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Home My WebLink About2007 Records Retention Policy and ScheduleCity of San Luis Obispo RECORDS RETENTION POLICY AND SCHEDULE Prepared by the - City Clerk's Office September 2007 RECORDS RETENTION POLICY AND SCHEDULE TABLE OF CONTENTS 1. Resolution No. 9174 Adopting City-Wide Records Policy and Retention Schedule 2 2. Records Retention Policy .4 A. Electronic Mail Policy 8 B. Sample 1 -Certificate of Destruction 15 C. Sample 2 -Destroyed Records Log 16 3. Legend 17 4. Records Retention Schedule 18 1 RESOLUTION NO. 9174 (2001 Series) A RESOLUTION OF THE COUNCIL OF THE CITY OF SAN LUIS OBISPO ADOPTING A CITY-WIDE RECORDS RETENTION SCHEDULE AND ESTABLISHING A POLICY FOR THE PRESERVATION, PROTECTION AND LEGAL DISPOSITION OF THE CITY'S RECORDS WHEREAS, it is necessary to provide a system for effectively managing the papelWork accwnulated in the daily operations ofthe City of San Luis Obispo; and WHEREAS, Section 34090 of the California Government Code provides guidelines for destroying records that have served their purpose and are no longer required; and WHEREAS, the City Council did, by the adoption of Resolution No. 5304 (1984 Series) authorize retention schedules for certain City Clerk records; and WHEREAS, the City Council did, by the adoption of Resolution No. 8122 (1993 Series) authorize retention schedules for certain financial and personnel records; and WHEREAS, there is a need for a City-wide records retention policy and schedule, which standardizes the length oftime records are kept according to all applicable legal, fiscal, administrative and historic requirements. NOW, THEREFORE, BE IT RESOLVED by the Council of the CiJyofSan Luis Obispo resolves as follows: SECTION 1. The Records Retention Schedule attached hereto (Exhibit A) is hereby adopted and shall be implemented on an ongoing basis without further action by the City Council. SECTION 2. The Records Retention Policy attached hereto (Exhibit B) is hereby estab lished. SECTION 3. That portion of Resolution No. 5304 (1984 Series) establishing a retention period for certain City Clerk records is hereby rescinded. SECTION 4. Resolution No. 8122 (1993 Series) authorizing retent10n schedules for certain financial and personnel records is hereby superseded. SECTION 5. The City Council does hereby direct the City Clerk, in consultation with the City Attorney, to review annually state and federal regulations and to update the Records Retention Schedule and/or policy as necessary. R9174 2 Resolution No. 9174-(200 1 Series) Page 2 of2 Upon motion of Vice Mayor Ewan, seconded by Council Member Mulholland, and on the following roll call vote: AYES: Council Members Marx, MullioUand, Schwartz, Vice Mayor Ewan, and Mayor Settle NOES: None ABSENT: None thThe foregoing resolution was adopted this 24 day ofApril~, . if~ _ . ~.-/~ ~ M1i"yor Allen Settle ATIE Lee Price, City Clerk APPROVED AS TO FORM: 3 CITY OF SAN LUIS OBISPO POLICY FOR THE PRESERVATION, PROTECTION, RETENTION AND LEGAL DISPOSITION OF THE CITY'S RECORDS SECTION 1. Purpose: The declared purpose of this policy is to provide for the proper and efficient management of City of San Luis Obispo business records. Proper and efficient management includes: • Providing public access to and protecting the public's rights to inspect public records in accordance with the California Public Records Act. • Preservation of records with long-term or permanent value. • Protection of records vital to City government in the event of a disaster. • Protection of records essential to City government, but which are referenced infrequently. • Demonstration of compliance with legal retention requirements established by federal, state and local authorities. • Orderly retirement and destruction of records no longer required by statute to be retained or needed for reference. • Elimination of duplicate records filed in several departments. • Ensuring proper administration of records not subject to disclosure. • Providing protection in litigation, audits, and other disputes. • Reducing space needs and cost limitations. SECTION 2. Definitions: A. "Public Record" includes any writing containing information relating to the conduct of the City's business prepared, owned, used, or retained by the City regardless of physical form or characteristics. "Writing" means any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record 14ls been stored. Computer software purchased or developed by the City is not itself a public record. "Computer software" includes computer mapping systems, computer programs, and computer graphics systems. The data or information stored in a computer is a public record and shall be managed and disclosed as required. E-mail retention is governed by the City's Electronic Mail Policy (attached). B. "Records Management" means the systematic control of the creation, processing, use, protection, storage, and final disposition of all pubic records pursuant to State and local laws and regulations. 4 Records Retention Policy Updated 10/212007 C. "Retention Schedule" means the document identifying the length of time a record is maintained, including disposition. D. "Disposition" means the length of time a record is kept, which may be permanent. E. "Active Record" means records kept in the office and referred to on a regular basis. F. "Inactive Record" means any public record transferred to a records center for storage until disposition is reached. G. "Archives" means a repository for housing historical records, (whether in paper, microfilm, or digital) which should be protected or preserved. H. "Historical" refers to the retention of records that have enduring value because they reflect significant historical events or document the history and development of the City. 1. Transitory/Non-Records refer to records whose value is comparatively short-lived and should be discarded when they have fulfilled their purpose for which they were created. Examples: 1) Copies of reproduced/printed material of general information. 2) Originals/copies of documents kept solely for tickler, suspense or follow-up. 3) Transmittal letters/memos. 4) Preliminary work materials used for preparation of reports, studies, etc. 5) Duplicates/extra copies of records. 