, computer tapes, microfilm, and disks) and located in several different
departments (City Secretary, Accounting, Building Inspection, Tax, Utility Billing, and
Legal). In the event of a disaster, vital records may be destroyed thus delaying the full
resumption of business by weeks or months while staff tries to reconstruct necessary data.
Identification
Identification of vital records is difficult since most departments have records that are vital
to them but not necessarily to the City as a whole. Ask the following questions to
determine if records are vital:
1. Will these records assure the City of collecting the income due it?
(Ex: accounts receivable records, contracts)
2. Will these records protect the City against possible fraud or overpayment of claims
against it?
(Ex: accounts payable records, contracts, pension benefit records)
3. Do these records provide adequate information about City assets?
(Ex: fixed assets inventories, real estate deeds and/or maps)
4. Are these essential records (records that the City must have to keep operating) or
important records (records that would enable the City to function more easily if it
had them)?
(Ex: general ledgers, journal entries)
If doubt still exists, contact Records Management for a determination.
City of Wylie 21
Part VIII: Vital Records Records Management Manual
Protection
The most common form of "protection" is duplication of the original records. This can be
done through microfilm, paper copies, or duplicate tapes or disks. The method of
duplication depends upon the retention period of the record or the length of time the record
is kept. Legal value must also be kept in mind. Some documents do not have the same
legal value as a signed original document.
Stora2e
Hand-in-hand with duplication is off-site or protected storage. The City of Wylie offers
protected (and off-site) storage for vital records in the City Vault and/ or in an off-site
facility or bank safety deposit box. For information concerning this service, contact
Records Management. Each Department Head is responsible for the duplication and
protection of records vital to the City or department within their care.
City of Wylie 22
Part IX: Historical Records Records Management Manual
GUIDELINES
APPRAISING THE HISTORICAL V ALUE OF MODERN RECORDS
There are three types of documents that need to be retained permanently for historical
purposes and should be considered for electronic storage or microfilming. They are: (a)
Organizational, (b) Procedural, and (c) Reportorial. Examples of these documents are
listed below.
Or2anizational Documents
1. Executive orders (relating to the creation, organization, and reorganization of the City-
(examples: Ordinances, Resolutions, and Annexations).
2. Budgets and budget planning records.
3. Interpretations, opinions, and memoranda of law (including legal opinions from the
City Attorney).
4. Organizational and functional charts.
5. Directories.
6. Maps and aerial photographs.
7. Correspondence and memoranda delegating or defining powers of the City Council,
Mayor, Boards and Commissions, Task Forces, and City employees.
8. Studies and special reports relating to organization problems.
9. Original signed documents relating to legislation and opinions/directives of the City
Council in the process of conducting City business. (examples: Minutes Resolutions
and Ordinances)
Procedural Documents
1. Procedure manuals.
2. Written directives and instructions governing the operations of the City. (Ex:
instructions concerning use of floating holiday).
3. Rules and regulations. (Ex: personnel rules).
4. City circulars and publications.
5. Staff studies or special reports relating to methods, techniques, and operations.
City of Wylie 23
Part IX: Historical Records Records Management Manual
Reoortorial Documents
1. Annual reports.
2. Periodic progress reports if data not included in an annual report.
3. Special reports of accomplishments, awards, recognition, etc.
4. Transcripts of hearings.
5. Minutes of meetings and conferences.
Common sense and good judgment are key factors in determining whether or not to keep a
record for historical purposes. To determine whether or not a document has historical
value, contact Records Management/City Manager.
City of Wylie 24
Part X: Record Copy System Records Management Manual
RECORD COPY DESIGNATION
The objective of Record Copy (RC) designation is to identify the one "official" copy of a
document, the retention of which meets State, Federal, statutory, regulatory and City
requirements. This makes it possible to simplify the Records Management Program by
focusing control on the Record Copy and discouraging retention of non-record copies.
The record copy designation is the original document from the department creating that
document. Documents which are not normally placed in a file and which are destroyed
within a short period of time after creation do not need a Record Copy designation.
Responsibilities
Departments are responsible for assuring RC designation is placed on applicable
documents generated within their area. The originator of a document has the responsibility
to assure that the Record Copy has been identified and designated (either by original or
stamped RC).
The department of the designated Record Copy Holder has the responsibility for the
retention of the document and notifying Records Management when the document is to be
destroyed.
Desi2nation
Internally Generated Correspondence and Other Free-Form Material
The Record Copy is designated by appropriately placing the letters "RC" on the documents
when they are created or filing the "original signed document". The designation is to
appear on all copies and will associate the Record Copy with a specific individual,
organization or file.
City of Wylie 25
Part X: Record Copy System Records Management Manual
Internally Generated Business Forms
The Record Copy designation for a completed business form will be preprinted on the
form as part of the form itself. To reduce forms maintenance expense, the designation may
be more general than for the free-form material above. The minimum requirement is
designation of which copy is the Record Copy.
