Katrina J. Youngdate

APPROVALS

______1/20/2017______

Katrina J. YoungDate

Records Liaison

Planning Department

______1/30/2017______

Edward McKinneyDate

Interim Director

Planning Department

TABLE OF CONTENTS

1.0INTRODUCTION………………………………………………………………………………………………………………….1

1.1Purpose………………………………………………………………………………………………………………….

1.2Scope……………………………………………………………………………………………………………………..

1.3Responsibilities……………………………………………………………………………………………………….

2.0DEFINITIONS………………………………………………………………………………………………………………………

3.0FILE PLAN……………………………………………………………………………………………………………………………

3.1Document Libraries…………………………………………………………………………………………………

3.2Approval for Destruction…………………………………………………………………………………………

3.3Records on Litigation Hold………………………………………………………………………………………

3.4Superseded and Obsolete Documents…………………………………………………………………

3.5Documents that should not be tagged final and should not be entered into the Records Center………………………………………………………………………………………………………………………

3.6Metadata to Allow Standardized Searching Planning Department Record Center-----

4.0DIVISION POLICIES AND PROCEDURES

4.1Administration

4.2Area Planning

4.3Capital Facilities

4.4CRTPO/Transportation

4.5Economic Development

4.6GIS/Mapping/Graphics

4.7Historic District

4.8Research

4.9Subdivision

4.10Urban Design

4.11Zoning Administration

4.12Zoning Services

5.0REFERENCES…………………………………………………………………………………………………………………………

Appendix A: Records Representatives………………………………………………………………………………..……….A-1

1.0INTRODUCTION

1.1Purpose

The purpose of this document is to create a File Plan that supports the retention policy and the disposition instruction outlined in Charlotte-Mecklenburg Planning Department (Planning) approved Retention Schedules. Planning Department Internal Retention Schedules are necessary to ensure consistent retention of Planning records and to avoid premature or delayed destruction of its records. The retention of records is based on:

NC Municipal Schedule adopted by City Council on ______

1.2Scope

The Planning Department’s electronic and offline records should be available for review in accordance with North Carolina General Statue (NCGS) Chapter 132 and North Carolina Department of Cultural Resources(NCDCR) Municipal Records Retention Disposition Schedule.Formal approval by the Department and in some cases the NCDCR is required prior to the destruction of records.

1.3Responsibilities

The City of Charlotte Information and Technology Account Manager is responsible for maintenance of the server which houses the Planning Department Records.
The Planning Records Manager is responsible for the File Plan, training, updating the classification lists and final destruction of approved records.
Planning Records Representatives are responsible for ensuring that final records are entered into the Record Center.
All Planning Department employees must ensure that the records they create are accurate, legible and complete.

2.0DEFINITIONS

Category – A column that allows the SharePoint Contributor to enter different metadata that can be used to group related records together for the benefit of the end user. Categories can be used in lieu of folders and provide an alternate way of viewing records in SharePoint.

Columns – Specific metadata that is deemed most important in the libraries to facilitate searches, sort, and filter the documents in the libraries. Columns appear at the top of the library pages as headings, such as Name of Document, Division/Section, Record Type, or Date Created. You can use the column headings to sort and/or filter the files in a library. See Section 3.6 for additional information on required Columns for Planning Department document libraries.

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File Plan – A File Plan outlines how records are organized, maintained, and destroyed.

Information Classification – Information Classification details the individual identification of records. This is the process of setting the metadata that will identify that piece of information.

Keywords – Words or phrases that site contributors identify as important. Keywords are predetermined words or phrases that facilitate searches for documents in SharePoint.

Library – A specialized list that contains metadata and content. The three types of libraries available in SharePoint are document libraries, form libraries, and picture libraries.

List – A collection of information displayed in an area or on a site. List types include: Announcements, Items, Links, Contacts, Events, Tasks, and Issues.

Metadata – Descriptive information that is assigned to documents and later used to retrieve those documents and files in an Electronic Document Management System. Metadata fields such as Name, Date Created, Date Modified, etc., are called “columns” in SharePoint. Metadata facilitates quicker access to the information when needed and can reduce the time employees spend searching for documents.

Record Center – The Record Center in SharePoint prevents editing of the final record and manages the disposition of the record.

Record Type – Records that relate to a particular subject or function. Record Types may also be referred to as Record Series and Document Classifications.

Records Inventory – A list of record types by Division/Sectionthat includes, at minimum, the records’ locations and record-keepers. A complete records inventory is an important step in a records management program and is the foundation for the creation of records retention and disposition schedules.