6) Appointment logs/calendars. J. "Vital" records contain information essential for the resumption of operation after a disaster or the reestablishment of the legal and financial status of the organization. SECTION 3. Ownership of Public Records: All public records are the property of the City and shall be delivered by outgoing officials and employees to their successors. Public records are to be maintained in active file areas or in a designated records center. SECTION 4. Responsibilities: A. City Council. The ultimate policies for the keeping, producing, permitring copies, and management of all public records of the City shall rest with the City Council. B. Officers and Employees. Each officer and employee of the City has the duty to protect, preserve, store, transfer, destroy or otherwise dispose of, use and manage public records in accordance with applicable Federal or State regulations, or such rules as may be approved by the City Council. C. City Attorney. The duty of the City Attorney shall be to review and approve requests to dispose of records in accordance with the City's adopted records retention schedule; and to provide legal guidance to the City Clerk in any review of and amendment to the 5 Records Retention Policy Updated 10/2/2007 retention schedule, in accordance with Federal, State and City regulations. D. City Clerk. The City Clerk may, for the proper and efficient management of the public records: 1. Develop and circulate instructions and regulations necessary and proper to implement the Records Retention Schedule. 2. Advise and assist City departments in the preparation of records inventories and retention periods, and make recommendations to the City Attorney. 3. Maintain archives to protect records of historic nature, which should not be destroyed. 4. In consultation with the City Attorney, revise the records retention schedule as appropriate. E. City Department Heads. Each City Department Head shall establish and maintain an active, continuing program for the economical and efficient management of the public records of that department. Such program shall, among other things, provide for: 1. Effective controls over the creation, maintenance, and use of public records in the conduct of business. 2. The maintenance and security of records deemed appropriate for preservation. 3. Segregation and disposal of records of temporary value in accordance with the established retention schedule and this policy. SECTION 5. Records Purge: At least annually, each Department is responsible for reviewing all records in its custody. Records that have reached the end of their retention period are to be destroyed pursuant to Section 6. Electronic versions of those records must also be deleted. Please note, at this time, digital records are not considered by the State archivists to be of archival quality. State archivists use microfilm for pennanent records, which can last for more than 50 years. However, most digital fonnats become suspect within 10 to 20 years. At this time, there is no system in place that will overcome the built-in obsolescence of digital technology. While CDIDVDs can be reproduced ad infinitum, the potential for hardware and software infrastructure problem is the real issue. Therefore, original or paper copies of documents that have been digitized but not microfilmed/fiched, and have a retention period of greater than 10 years must be retained. Unless otherwise specified in Section 6, original or paper copies of documents that have been microfilmed/fiched may be destroyed. 6 Records Retention Policy Updated 10/2/2007 SECTION 6. Destruction of Public Records: The City Council, by adopting the records retention schedule, authorizes City Department Heads to destroy duplicate records less than two years old if the records are no longer required in accordance with adopted retention schedules. All original records to be destroyed must be listed. Requests for the destruction of original records must be approved by the responsible Department Head and the City Attorney prior to destruction. The approved listing of the destroyed documents (sample 2), a copy of the appropriate page from the records retention schedule and the signed-Certificate of Destruction (sample 1), shall be filed in the Office of the City Clerk. Note: Once authority has been received to destroy records, all forms of that record must be destroyed (or deleted): paper, microfilm/fiche, electronic format. This section does not authorize the destruction of the following original records: A. Records affecting the title to real property or liens thereon. B. Records required to be kept by statute. C. Records less than two years old. D. Minutes, ordinances, or resolutions of the City Councilor of a City Board or Commission. E. Original or paper copies of digitized records with a retention period of 10 years or greater. The City has identified that shredding and recycling the paper produced from the destruction of these records is the most appropriate method of disposal. Accordingly, although the specific method used for destruction shall be at the discretion of the Department Head, it shall reflect a method of destruction that recycles any paper products and avoids the use of sanitary landfill sites. 7 city o~ ATTACHMENT ~san lU1S OBISPO Electronic Mail Policy OVERVIEW Electronic mail (email) can be a very effective way of sharing information with others, both inside and outside of our organization. However, because email often appears less formal than other forms of written communication, there is a tendency to forget that email messages are no less a part of "official city business" than any other hard-copy City correspondence. The purpose of this policy is to set forth guidelines for using the City's email system -whether internal to the City or with others via the internet -that retain its inherent value for enhancing information exchange while also assuring its appropriate use in conducting City business. PURPOSE OF EMAIL The City's email system exists solely for the purpose of conducting City business, and is not intended for personal use. All electronic data placed on the City's information systems are the property of the City. Accordingly, employees should have no expectations of privacy in their email messages (or any other data files residing on City-owned hardware), whether sent or received. This includes any messages or files that users may designate as "private, personal or confidential" under the City's software. While email messages and other data files will not be routinely monitored, the City reserves the right for authorized staff to access and review all email messages and data files on the City's information systems at any time. Reasons for doing so include: • Retrieving lost data. • Recovering from system failures or monitoring system performance. • Complying with lawful requests for information. • Ensuring that City information systems are being used in accordance with this policy. There are a number ofcircumstances under which email messages may be publicly disclosed. If disclosure of email messages (or any other data files) should be required under the Public Records Act or other lawful requests for this information (despite the designation of any message as "private" or "confidential"), the City shall not be liable for this disclosure in any way. In short, the City's information systems do not provide any guarantee of personal privacy protection, and employees should use them with this limitation in mind. 123-1 8 Electronic Mail