Internally Generated Computer Reports
The head of the organizational unit that initiates and controls the maintenance and
distribution of a computer report is responsible for assuring that the Record Copy Holder is
identified. (RC-Finance Dept.) If paper only is produced then one of the paper copies
will be the Record Copy. Where microfilm or paper is not required, the Record Copy may
be retained on electronic media provided the integrity of information is assured.
Some computer output does not require Record Copy identification. These include dump
material and edit type output used as working copies and destroyed routinely as a normal
business practice. Questions should be referred to Records Management.
Externally Generated Materials
The original of all incoming material is the Record Copy. Where only copies of invoices
and similar financial documents are received, one copy should be marked "original" and
becomes the Record Copy. Other documents may be so marked at the discretion of the
recipient.
Filio2 of the Record CODY
It is recommended that all Record Copies be placed in a file. Any copy not designated as
the Record Copy may be destroyed after verification of the record copy. Annotated non-
record copies need not be retained.
City of Wylie 26
Part XI: Active Files Management Records Management Manual
FILES MANAGEMENT
This section provides an easy reference to simplify active files management. It is not
intended as a replacement for detailed procedures for a particular records system. If
assistance is needed, contact Records Management.
City of Wylie 27
Part XI: Active Files Management Records Management Manual
FILING TIPS
1. When placing the record into the folder, it is wise to always check the filing accuracy.
The record subject should match the folder caption and other record subjects already
in the folder.
2. File records face forward with contents going in the same direction with the heading
placed to the left.
3. File most current date at front of file folder or on top of filed records.
4. Make individual subject folders when four or more pieces of paper concerning the
subject are collected in the miscellaneous folder.
5. "Break" a folder when it contains more than 75 pieces or when it is over one-half inch
thick. Make a new folder for the most recent records. Underscore the caption on the
old folder in color so that the new items will be put into the new folder. In addition,
the folder captions may be labeled with the beginning and ending dates of the records
within.
6. Leave one-fifth of a file drawer or at least four inches (the width of your hand) for
expansion. Do not overload the file drawer.
7. As the volume of records increases within the folder, use the scoring at the bottom of
the folder by creasing it at the scored areas. This forms a base allowing the records to
stand evenly inside the folder avoiding damage.
8. Use file folders with the same tab position, preferably with center or far right
positions. This makes referencing and filing faster by allowing ease of scanning
through the folders. It also decreases eye fatigue.
9. Use file guides for every 6-8 folders. Place guides in far left position to avoid
overlooking a subject.
10. Use color coded labels for main record functions or groups to avoid misfiling.
11. Purge inactive records according to retention procedures.
12. Work from the side of a file cabinet rather than from the front. However, work
directly in front of open shelves or lateral files.
13. A void accidents by opening one drawer at a time. Close a drawer as soon as you
finish working it.
14. Discard drafts of correspondence, legal instruments and notes after final approval is
obtained on the original document.
City of Wylie 28
Part XI: Active Files Management Records Management Manual
FINDING LOST RECORDS
1. Look through the file folder to see if the record may have been filed out of sequence.
2. Look between the spaces in front of and behind the folder of the missing record as
well as underneath the folders.
3. Look through the folders in front of and behind the folder of the missing record.
4. Look through folders bearing similar names or numbers (e.g., Hawkins for Hawkin,
16711 for 176111).
5. See if the name or number was transposed (e.g., George Richard Co. for Richard,
George Co.).
6. Try a similar sounding name (e.g., Brown, Braun, Browne).
7. Check alternative letters and spellings (h for k, a for 0, q for g).
8. Look in the miscellaneous folders to see if the record may have been inadvertently
filed.
9. Look through folders under other possible filing captions, such as cross-references,
other topics, geographic locations, cost centers, etc.
10. Look in the charge-out tickler for the name of the last person who checked out the
record. Contact the person to determine if s/he has the file.
11. Look on the desk tops and the desk trays of those persons who last handled the record
or who may be working on projects requiring the particular subject/record.
12. Look in the file clerk's (or secretary's) desk top or desk tray.
13. Look in the file clerk's (or secretary's) collection of records yet to be filed or refiled.
14. Look at records coded and prepared for filing to determine if the record has been
stapled with another record.
15. Look in the sorter (copy machine).
16. Look through the index for titles under which the material might have been misfiled.
City of Wylie 29
Part XI: Active Files Management Records Management Manual
FILE OPERATIONS
1. Records Creation Collection
a. When a record is created, indicate a copy (e.g. original document or copy marked
(RC). This habit assures that a copy of the document is made for filing purposes.
b. Upon receipt of incoming mail, code the original for filing. Copy the original and
route to the recipient. Retain the original for filing.
c. Document to be filed may be placed in a "holding file" during an interim period
until they are filed. The holding file may be a special file box, tray, specially
marked file folder, day file or drawer depending on the volume and frequency of
filing.