Records Retention and Disposition Schedules – A records retention and disposition schedule is a listing of records by type that provides the minimum length of time the record must be retained. Other pertinent information about the record may be collected such as the approved storage location of the records, the employee(s) responsible for collecting the records, whether the records are public or restricted, etc. Retention schedules are used to ensure consistent retention of the Planning Department’s information and records and to avoid premature or delayed destruction of records.

3.0FILE PLAN

Planning DepartmentFilePlanisbasedonPlanning Departmentapprovedrecords retentionschedules.The retentionperiodsonPlanning Departmentrecords retention schedulesareapprovedby the appropriatePlanning DepartmentDivisionorSectionManagers,thePlanning DepartmentRecordsManager,and the Planning Department Director. These schedules meetthe minimum requirementsof theNCMunicipalSchedule.Record retentionistied totherecordtypesoutlinedintherecords retentionschedules.

3.1DocumentLibraries

TheRecordCenterhas shareddocumentlibrariestomanage thedisposalof recordswiththesamedispositioninstructions.EachDivisionandSectionhas a record classification listthatassignseach ofits record types to one ofthe RecordCenter’sdocumentlibraries. ThePlanning DepartmentRecordsManagermaintains thislistintheRecordCenter. Thedisposalofa recordis tiedto thedate the recordis created,exceptinthecase ofProjectRecords,whichwillbetiedto theanticipatedproject closeout date.

3.1.1 Separatelibrariesforpublicandrestrictedrecords

TheRecordCenter has two typesofdocument libraries:

1. PublicRecordsLibraries:

Public recordslibrariesin the Record Centercontain public records andmay beviewed byanyCity orPlanning Departmentemployee.MostCity documentsarepublicrecordsunlessspecificallyexemptby federal orstatelaw.

2. RestrictedRecordsLibraries:

Permissions forthe restrictedrecordslibrariesare basedon employees’ needtoknow theinformation toperformtheir jobs. Restricteddataisprohibited frombeingreleased basedon federal andstatestatutesand isnot restrictedbasedonemployees’ preferences.Some examplesofrestricteddatainclude:trade secrets,personal identifyinginformation,portionsofpersonnel records (160A-168),SensitiveSecurity Information(SSI),etc.For other examples of restricted data, see City Policy ADM 13

ProtectionofRestricted DataDocumentscontainingSSIshouldbe labeled“SensitiveSecurity Information”prior tobeinguploadedto therestrictedlibraries.

3.1.2 Librariesestablishedaccordingtoretentionperiods

Record Center Libraries are based on the retention period of the recordtypestheystore. Thefollowinglibrarieshavebeencreatedin The Planning DepartmentRecord Center for bothpublicandrestrictedrecords.

90 days

6 months
1 Year
3 Years
5 Years
6 Years
ActiveFinalsUntil Supersededor Obsolete
LifeofEquipment
PoliciesandProcedures
ProjectRecords
PermanentandHistorical Records
PermanentSupersededandObsolete
UnclassifiedRecords

3.2Approvalfor Destruction

Uponactivationofthedisposalworkflow,SharePointwillautomaticallysubmit arequestforapprovalto destroyeligiblerecordsintheRecordCenterto the Records RepresentativefortheDivisionand/or Section. The RecordsManagerisresponsible forcreatingand maintainingalistofRecords Representatives(SeeAppendixA). The “RequestforDisposalofNon- PermanentRecords”mustinclude the record type,date the recordswere created, thedispositioninstructions,andthe date the records wereeligible for destruction.

The requestwillbesentasaworkflow assignmentonanannualbasison the lastworkingdayofthefirstcalendarmonthofthecalendaryear. Theworkflow willattachareportforreview andwillallow theRecordsRepresentativeto forwardtherequestforapprovaltoappropriate employees.Theworkflowwill require biweekly remindersand escalationwithin 30 businessdays tothe RecordsManager.IftheRecordsManagerortheirdesigneedoesnotreceive a responseafter2weeks,theRecordsManager ortheirdesigneewill contact theRecordsRepresentative.Ifno response isreceivedafter4 weeks,the RecordsManagerwill contact theDivision/SectionManager.Ifno responseis receivedafter6weeks,theRecordsManagerwillscheduleaformalmeeting to getofficialapprovalfordestruction.The followingtasksassociatedwiththe approval ofdestructionmaybeperformed:

1. The recordmaybe destroyed. The metadataand the record will be destroyed.

2. The retention period may be extended for 1 year and another destruction date may be entered.

3. The record may be placed on litigation hold.

3.3RecordsonLitigationHold

Recordsonlitigationholdwill notbedestroyed. TheRecordsManager will placetherecordsonlitigationholduponreceiptofnotificationfromtheCity Attorney forPlanning Departmentorhisdesignee.TheCityAttorney forPlanning Departmentwillnotifythe RecordsManager when theholdislifted. All Planning Departmentemployeesareresponsible foradheringto the recordsonlitigationholdprocess.A reportwillbecreated forall recordsonlitigationhold. TheRecordsManagerwillatleastannually submitthereporttotheCityAttorney forPlanning Departmenttoinquireaboutlitigationhold lifts.Anew destructiondatewillbeenteredpertheCityAttorney’s recommendations.

3.4SupersededandObsoleteDocuments

Superseded and Obsolete documents such as Planning DepartmentPolicies and Procedures andother documents requiringretentioninaccordancewithPlanning DepartmentretentionschedulesmaybeenteredintheRecordCenterwhenthey aresupersededorobsolete.Supersededdocumentsaredocumentsthat have beenreplacedby anewerversion.Obsoletedocuments arenolongerinuse andhavenotbeenreplacedby anewerversion.Thestatusofthedocument willbechangedtosupersededorobsolete.Documents mustclearly be displayedas“Superseded”or“Obsolete”to preventmisuse.Superseded and obsoletedocumentswillnotbesearchableinCNet.

3.5Documentsthat shouldnot betaggedfinalandshouldnot beentered intotheRecordCenter

•Documentsthatarebeingroutinelyupdatedonaweekly,monthlyor quarterly basis.Oncethedocumentisnolongerbeingupdated,the documentstatusmay bechangedand thedocumentcanbeenteredinto theRecordCenter.

•Preliminaryorroughdraftscontainingnosignificantinformation thatisnot containedinthefinal version.

• Copiesofdocumentsthat maybedestroyedwhen reference valueends.

• Facsimilecoversheetscontainingonly transmittal (toandfrom).

• Reservationsandconfirmations.

• Personal messages(includingelectronicmail).

•Documentsdownloadedfromthewebthatarenotusedinthetransaction ofPlanning Departmentbusiness.

3.6MetadatatoAllowStandardizedSearchinginPlanning DepartmentRecordCenter

TheRecordCenterhasan“AdvancedSearch”featurethatusesthefollowing metadata:

Title

Name

Keywords

Division/Section

RecordType

RecordNo. or Identifier

DateCreated

RecordOwner

ProjectName

ThefollowinglistsofRequiredandApprovedOptionalColumnheadingsfor Projectand TeamSiteshavebeenapprovedbythesignersofthisFilePlan. Usingcolumnheadingsthatarenotonthislistmaypreventrecordsfrom beingsearchable; therefore,itisstrongly recommendedthatallPlanning Departmentdocument librariesusethesecolumnheadings.

Required Columns

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Name

Namerefers to thenameof thedocument.Documentsneed tobe namedcorrectlyso that employeescanfind them. Avoidabbreviations andusetheYYYYMMDDdateformatintherecord’snameto keepthe recorduniqueifneeded.Donotusespecialcharacters,suchas/:*”

! [ ] $. These characters are used for specific tasks in an electronic environment. Change record names thatdo notmeet theseguidelinesinordertominimizetheamountoftimeneeded to retrieve the record.Alwaysinclude the “Name”column in your library views;SharePointformats documentNamesas hyperlinksso youcanopenthedocuments. Clickingonthedocument’sTitle(see below)will notopenthedocument inSharePoint 2015.

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Document Status

Document Status facilitates the routing of a record to the Record

Center,preventingfutureeditstothatrecord. Documentstatusmay be: Final, In Progress, Active Final, Superseded, Obsolete, or LitigationHold.

RecordType

Record Typesrelateto aparticularsubjectorfunction.Only select Record Typesthatare listedonyourDivision/Section’sretention schedule.

DateCreated

Theactualdatethedocumentwascreated. This datealsodetermines therecord’sdestructiondate.

RecordOwner

TheRecord OwneristheDivisionorSectionthatcollects,creates and/ormaintainstherecordinaccordancetotherecordsretention

schedules. TheRecordOwnerissettodefaulttotheDivision/Section

that owns thedocumentlibrary.

Department

Thedepartmentthatcollects,createsand/or maintainsthe record. This columnisset todefault toPlanning Departmentforall Planning Departmentteamsites.