Policy Limits to Access. While the City reserves the right to access and review all data on its information systems, no employee -including system administrators, other information technology (IT) support staff or an independent contractor -is allowed to access email or other data files solely for the purpose of satisfying idle curiosity about the affairs of others. PROHIBITED USES OF EMAIL Since our email system exists solely for the purpose of conducting City business, good judgment and common sense should prevail at all times regarding its appropriate use. Under this standard, it is not possible to list all of the allowed and prohibited uses of email. However, the use of City email is expressly prohibited whenever it would: • Compromise the integrity of the City and its business operations in any way. • Break the law by sending chain letters or copies of documents in violation of copyright laws or by committing any other illegal acts. • Contain offensive, abusive, threatening or obscene language or graphics. • Violate the City's diversity or sexual harassment avoidance policies by including content that is sexually explicit or could be construed as discriminatory based on race, national origin, sex, sexual orientation, age, disability, or religious or political beliefs. • Advertise or promote commercial ventures, religious beliefs or political causes. • Result in private gain or advantage for the employee (such as conducting business related to economic interests outside of City employment); or violate the City's ethics policy. Personal Use of Email. There may be times when email messages of a more personal nature may be appropriate, such as notifying fellow employees about births, deaths and illnesses. There are also times when providing or receiving information about people and events outside of the City organization may be appropriate; however, these should be few and far between. When considering the appropriateness of such use, ask yourself: are the City's mission, goals and values advanced by this communication? If in doubt, ask your Department Head or the Human Resources Director for guidance. ETIQUETTE Because of its "real-time" nature, there are some "etiquette" distinctions that should be made in using email over other forms of written communication: • Share information, but avoid arguing. Email is very effective for sharing information, but it is not very effective in resolving conflicts or differences of opinion. Don't argue over email. Whenever discussion is required in reaching a decision, the telephone or face-to-face communication should be used. 123-2 9 Electronic Mail Policy • Don't hide behind the keyboard. Do not fall to the temptation of using email to communicate bad news and avoid difficult face-to-face discussions. Some things you just have to do in person. If you are having conflicts with someone, this requires a more personal form of communication in resolving differences. • Use humor and sarcasm with great care. These can be very easily misunderstood without the benefit of body language or tone of voice. "Emoticons" (simple keyboard graphics intended to present your "emotions" -happiness, sadness, wry humor -to the recipient through keystroke "icons," thus the term "emoticons") can often help in conveying intended moods and tone. However, these should not be used in place {)f good judgment about the proper tone or content of your message. • Don't be hasty -avoid "flaming." Spontaneity is another benefit of email-but it's also a curse. If a message generates negative feelings, set it aside and re-read it later. Don't rule out the possibility that this is a misunderstanding, which is common in email because of the lack of physical cues. On the other hand, just as unintended "tone" can be a problem (I didn't mean to make fun of you and hurt your feelings), intended tone can also be a problem (I did mean to make fun of you and hurt your feelings). You need to watch the tone of an email message as closely as you would a memo written on paper. Anger, frustration and derogatory comments about others are never appropriate responses to convey via City email. As discussed above, these types of concerns (while they may at times be legitimate in the work place) need to be communicated in more personal forms. • Read and respond to email on a timely basis. You should read your email (both internal and external) and respond to it on a timely basis as you would with any other hard-copy correspondence or phone messages. • Don't forget it is in writing. Never put into an email something you would not put into a hard-copy memorandum. The informality of email is part of its convenience. But depending on how it was saved by you (or the recipient), it can become a permanent record of a written communication -and more easily retrieved than a hard-copy memorandum. Further, email may be subject to disclosure as a public record. In short, just because you've deleted and forgotten it, doesn't mean you won't be seeing it again. • Be focused -avoid sending messages to "everyone." While there may be times when "All City Employees" is the right audience, be sure to ask yourself: is this truly something "everyone" needs to know? Send your email messages only to those who truly need to receive them. • Do not use email for confidential information. There is no such thing in email. • Grammar and spelling are important. In any correspondence, proper grammar, sentence structure and spelling help the reader understand your message -so review your email messages for both structure and content before sending them. The City's email software includes a spell check feature -so use it. • Be brief. Long email messages can be difficult to read. Keep paragraphs short, and use lots of "white space" to enhance the look and clarity of email messages. Compose longer 123-3 10 Electronic Mail Policy messages in Word, and then attach it as a file to your email. It will be easier for you to prepare with the added tools that Word offers, and it will be easier for the recipient to read. • Identify yourself in external email messages. In an external email message.itis likely that the recipient will only be getting your user name, so be sure to include your full name, position, department and the City's name somewhere in your message. (Outlook has a "signature" feature that makes this easy to do.) • Don't use all capital letters in composing your message. This is the electronic equivalent of SHOUTING. RECORDS MANAGEMENT AND FILE MAINTENANCE Under the Public Records Act, email messages are subject to the same records retention requirements as all other City documents. In many cases, email messages are either "non records" or "transitory" documents (work-in-progress), and therefore are not subject to minimum records retention Practice Tirequirements. For file management and storage purposes, email messages that are non-records or