Records Management Handbook

The State Records Management Act, Government Code sections 12270-12279, is the governing authority for state Executive branch agency records management. The records management program section of the State Administrative Manual (SAM), Chapter 1600, further defines the responsibility of each state agency to implement a records management program and prescribes the procedure for scheduling and disposing of records. This Records Management Handbook supplements the information in SAM with practical guidelines. Forms referenced in this guide are posted on the California Records and Information Program’s (CalRIM) website.

Local government is not subject to the State Records Management Act. With the exception of the Public Records Act (PRA), the legislation and directives establishing the state Records Management Program do not apply to local government. County and/or city government agencies do not have a standardized program of accountability for their treatment of public records. Nor does local government have standard retention periods for various record categories other than certain record types identified in government codes that mandate specific local programs. To alleviate this situation the 1999 legislature added section 12236 to the Government Code, which states in section 12236 (a) “The Secretary of State shall establish the Local Government Records Program to be administered by the State Archives to establish guidelines for local government retention and to provide archival support to local agencies in this state.”

These guidelines also serve as an attempt to provide some standards and structure to the local government records management effort. The goal of the State Archives, in compliance with Government Code section 12236, is to consolidate information resources and provide local government with a single source for archival and records management support and guidance., is to consolidate information resources and provide local government with a single source for archival and records management support and guidance.

Prepared by:

  • California Secretary of State, Archives Division
    • California Records and Information Management Program (CalRIM)
    • Local Government Records Program (LoCal)
    • State Records Appraisal Program (SRAP)

Table of Contents

  • Chapter 1 - Records Management Basics
    • The California Records and Information Management (CalRIM) Program
    • The LoCal Governement (LoCal) Program
    • What is a Records Management?
    • What is a Record?
    • Oral Histories and Ephemera
    • What Is NOT A Record -- Copies, Duplicates, and Publications 
    • Drafts
    • Managing Drafts
    • Managing Office 365 Version History
    • Record vs. Record Series 
    • Record Series Title 
    • Record Series Description
    • How Are Records Useful? 
    • The Life of a Record: Creation to Disposition
  • Chapter 2 - The Purpose of a Records Management Program 
    • Administering Your Records Management Program 
    • Records Management Coordinator (RMC) 
    • RMC Responsibilities 
    • Records Management Assistant Coordinator (RMAC) 
    • RMAC Responsibilities 
    • Establish Records Management Policies 
    • Include Instructions for Onboarding/Offboarding 
    • Basic Template for Policy 
  • Chapter 3 - Eletronic Records and Storage
    • Metadata Categories and Functions
    • Electronic Mail (E-mail) Records
    • Email Policies
    • Social Media Policies
    • File Naming Conventions
    • Personal Digital Devices
    • Data Management Concerns
    • Security Concerns 
    • Privacy Concerns 
    • Digitizations Projects
    • Considerations Before Digitizing 
    • Required Notifications to CalRIM
    • Digitization Standards
    • Ensure a Faithful Digitized Reproduction of the Records
    • Electronic Records Replacing Paper Originals
    • Quality Control
    • Management and Preservation of Digitized Documents
    • Trustworthy Systems and Internal Staff Access
    • Electronic Data Management Systems (EDMS)
    • EDMS Function
    • Benefits of an EDMS 
    • Selecting an EDMS 
  • Chapter 4 - Records Inventory
    • Why are Records Inventories Important?
    • Conducting a Records Inventory
    • Preparing for the Inventory
    • Catalog of Records Inventory
    • Creating or Obtaining a Map of the Office
    • Records Inventory Worksheet (STD. 70) fror State Agencies
    • Inventory Worksheet - Column 1 - Record Series:
    • Inventory Worksheet - Column 2 - Description
    • Inventory Worksheet - Column 3 – File Location
    • Inventory Worksheet - Column 4 – Media Type
    • Inventory Worksheet - Column 5 – Years Covered
    • Inventory Worksheet - Column 6 – Reference Status
    • Inventory Worksheet - Column 7 – Document
    • Inventory Worksheet - Column 8 – Volume
    • Inventory Worksheet - Column 9 – Remarks
    • Completing the Inventory
  • Chapter 5 - Defining Records Retention Periods and Identifying Essential Records
    • What is a Retention Period?
    • What are Cutoff Dates? 
    • Examples of Cutoff dates: 
    • How to define Retention Periods for Records
    • Retention Period Considerations: 
    • Administrative Value of Records
    • Legal Value of Records
    • Fiscal Value of Records
    • Identifying Essential/Vital Records
    • Essential Records Must Be Stored in 1 of 3 Ways: 
    • The 3-2-1 Rule
    • The Importance of Managing Essential Records
    • Storing and Classifying Confidential Information
    • Submitting the Inventory and Retention Schedule to RMC
  • Chapter 6 - Records Retention Schedule
    • What is a Records Retention Schedule? 
    • How to Search a Previous Retention Schedules Using the Athena Database
    • State Agency Retention Schedule Forms and Processes
    • Standard 73 (STD 73) Cover Page
    • Records Retention Schedule Form - STD 73, Page 2
    • Summary of Changes
    • Accounting for Unit Name Changes and Addressing Combined Schedules - Amendments and Revisions
    • Amending a Schedule to Account for an Organizational Change
    • Revising a Records Retention Schedules 
    • Updating a Retention Schedule Due to Digitization
    • The Records Retention Schedule Process
    • Submitting the Schedule for CalRIM Review
    • Submitting an Organizational Chart
  • Chapter 7- External Third-Party Storage for Records
    • Storing at the Department of General Services (DGS)'s State Records Center (SRC)
    • Considerations For Third-Party Storage
  • Chapter 8 - CalRIM Approval of Records Retention Schedule
    • Retention Schedule Approval Procedure
    • Approval Number Assigned
    • Approval Date Assigned and Explained Date Set
    • State Records Appraisal Program Approval

Chapter 9 - Implementing Records Retention Schedules

  • What is a Records Retention Schedule? 
  • First Steps 
  • Ongoing Efforts
  • Include Schedule Implementation in Policies and Procedures
  • How to Search a Previous Retention Schedules Using the Athena Database
  • Chapter 10 - Records Disposition (Destruction or Archival Transfer)
    • Records with "Notify Archives" Flags
    • Archives Tranfer Form - CSA-TL-01
    • Transferring Paper Records to the California State Archives
    • Transferring Electronic Records to the California State Archives
    • Preparing Electronic Records for Transfer 
    • File Formats for Transfer 
    • Utilizing the Records Destruction Log
    • Destroying Paper Records 
    • Witnessed Destruction of Confidential Records
    • Destruction Log - Template Form
    • Lost or Accidentally Destroyed - Notification Form
  • Chapter 11 - Conclusion
    • Benefits of Records Management 
    • It is the Law
    • Save Space, Time and Money
    • Improve Workflow 
    • Maintain Public Trust and Transparency (Public Records Act)
    • Maintain Integrity and Accessibility of Records
    • Preserve Your Agency's Legacy
    • Contact Information