Document Access(Restricted,Public)

TheDocumentAccesslevel maybeRestrictedor Public,asidentified in theMunicipal schedule;determinedbyGeneral Statute132.

Approved OptionalPlanning DepartmentColumns(not requiredineverydocumentlibrary):

SharePointautomaticallyentersthe Title,soitmustbereviewedwhen thedocumentisuploadedandchangedifnecessary toensure accuracy. Thedocument’sTitledoesnot have tobeunique.

Division/Section

TheDivisionandSectioncolumnisused toidentify whotherecord pertainsto. ThismaybedifferentfromtheDivisionorSectionlistedin

the Record Owner column. For example, a Text Amendment procedurecontained in the RezoningPolicies andProcedures Document Librarywillhave“Text Amendment”listedastheRecordOwnerbut “Rezoning” will belistedin theDivision/Sectioncolumn.

TheDivision/Sectionfieldmay beleftblankifitpertainstomultiple divisionsorsections.(Forexample:anagenda foraPlanning Department-widestaff meeting)

ProjectName

ProjectNameallowssearchesfor specificprojects.

Author

The person who created the document. SharePoint automatically entersanAuthorname basedontheoriginaldocument,soitmustbe reviewedwhenthedocumentisuploadedand changedifnecessary to ensureaccuracy.

SUBDIVISION Classification AND DISPOSITION

INSTRUCTIONS List by RECORD TYPE

Public or Protected / Division/
Section / Record Type / Disposition Instructions
(keep # of years)
Public / SUBDIVISION / Action by Council / Permanent
Public / SUBDIVISION / Agendas / Retain records with historical value permanently prior to 200?
Public / SUBDIVISION / Declarations and Bylaws from townhouses/condo/res / Destroy in office when administrative value ends, provided the originals have been filed in the Register of Deeds Office. If not filed in Register of Deeds Office, retain in office permanently.
Public / SUBDIVISION / Maps / Permanent as part of the Planning Review Case File otherwise will be destroyed in office 6 years after last entry.
Public / SUBDIVISION / Planning Review Case File / Permanent
Public / SUBDIVISION / Plats (FINAL) / Permanent
Public / SUBDIVISION / Sketch
(Section 2015) / 365 days after approval*
Public / SUBDIVISION / Street Exceptions (Section 2015)
Public / SUBDIVISION / Variances & Appeals
(Section 2020) / Permanent

* Accela will be used as the management tool to send reminder of the 365 day expiration date for Sketch plans

DEFINITIONS

ACTION BY COUNCIL

No ordinance, resolution, motion or vote shall be adopted by the council except at a meeting open to the public and, except motions to adjourn, to fix the time and place of adjournment, and other motions of a purely procedural nature. All voting except on procedural motions relating to subdivision regulations

AGENDA

An agenda is a list of items to be discussed at a formal meeting.

MAP

A map is diagrammatic representation of an area of land showing physical features such as properties, road and water bodies.

PLANNING REVIEW CASE FILE

For required review of site plan, zoning variance, special permit, subdivision creation or enlargement, municipal planning action, or other required review, including but not limited to maps, plans, sketches, photographs, engineering reports, environmental impact statement and studies, copies of zoning records, project narrative, correspondence, including email, and record of final determination. Note sketch plans approval is valid for 1 year (365 days).

PLAT

Aplatis amap, drawn to scale, showing the divisions of a piece of land including distances between section corners, blocks with streets and alleys. Plats also may include topographic or vegetation information.

SKETCH

A sketch is a preliminary or rough/ unfinished drawing indicating some essential features without the specific details of a subdivision made to assist in making a more detailed plat

STREET EXCEPTION

VARIANCE

A varianceis relief from the strict enforcement of thestandards of the Subdivision Ordinance because of a special circumstance or unusual consideration that exists on theparcel of land.

FILE LOCATIONS

RECORD TYPE / LOCATION
Action by Council / N/A
Agendas / N/A
Declarations and Bylaws from townhouses/condo/res / Register of Deeds
Maps / File Cabinets in hallway near subdivision offices
Planning Review Case File / File Cabinets in hallway near subdivision offices
Plats (FINAL) / File Cabinets in hallway near subdivision offices
Offsite
Sketch Section (2015) / Reviewers desk until FINAL plat is approve and then destroyed
Street Exceptions (2015) / Recorded in Accella
Variances and Appeals (Section 2020) / File Cabinets in hallway near subdivision offices

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