transitory documents Think of email in your "virtual" in and out boxes the same way you do your should only be retained for as long as needed. In most instances, this means deleting messages as soon as you have "real" ones. How long do read them, and shortly after you have sent them. you keep items in your "physical" in box? And how However, depending on its purpose and record type, some long in your outbox? email messages are subject to longer retention periods based If you need to retain on adopted schedules. In this case, email messages should be documents in yourstored outside of Outlook, either by saving them to the "physical" in or out-box, do appropriate network drive and folder; or printing hard copies you keep them in these of the messages and filing them in an appropriate hard copy boxes? Or do you file them file. The email messages themselves should then be deleted. elsewhere (like in a file cabinet)? How can you tell if the email message is a "non-record", "transitory record" or a "record" subject to the City's retention requirements? The simple answer is: apply the same criteria you use every day in determining the retention requirements for the "hard copy" communications you receive and send. More information about the City's retention schedules as well as defifiitions of records, non-records and transitory documents is provided in the City's Records Retention Policy and Schedules (which is on the City's Intranet). And if in doubt, contact the City lerk's Office for guidance. Email Retention Procedures Only six months after converting from Group Wise to Outlook in December 2006, data storage dedicated to Outlook files had grown to over 100 gigabytes by June 2007. Without a system wide approach to file management, this would continue to grow without limits. The following sets forth standard procedures in implementing the City's email records retention policy and managing data storage. 123-4 11 Electronic Mail Policy User Level • For internal email, senders should insert links to their documents rather than directly attaching them to their email whenever feasible. This will significantly reduce storage space as well as facilitate making and keeping track of document changes by multiple recipients, which is often the reason for attaching documents. (Contact IT for more information on inserting document links.) • Users should compress photos and large graphic files whenever possible; and compress them in documents and presentations whenever possible. • The City limits the maximum size of individual email messages (sent and received) to 50 megabytes. However, users should avoid sending attachments larger than 10 megabytes to external email addresses. (Contact IT for suggestions on how to reduce the size of attachments, such as compression options and the use of zip folders.) System Level • All deleted items will be "finally" deleted from the Deleted Items Folder after 30 days. • The email "stationery" feature for backgrounds ("themes") will be disabled. Along with significantly reducing file storage requirements, in many cases it will make email easier to read and present a more professional image of the City. • Files will not be saved in a ".pst" format: this file format was not developed for network systems, and as such, files saved in this format are subject to corruption. • User mail boxes will be limited to 600 megabytes. The system will issue a warning at 550 megabytes. When the mail box limit has been reached, users will no longer be able to send out messages until the mail box size has been reduced. On a case-by-case basis as recommended by the Department Head where special circumstances exist, mail box sizes may be increased with the approval of the Director of Finance & Information Technology. Managing Mailbox Size Figure 1. Outlook provides a number of tools for managing your mailbox size within the 600 megabytes provided to all users. For example 1. Click on "Tools" on the toolbar and select "Mailbox Cleanup" from the drop-down menu. (Figure 1). £-mail~ccourts ... c;:vstomiro .. , 123-5 12 Electronic Mail Policy Figure 3. 2. This will bring-up several options Figure 2. for viewing your mailbox in making decisions about the easiest way to reduce files (Figure 2.) Ofind terns okief UWI : 9!J3. Selecting "View Mail Box Size" , jlrb:lx ( F.nL 1 lofficers] ..J Sert Ilems (~\find items laroenhMl 250 r Local AI Mall R)lderswill show you the file size of ~lsummerell (sumrC/rlJr'lQ AutoArchrve 1'.',1 move old Items to the=' f...~ MabJ~'~.st-.,,,,,-,'---'iIi -'~ archive fie 00 tt-is cOOlpUl:er. Yoo can foci I AlAoArch'l/e I ,~ these items mdef Arclwe F<lk:lers in the foldervarious types of Outlook files, such . 2007le~ cod' -~-I~l.hderstand"ll1Qthe6list.,..J Ac(e~sio} NeXI( i as your in-box, calendar, tasks and i3 ~~~;sCI~SS ® EfTllt~ the ~ted items folder permanently I ''''''' II new ooe.deletes lIl:Jse items. ~~ Deleted Items ( ur help.sent items I VIe"", Deleted Items Sile... Id1Drafis [2] ,.:.::JfCl'FoIIow·~ Delete ~ ~ernate yerslOl"lS r:J items n roll,::::J FlI'ld Balance Polic malJox. I ViewConl'W:tS5ll~For example, in Figure 3, sent items account for large percentage of total storage (about 60% of the total); and deleted items account for 25%. Deleting sent messages that are six months or older (assuming that any that qualify as "records" have already been stored appropriately elsewhere) and cleaning-out deleted items will significantly free-up space. File Back-Up The Outlook Exchange server IS backed-up nightly for 14 days. After this time, deleted files will not be recoverable. PUBLIC EMAIL DISTRIBUTION LISTS For user convenience, IT maintains a limited number of organization-wide ("global") distribution lists on the City's network. Beyond this, users can create both shared and personal distribution lists. For more information on how to use this feature, contact IT sJaff. Sending E-Mail to "All City Employees." One of the global distribution lists created by IT is "All City Employees." As noted above, this should be used sparingly, and only in cases where the information is truly applicable to all employees EMPLOYEE RESPONSIBILITY • General. Each employee with access to the City's information systems is responsible for understanding and following these guidelines. All such employees will sign a statement acknowledging that they have been provided with a copy of the City'S email policy, understand it, and agree to abide by it as a condition of being provided access to the City's information systems and continuing to use them. Unauthorized or improper use of the City's 123-6 13 Electronic Mail Policy information systems may result in terminating access to them; and depending on the severity of the outcome of unauthorized or improper use, may result in disciplinary action, including termination. • Receipt of Inappropriate Email. If you receive an inappropriate email message under these