2. Preparation for Filing
a. Check records to determine proper coding.
b. Check records to determine if all attachments are included and are in the proper
sequence.
c. Remove paper clips and extra staples. Only one staple is needed to hold multiple-
page documents together.
d. Review document to determine if cross-referencing is needed. Cross-referencing is
used when the document can be filed under more than one filing caption or subject.
Circle the subject to be cross-referenced and write "x-ref' in the margin prior to
copying for the second file folder.
3. Sorting the Records
a. Sorting is the process of arranging the documents in the order in which they will
eventually be filed.
4. Filing
a. Set aside time specifically for this process.
b. Avoid interruptions, particularly telephone duty.
c. File documents into the folders as they are arranged within each file drawer. A void
skipping around in the drawer or file cabinet.
d. If the folder is checked out, file the documents into the file pocket on the out- guide.
City of Wylie 30
Part XI: Active Files Management Records Management Manual
5. Charge-Out System
a. The charge-out system assists in keeping track of files temporarily removed from
the file drawer and in locating them quickly if necessary.
b. Special out-guides with pockets or out-cards are used to accommodate the on-going
filing process. Reference cards (3x5) are used allowing reuse of the guide and
providing for a tickler file.
c. Reference cards are made in triplicate:
Original - tickler file in date order
2nd copy - out-guide
3rd copy - stapled to the file folder
6. Follow-UQ
a. The tickler file is used to remind the person that s/he still has the file. A request for
the return of the file or indication of the further need of the file is submitted to the
user.
b. When the reference file is returned for refiling, remove the reference card from the
tickler file.
7. Refiling
a. Refiling of returned records that have been temporarily moved from the files is a
process handled separately from the filing of new records. However, the same
sorting process is used prior to actually filing the folders.
b. Remove the out-guide when the returned folder is refiled. If the out-guide contains
records for filing, transfer them to the permanent folder prior to removing the guide
to avoid misfiling the folder, then refile the file folder. Hint: Keep several out-
guides in the front of each file drawer to use for file referencing.
City of Wylie 31
Part XI: Active Files Management Records Management Manual
COMMON FILING PROBLEMS
1. Too many people doing the filing.
Assign responsibility or authority to one person; limit access to certain personnel.
2. Duplication of records; too many filing places.
Centralize records maintenance; maintain specialized records at points of origin or
frequent use.
3. Records difficult to locate.
Determine proper nature or use of records; redesign filing classification system used;
eliminate some cross-referencing.
4. Related records filed in separate places.
Use the cross-referencing system.
S. File folders difficult to locate in drawer.
Use more drawer guides; use folders with same tab position to eliminate reading tabs
in too many positions.
6. Captions on file folder tabs hidden.
Crease each score at the bottom of the file folder for every 25 pieces of paper in the
folder. Use heavier file folders.
7. Frequently misplaced or lost records.
Provide centralized collection of records to be filed; file more often; use out-guides
and out-folders for charge-out records; provide earlier follow-up of charged-out
records.
8. Miscellaneous folders filled with too many papers.
Create separate files whenever four or more items have accumulated for a
correspondent; use smaller divisions for each miscellaneous folder.
9. Inconsistency of filing, retrieving, charging-out or follow-up records.
Train or retrain personnel in proper procedures to be followed; adhere to records
management manual; establish a standard system for filing.
10. Files don't keep pace with growth and progress.
Check size of classification breakdown to see if it is adequate. Redesign filing
classification to suit needs.
11. Files unorganized; show no particular plan or arrangement.
Pick a ready-made, engineered system that best fits your needs and adjust it as
necessary.
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Part XI: Active Files Management Records Management Manual
12. System doesn't correspond to the way material is asked for.
Study the possibilities of using subject, geographic, or numeric filing arrangements for
specialized materials. Ask for help from Records Management.
13. Filing decisions erratic.
Start a filing procedure (manual) listing and then use it. Don't depend on snap
judgments or opinions of others. When a ruling is made, include it in the procedure
manual.
14. Takes too long to find a folder.
Have an index guide for each inch of active drawer space or each 6 to 8 folders.
Twenty-five guides per drawer provides the best efficiency.
15. Drawers jammed too tight.
Allow 3 to 4 inches of working space in each file drawer. Shift records downward
into drawers as they become too tight.
16. Bulging folders slow down filing speed.
Have no more than 50 pieces of paper per folder.
17. Individual folders too full.
Break folders down chronologically and indicate dates on folder label.
18. Folder tabs difficult to read.
Use reinforced tabs on folders; replace folder when tabs become worn; use gummed
labels to give strength.
19. Folders buckle in drawer; out of sight.
Use stiffer folders; use heavy guides more frequently in drawer; use drawer
compressors or follow blocks to provide a "backbone" to the system.
20. Folders filed out-of-sequence; difficult to locate.
Use a color coded label system to easily identify filing location and misfiles.
21. Old correspondence slowing up filing of current papers.
Transfer old material at least once a year. Use retention schedules to determine
frequency and length of time needed in active files.
22. Need assistance in setting up a filing system.
Contact Records Management for assistance.
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