guidelines, please contact your Department Head or Human Resources Director. • System Security and Passwords. Each employee has a uniquely-assigned user name and password for security purposes. While this cannot guarantee privacy, confidentiality or data security, it is an important component of the City's overall system protection. Passwords should never be shared with others. This is especially important since employees are responsible for the content of all messages sent via their user name. SUMMARY The use of email is an important and convenient communication tool for our organization. It helps us do our work in an effective, efficient manner. However, because of its convenience, email can be inappropriately used. The purpose of these guidelines is to ensure that common sense, consideration for others and organizational purpose are embodied in our daily use of email. Approved by the City Administrative Officer on October 2, 1997; Revised by Information Technology on June 12, 2001; Revised by the City Administrative Officer on September 20, 2007. 123-7 14 Records Retention Policy Updated 10/2/2007 SAMPLE 1 MEMORANDl.JM DATE TO: Department Head City Attorney FROM: Records Coordinator/other Employee SUBJECT: REQUEST FOR RECORDS DESTRUCTION On April 24, 2001, the City Council adopted a Records Retention Policy and Schedule. In accordance with that policy and schedule, certain records have been identified as eligible for destruction. A listing of those records and relevant sections from the records retention schedule are attached. Provide general information about the request: (Example: 104 boxes of records exceeding the retention requirements and, as such, are being prepared for destruction. The method of destruction will be via recycling after the Friendship School removes the non-recyclable materials (paper clips, metal prongs, rubber bands, etc.) from the files. Please sign below indicating your approval for the destruction of the attached listing of records. Department HeadlDepartment. City Attorney CERTIFICATE OF DESTRUCTION I, (employee name), do hereby certify that the records listed on the attached were properly disposed of on (date). Original: City Clerk Copy: Department Attachments: 1. List of records to be destroyed 2. Relevant sections of the records retention schedule 15 Records Retention Policy Updated 10/2/2007 SAMPLE 2 RECORD STORAGE FINANCE STORE ROOM OLD LIBRARY BUILDING TO BE DESTROYED MARCH 2001 SYSTEM STORAGE DESCRIPTION FISCAL DATE YEARS Accounting Accounting ADMIN ADMIN ADMIN ADMIN ADMIN AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AlP AIR AIR NR BankRec Bank Rec BankRec Bank Rec 06/98 06/98 07194 06/96 06/96 09197 03199 06/96 07198 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 07/98 06/97 11/97 11/97 06/96 07/96 08100 12/99 Receipt journals, budget amendments Receipt journals, budget amendments Street Report 198-89, Transit Report 1985-90, DOT Special Project 1982-86 6/94 audit work papers, debt service trustee thni 6/95, Street Report: 6/90, 1986 Capital Improvement Financing binder Utility billing adjustment committee 6/95-1/96, sales tax 1st /2nd quarter 1995 Utility billing adjustment committee Audit work papers 1099 tax reports AmeripridelValley Industrial backup Cash trial balance, destruction list, refunds Call America backup Pacific Bell backup Vouchers A Vouchers B Vouchers Ca-Ch Vouchers Cl-Cy Vouchers C misc - D misc Vouchers E - F Vouchers G - H Vouchers 1-K Vouchers L Vouchers Mo Vouchers P Vouchers Pi Vouchers Q Mi 0 Ph P misc San Luis J Vouchers San Luis M -SLO City Vouchers SLO County -Sp Vouchers St -Te Vouchers Th - V Vouchers W - Z Paid invoices Payment batches, MARS reports Paid invoices Bank reconciliations Bank reconciliations & daily bank reports Stale-dated checks Stale-dated checks 96-97 96-97 80-90 86-95 95-96 96-97 94-95 85-90 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 96-97 94-95 94-95 90-93 88-98 16 Records Retention Schedule Retention Codes AlE AU After expiration Audit CU Current CL D/R P Closed/Completed Destroy when no longer relevant Permanent S T Superceded Termination 11M Image/Microfilm/fiche (Please see Sections 5 and 6 of this policy for additional information.) CCP Authorizing Code Citations Code of Civil Procedure CCR Code of California Regulations CFR Code of Federal Regulations EC Election Code GC California Government Code PC Penal Code SLOMC USC San Luis Obispo Municipal Code United States Code 17 CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE ~_. -+ _____ __ -:.R=ECORD TITLE _ _ RETENTION PERIODS (in,years unless otherwise~~;~~d) . __1( ~CJ;jVE, INACTI\l:e!t()'tAU;" 11M VITAL OFFICE OF RECORD CODE SECTION REMARKS __ COPIES or DUPLICATES of documents for which a department is not D/R I D/R Duplicates and copies distributed to the office of record I vanous departments for Informational purposes may be destroyed by the I departments when they are no longer I Iuseful for reference.I--r ~ 1----lELECTRONIC DOCUMENTS --,--copies of paper records --I------~nic ,I I C------- 1 00 GENE:R~LADMINI~TFlATION .. .. 101 OFFICEGENEFlALMANAGEMENT I--CAO Reports 2 City Informational Brochures, Publications, Newsletters S I-.---I--------------------------+-------t__ City-wide Policies and Procedures S Correspondence -External 2 I-Correspondence _Internal (excluding CAO Reports -see above) 2 I Departmental Policies/Procedures S General Information 2 In-House Committees ~U_ 11 Staff Meffil,gNoto, 2, 102 •. 0FFIGEHEFERENCE Annual Departmental Reports I 2 Chronological Files 2 Community Organizations 2 Complaints 2 I----LGenerallnformation 2 Positive Feedback (How are we doing? forms) 2 Professional Associations 2 Publications (journals, periodicals) D/R 103 FOFlMSMANAGEMENT I Blaok F"m'. .. . . SI 1~ECORDSMANAGEMENT;' ....•........<.. .. ... ..... \_I I I--rl 3 P P 5 5 . 5 ---+ P P 2 ---+ 2 I S+5 - 2 CU+5 ---t ~r-f Various Various Various Various Various Various Various Various Va,;ou' 3 3 ~ 5 2 5 2 2 2 2 D/R SI I Various Various Various Various Various Various Various VariousWVa"o", .... ... .. .... ...... should be kept no longer than retention period specified in this schedule. If electronic documents are also in a paper format both must be destroyed at the same time. _ GC34090(d) _ GC34090(d) Keep one for historical purposes GC34090(d) Keep one for historical purposes _ GC34090(d) GC34090(d) -- GC34090(d) - GC34090(d) GC34090(d) May be kept for- research/historic purposesGC34040(d) GC34090(d) GC34090(d) - GC34090(d) -- GC34090(d) - GC34090(d) .._ GC34090(d) __ GC34090(d) Not a public record -'-------'-=----------1 I~:t~~; ::';:~~;~;t -de","ctlo, CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant A/E=After expiration T-Termination AU=Audit S=Superceded 11M = Image/Microfilm/Fiche --- CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RETENTION PERIODS 11M VITAL OFFICE OF CODE SECTION RECORD TITLE L---1---' RECORD REMARKSI,. ". "(in~~ar~~~lessoth~~.~~~~oted)-. .,I -, Clerk I GC34090 Legal document of final disposition of record Certificates of Destruction ye,l'f\GTIlIEil)'~~t:tpI --,------ Public Records Requests f----. Various GC34090(d)~ 2 P 200 COMMUNITVPEV'ELOPMENT 201 CITY PLANNING CUi P yes Planning !GC34090(a) Files added to daily: I i Address Files Contains all original legal documents JCU P P Planning-~GC34090(a) Reside in Address Files Business Tax Certificates CL P GC34090(a) Microfilm after 5yearsCode Enforcement Files _____~~:l Building Construction Files GC34090(a) Microfilm immediately ,~--p _~ :;,~ ye, "'i1d"g after final inspection r P --Construction Permits (numeric) --P yes yesT-Building IGC34090(a) Microfilm one year after final inspection I Home Occupation Permits Planning GC34090(a) Reside in Address Files .,'f--H-----cut P P yes t-Building .PInspection Cards GC34090(a) Microfilm plus original Icards stored Notices of Address Change -p -+P Planning IGC34090(a) Housed ;n Address files -_.,-,_...•. ._--_.~I PP Planning GC34090(a) ______ Notices of Exemption Notices of Determination CU yesP P Planning GC34090(a) Microfilm -one file 1 contains all originals Project Files: Administrative Use Permit; Planning Commission Use P Planning iGC34090(a) Microfilm after 2 years 21 P ye'r IPermit; Planned Development; Certificate of Compliance; Architectural I IReview; Architectural Review Minor and Incidental; Environmental IReview; General Plan; Specific Plan; Text Amendment; Rezone; City I 'nltialed Razona; Annaxatioo; V"'BOca; Lol Una Adj"lme"; SI,eel I ~_ jame Changa; Olha' I. ReconJed A9,eaman" wllh Ra,lda".JCoven a n", atc. I CL P Planning ~C34090(a) Housed in Address files: Pi Run with the land (also recorded at I I County) Sign Inventory Files CU 2 2 Planning GC34090(d) Sign Permits 2 Building GC34090(d) Should only retain files 21 ~aining to existing signage I Tracts and Minor Subdivisions P yes Planning IGC34090(a) Film after minimum of 10 years'. See Public Works for iTentative maps 51 .~ f---. Unreinforced Masonry Files (structural analysis) P Building GC34090(a) Retain hard flles- I I I I P 300 I CITYM.4,NAI:3EMENT 301 COUNCILFILES ~ -Action Update I 21 I 21 I I Clerk I GC34090(dl CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant A/E=After expiration T -Termination AU=Audit S=Superceded 11M = Image/Microfilm/Fiche i -- CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RECORD TITLE RETENTION PERIODS UM VITAL OFFICE OF CODE SECTION ---- (in years unless otherwise noted) RECORD REMARKS ······~ctrVE· •• ·:;:i:I'$'~0it!fe~:.ii:fq"AL ---~-- Appeals 5 P P Clerk IGC34090(d) Original appeal is part-of ------,-I the agenda packet _ _ Audio Tapes or Digital Recording Files 2 2 Clerk GC34090.7 -- Cablecast Schedule for Gov. Access Channel 20 2 2 Clerk GC34090(d) ---- Council Agenda Packets 5 P P yes yes Clerk GC34090(d) __ Council Brochures S p P Clerk GC34090(d) Keep one for historical --f-purposes ._--.. Council "Notes" 2 2 Admin GC34090(d) Council Policies &Procedures S P P Clerk ~34090(d) Keep one for historical - purposes .__ Council Resumes CU 2 CU+2 Admin GC34090(d) GC34090(d)8 8 ClerkCouncil Subcommittee Assignments 2 Clerk2Hot Files GC34090(d) Includes Log P P yes ClerkMinutes yes GC34090(e) __~= PP ClerkOaths of Office GC34090(d) 2 3 ClerkPetitions to Council GC34090(d) Advisory, non-election51 related. If part of agenda packet, Proclamations 2 I 2 Clerk retain permanently. GC34090(d) ._-- Proposition 218 Ballots/Protest letters 5 P P yes yes Clerk Constitution (keep with agenda- Public Comment and Speaker Slips 2 2 f-- Clerk packet) GC34090(d) -d_ Red File Items (i.e; correspondence) 5 P P Clerk ~090(d) Original red file is part- of the agenda packet __ Red File Log 2 2 Clerk GC34090(d) Video Tapes/DVDs 6 months 6 months Clerk ~34090.7 Recycle --- I 1- 302. d::>MM1S$rgN$,¢OMMI-g~E$,.BOARD$ Agenda/Agenda Packets Audio Tapes Bylaws Membership File: (Appointed AB members applications, oaths, correspondence, etc.) Applications (not appointed) Minutes Recruitment File: Includes correspondence, l'VIaddy Act notices, misc. ads, and information Resolutions Rosters Video Tapes/DVDs 5 2 S T+1 CL + 1 P 2 P CU 6 months P P 4 1 P I P yes I yes 2 P yes T+5 yes 2 P yes yes 2 P yes yes P yes yes 6 months •••••••• Various Various Vari./:lus Clerk Clerk Various Clerk Various Clerk Clerk GC34090(e) GC34090.7 GC34090(e) IGC34090(d) GC34090(d) GC34090(e) GC34090(d) GC34090(e) GC34090(d) 1GC34090.7 ---- --- - -_. 304 CITYADVI$Ogy BODIES , SI Advisory Body Handbook 2Advisory Body Training 2Annual Advisory Body Recognition -CUMiscellaneous/Ad Hoc Advisory Bodies ~ P 3 3 5 PI yes I Clerk I GC34090(d) Keep one for histone Ireasons Clerk GC34090(d) -. Clerk GC34090(d) - Clerk GC34090(d) 5 5 CU+5 CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant AlE=After expiration T-Termination AU=Audit S=Superceded 11M = Image/Microfilm/Fiche -- ---- -- --- ------ I CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE ,- RECORD TITLE RETENTION PERIODS 11M VITAL OFFICE OF CODE SECTION (in years unless otherwise noted) RECORD REMARKS ---_.,~~~1tj~l:Ji§'i;IN~~;j;1~6;' ';j;(:);TAU . Quarterly Advisory Body Chair Meetings with Mayor Clerk IGC34090(d) .-. I 21 I I 2~+ I 400 FINANCIAL AND·J=ISCAL 401 ACCOUNTS PAYABLE Accounts Payable Reports 90 days AU+5 Finance & IT5 GC34090 Accounts Payable Supporting Docs (voucher, invoice, PO) 2 3 AU+3 Finance & IT GC34090 . ..._--_. 2 3 AU+3 Finance & IT GC34090 Tax Reports (1099 Tax Into/Returns) Bank Statements 1 10 AU+10 Finance & IT 41 CFR50-20 1.501 402 ACCOUNTS RECEIVABLE I 1 3 AU+3 Finance & IT GC34090(c) Business Tax Customer Files Assessment Pay-ofts 1 1 AU+3 Finance & IT GC34090(c) / SLOMC3.01.501 (B) Cash Receipts 1 3 AU+3 Finance & IT GC34090(c) Credit Bureau Adjustments 1 3 Finance & ITAU+3 GC34090(c) Invoices 1 3 AU+3 Finance & IT GC34090(c) . Journal Entries 1 3 AU+3 Finance & IT GC34090(c) Refunds 1 3 AU+3 Finance & IT GC34090(c) Revenue Backup 1 3 AU+3 Finance & IT GC34090(c) / SLOMC3.16.190 / SLOMC3.04.110 Transient Occupancy Tax 1 3 AU+3 Finance & IT GC34090(c) ...----, I 403 MfqGELLANEOUS . Budget Amendment Request (BAR) Finance & IT ~GC34090(d)1 3,-.__AU+~ -_•.._ 1 -5 AU+5Checks, Canceled Finance & IT GC34090(c) / CCP337 -._._-_. 1 3 AU+3 Finance & ITGeneral Correspondence GC34090(d) I 406PAYRPl.J.. '< ., Payroll Charges 1 3 AU+3 Finance & IT 'GC34090(c) / CFR516.2 Payroll Reports 90 days 10 AU+10 Finance & IT GC34090(c) -. 1 10 AU+10 Finance & ITTax Reports GC34090(c) / CFR516.2 Time Sheets 1 3 Finance & ITAU+3 iGC34090(C) /CFR516.2 ..... 408 GRANTS tICommunity Development Block Grants (CDBG) Tj 4 T+4 Planning Various Various 24CFR570.502 Federal Grants, including FEMA / Other Emer~encies (Applicants, I CL+5j 5 CL+5 GC34090-t-i",port" ,o"'<acts, ,uE~rt;ng documents) Grants-in-aid (Applicants, reports, contracts, supporting documents) CL+5!-5 CL+5 GC34090 "-I5 CL+5State Grants (Applicants, reports, contracts, supporting documents) I CL+5 Various I GC34090 --- II '.... I 411 UTILITY BILLING Credit Bureau Assignments 1 31 3 3 3 AU+3 Finance & IT GC34090(c) Meter Reads I 1 AU+3 Finance & IT GC34090(c) Payment Stubs & Tapes 1 AU+1 Finance & IT GC34090(d) - Purge Tapes 1 AU+3 Finance & IT GC34090(c) r--.j)Retunds 1 AU+3 Finance & IT GC34090(c) CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant AlE=After expiration T-Termination AU=Audit S=Superceded 11M = Image/Microfilm/Fiche ---- --- -- -- -- ---- --- -- --- CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RETENTION PERIODS VITAL OFFICE OF CODE SECTIONRECORD TITLE 11M .._(in years unless otherwise noted) RECORD REMARKS ;~c;tIVEi';;;,:,iNAGTt~Ei;::;,ms:lfAlL -_._- Finance & IT 1 3 AU+3 GC34090(c) Utility Billing Register Service Requests Finance &IT1 AU+3 GC34090(c)_~ 412 FINANCIAL REPORTS Audited Financial Statements P Finance & IT 10 P GC34090(c) Bonds Payable and Other Long-Term Indebtedness I Finance &ITT+3T+3 GC34090(c) / CCP337.5 / GC53921 Budget Document (Financial Plan) Finance & IT P P GC34090(c) - 1 4 AU+4 Finance & ITFixed Asset Subsidiary Ledger (includes inventory) GC34090(c) / 26CFR301-65-1 (f) Monthly Financial Statements Finance & IT Audit year 5 AU+5 GC34090(c) Other Financial Reports 1 3 AU+3 Finance & IT GC34090(c) - State Controller Reports Finance &IT5 5 AU+10 GC34090(c) - Finance & IT 1 3 AU+3 GC34090(c)Surplus Property List [ 500 HUMAN'Re$OORCeS Applications (unsuccessful applicants) HR4 CL+5CL+1 29 CFR 30.8 / GC12946 HRT+1 GC12946 ,- Discrimination Complaint Department of Motor Vehicles Records 4 T+5 HR 29 USC 255 (a) Employee Discipline T+1 HRT+1 2 T+3 GC34090(c) Employee Files 4 yesT+1 T+5 yes HR 45CFR1068.6APPA / 29CFR1627.3 / SLOMC11.04.010(H) T TEmployment Eligibility Verification -Immigration/Naturalization HR GC34090(c) Service Equal Employment Opportunity Reports T 3 3 HR GC34090(c) General Correspondence 2 2 HR GC34090(d) Insurance/Benefits 1 3 AU+3 HR 29CFR1627.3(b)(2) Labor Neootiations T+1 2 T+3 HR GC34090(c) -, Risk Management Claims Against The City CL+1 4 CL+5 HR GC34090 Risk Management Reports CL 5 CL+5 HR GC34090 . Safety T 3 3 HR GC34090(c) Temporary Employees T 5 T+5 HR 45CFR1 068.6APPA / 29CFR1627.3 / SLOMC11.04.010(H) __----.J 1 HR2 AU+3Tuition Reimbursement GC34090(c) Well ness Files T r HR GC34090(d) Workers Compensation 29 T+30 HRT+1 yes 29CFR1910.20 600;,.PO~C~~~INC3&:cor·nRAC:"IN(3 " 601,;, PlJ8Yb-lA$INQ I Bids, RFPs (unsuccessful) 2CU CU+2 Various GC34090 / CCP337 / SLOMC3.24.170 Bids, RFPs, RFQs (successful) I I AU 5 AU+5 Various GC34090 / CCP337 / SLOMC3.24.170 City-Owned Property/Property Management P P yes Clerk GC34090(a) General Information 2 2 Various ---_._-" AU 4 AU+4Surplus Property Auction/Disposal Finance CCP337 Surplus Property UstinQ AU 2 AU+2 Finance GC34090 l" N CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant A/E=After expiration T-Termination AU=Audit S=Superceded I/M = Image/Microfilm/Fiche CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RECORD TITLE RETENTION PERIODS 11M VITAL OFFICE OF CODE SECTION r---- (in years unless otherwise noted) RECORD REMARKS --Ae:rIVE',: INAS:TIV.e ,--r,OTAL' I I I 1 I I I I ------ 700 LEGISLATIVE AND LEGAL 701 LEGISLATIVE Affidavits of Publication I CUI 41 41 ~ Various GC34090(d) I Certificates of Posting CUI 4 4 Various GC34090 -- Charters-Listed Numerically with Amendments P P yes yes Clerk GC34090(e) / GC40806 Citizens' Charter Committee CU +2 P P Clerk GC34090(d) ------- yes-_.. ---- Council Ordinances P P yes yes Clerk GC34090(e) ------- Council Resolutions P P yes yes Clerk GC34090(e) / GC40806 Grand Jury 2 2 Clerk GC34090(d) League of CA Cities 2 2 Clerk GC34090(d) ------ Legal Notices, Legal ads, and Display Ads CU 4 4 Various GC911.2; GC34090 ------ Legislation: County, Federal, State 2 2 Clerk GC34090(d) Municipal Code S P P yes yes Clerk GC34090(e) Database on City network/Keep one for historic value Notices of Adjournment 2 2 Various GC34090(d) -- - I 702 ELECTION INOTE: "E" = After Election 1 I-j~ ._ Absentee Voter applications E 6 mos. E+6 mos. Clerk EC17505(b) Confidential Application to view: voter registration info, AV voter lists E 5 5 Clerk EC2188 Ballots: all, voter ID envelopes and ballot receipts, manual tally -~ --- 6 mos. E+6 mos. Clerk EC17302; EC17306 (if no legal sheets, logic/accuracy tests, other ballot-related docs action) Confidential Campaign Disclosure Statements: - Successful Candidates P P Clerk GC81009(b) - yes Unsuccessful Candidates E 5 E+5 Clerk GC81009(b) --"--- Other T 7 T+7 Clerk GC81009(e) . Election correspondence E 2 2 Clerk GC34090 - Election documents: expenses, proofs, night Jogs E 2 2 Clerk GC34090 Election history P P Clerk ~GC34090 Election notices, publications, certificates E 2 E+2 Clerk -GC34090 Initiative, Referendum, Charter Amendments, Recall Petitions Certification 8 months After Clerk IEC17200/ EC17400 + 8 months Certification of results+ I8 months I Municipal Election File/Sample Ballots ~ P P Clerk ~34090(d) Permanent for histor;C value Nomination Papers: i - N UJ CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant AlE=After expiration T-Termination AU=Audit S=Superceded I/M = Image/Microfilm/Fiche CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE .,J::>: RECORD TITLE RETENTION PERIODS 11M VITAL OFFICE OF CODE SECTION 1-----J .. (in, years unlessot~erwise",oted) RECORD REMARKS -----. 1------,(f;~e:t;IVS;;:?,)N~~;ttl~i;c'%+!':rtotAL.i.----- Successful Candidates P P yes Clerk EC17100 Permanent for historic -value E+5 -_._---- Unsuccessful Candidates E 5 Clerk EC17100 IPrecinct Soard Appointments -appointment of precinct oficials E 6 mos. E+6 mos. Clerk EC17503(b) Precinct hand tally, copies of index, challenge list, assisted voter list E 6 mos. E+6 mos. Clerk EC17304 Confidential , Roster of voters, original indices (precinct board) E 5 E+5 Clerk EC17300(a) (if no legal action) 703 CITY ATTORNEY Administrative Files CU 5 CU+51 I City Attorney GC34090(d) Civil Litigation CL 10 CL+10 City Attorney Destroy 10 yrs. after resolution , Civil Litigation regarding Property (including settlement and releases) CL P P yes yes City Attorney GC34090(a) Retain pertinent documents in perpetuity Criminal Cases going to court CL 5 CL+5 City Attorney Destroy 5 yrs. after resolution Criminal Citations CL CL City Attorney GC34090(d) Destroy when resolved . 1---- General working files CU CU City Attorney GC34090 Ongoing purging to keep currenVactive Legislative Files CU 2 CU+2 City Attorney GC34090(d) ---,--_._ - Property Files CL P P yes yes City Attorney GC34090(a) - 704 GENERAL LEGAL IAgre~rnent~;c~ntracts not referenced elsewhere in the retention CU 5AEI CU+5AE yes yes· Clerk/Various** CCP337 Keep 5 years after schedule expiration. ·Current contracts are vital records. ** Contracts issued with Purchase Order may be filed with originating department. Claims/Subpeona Logs 2 2 Clerk GC34090(d) Conveyances (Deeds, Easements, Abandonments) P P yes yes Clerk GC34090(a) Liens P P yes yes Clerk GC34090(a) Williamson Act Contracts P P yes yes Clerk GC34090(a) 706 Cf\.PIj"f\.L·IMpRO'!$MENTBGA.RD '!I.. CIS Agreements/Contracts P P Clerk CCP337 CIS EstablishmenVBylaws P P Clerk GC34090(e) CIS Resolutions/Ordinances P P Clerk GC34090(e) General Correspondence 2 2 Finance GC34090(d) Minutes P P Clerk GC34090(e) 707 StAtEMENtSOF'E~ONOMICINtERE$T •• ! General Correspondence . 21 2 Clerk GC34090(d) . Statements of Economic Interest (87200 Filers) T, 7 T+7 Clerk GC81009(e) & CCAC Guidelines I Statements of Economic Interest (City Code Filers) 7 7 GC81009(e) -._-- ~ ~ CU"OCurrent CL"OClosed/Completed P"OPermanent D/A=Destroy when no longer relevant AlE"OAfter expiration T-Termination AU=Audit S"OSuperceded 11M = Image/Microfilm/Fiche -- ----- -- -- ---- ----- ----- -- -- -' -------~ -~ CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RECORD TITLE RETENTION PERIODS 11M VITAL OFFICE OF CODE SECTION ---(in years unless otherwise noted) RECORD REMARKS ·:A¢TNE-/JN~$[i~E-\f;~TO:nAi.2>; r 709 PUBUCINFORMATION/COMMUNITY RELATiONS .... Consumer Price Index (CPI) CU 2 CU+2 Various GC34090(d) General Correspondence 2 2 Various GC34090(d) Press Release CU 2 CU+2 Various GC34090(d) 800 PUBLIC WOFiKS 801 ENG.lNEERING Contractor Bids (not awarded) Encroachment Permits Engineering Standards General Correspondence Job Files: Certified payroll; pay estimates; original bid documents; engineers' daily logs or inspectors' diaries; legal ads; preliminary notices/liens Job Files: Org specials; agrmnts; CAO/CAR; change orders; env docs; final pay est. w/attach; notice completion; haz waste manifests/transp docs; ins certs (all); perform bonds; proposals; spec reports (haz mat, bio, soils), submtls (matis, draw), warranty Tracts and Minor SUbdivisions -Tentative I •.•.••...•• 802/STREETADPRSS$F 1lES .... / /./; ../ General Information 2 2 Public Works GC34090(d) Street files 5 5 10 Public Works GC34090(d) Review in 5 years -purge 803. MASS TRANSPO$TATION 'i i/ ./ General Information 5 5 yes I Public Works GC34090(d) Local-SLO Municipal Bus System CU 10 CU+10 Public Works GC34090(d)yes Regional Elderly/Handicapped Transit CU 2 D/R Public Works GC34090(d) Destroy when no longer relevant Taxicabs CU 5 CU+5 Public Works GC34090(d)yes i Transportation Permits CU 2 CU+2 yes Public Works GC34090(d) r-Unmet Transit Needs CU 10 CU+10 Public Works GC34090(d)yes 804 PARKING' I Downtown Parking Study P P yes Public Works GC34090(d) General Information 2 2 Public Works GC34090(d) Parking Appeals CU+2 CU+2 Public Works GC34090(d) Parking Citations CU+2 CU+2 Public Works GC34090(d) Parking Meters CU 5 CU+5 yes Public Works GC34090(d) l'-. ParkinQ Policies S 5 CU+5 yes Public Works GC34090(d)- CU CL+2 CL+2 Public Works GC34090(d) Exception: 3 year retention period if Federal funds CL 4 CL+4 Public Works GC34090(d) P P Public Works GC34090(a) 2 2 Public Works GC34090(d) CU CL+2 CL+2 Public Works GC34090(d) Exception: 3 year retention period if Federal funds P P Public Works GC34090(d) "Includes bids/plans/specs I 5 5 P yes Public Works GC34090(a) Film after minimum of 10 years', See Community Development for Final maps CU",Current CL",Closed/Completed P",Permanent D/R",Destroy when no longer relevant AlE",After expiration T-Termination AU",Audit S",Superceded I/M", Image/Microfilm/Fiche ------- ------- ------- ------- -- CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RECORD TITLE RETENTION PERIODS 11M VITAL OFFICE OF CODE SECTION ! (in years unless otherwise noted) RECORD REMARKS ~-- I ----~-',~~'tl~~ .;1f1~c\('t~i§";4i!iO;('AI;; -_.- RidesharingiCar Pool Program Public Works GC34090(d)I CUI 51 CU+S 1 806 DISTRICTS Assessment Districts CL 10 CL+10 yes yes Public Works! Clerk !GC34090(d) Note: original documentation kept permanently in Office of City Clerk Benefit Districts CL 10 CL+10 yes Public Works! Clerk GC34090(d) Note: original documentation kept permanently in Office of City Clerk General Information 2 2 Public Works Geologic Hazard Abatement Districts CL 10 CL+10 yes Public Works Residential Parking Districts CL 10 CL+10 yes yes Public Works Underground Utilities CL 10 CL+10 yes Public Works ._------ 807· SURVEYING I General Information I 21 I 21 Public Works IGC34090(d) 1 I \\ \ H 808 MAPPING Aerial Photos CU 10 C+10 Public Works 2 Public Works Kept in flat files General Information 2 GC34090(d) ~~~~----- 809 FACILlTIESMAINTENANCE ,.-,-"',, , ".'",." ,,'. '. 10Corporation Yard CU CU+10 Public Works GC34090(d) ... General Information CU 10 CU+10 Public Works GC34090(d) ._~-- CUGolf Course Maintenance 10 CU+10 Public Works GC34090(d) Government Building Maintenance CU 10 CU+10 Public Works GC34090(d) -Library Maintenance CU 10 CU+10 Public Works GC34090(d) -CUParking Facilities 10 CU+10 Public Works GC34090(d) Recreation Facilities Maintenance CU 10 CU+10 Public Works GC34090(d) ~- Street Landscape Maintenance CU 10 CU+10 Public Works GC34090(d) Swimming Pool Maintenance CU 10 CU+10 Public Works GC34090(d) 8JOSTORMDRA1NAGElFLOOD'CoNTROl.· Creek Policies 2S S+2 Public Works GC34090(d) ._,,--- CU 2Drainage Complaints CU+2 Public Works GC34090(d) Drainage Maps CU Public Works GC34090(d) -5 CU+S 2Flood Management CU CU+2 Public Works GC34090(d) Flood Studies/Detention Dams CL 10 CL+10 Public Works GC34090(d) General Information 2 2 Public Works GC34090(d) -_._- Storm Drain &Water Way Program CU 10 CU+10 Public Works GC34090(d) Zone 9 Master Plan S 10 S+10 Public Works GC34090(d) - 811PU8L1CIMPROVEMENTS· . Cost Estimating CU 2 CU+2 Public Works GC34090(d) General Information 2CU CU+2 Public Works GC34090(d) -~ . .. ..'~ TRAFFICOPERATIONS(STREETS,HI(3HWAYS{BRJDGESl CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant AlE=After expiration T-Termination AU=Audit S=Superceded 11M = Image/Microfilm/Fiche CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RECORD TITLE RETENTION PERIODS I/M VITAL OFFICE OF CODE SECTION (in years unless otherwise noted) RECORD REMARKS - '!j;0!~C:r1iVE j!JN~C~!IJ,§l~.!<iiit't();f~t.1r;, ..... - .- Abandonments Cl P P yes Public Works GC34090(a) I Bicycle lanes/Paths Cl Cl+5 Public Works -"---- 5 yes GC34090(d) Microfilm for research/historic value Bridges and Creeks Cl 3 Cl+3 Public Works GC34090(d)_. _. General Information 2 2 Public Works GC34090(d) Cl Cl+5 Public Works - Pavement Management Plan 5 GC34090(d)-.. School Related Cl 5 Cl+5 Public Works GC34090(d) Street Signs & Pavement Markings Cl 5 Cl+5 Public Works GC34090(d) ---. --------.,_. Street Widening Cl P P yes Public Works GC34090(a) ._-_._-..-- Traffic Patterns CL 5 CL+5 Public Works GC34090(d) Traffic Regulations CL 3 CL+3 Public Works GC34090(d) - Traffic Safety CL 5 CL+5 yes Public Works GC34090(d) --_. Traffic Signals & Street lights Cl 5 CL+5 yes Public Works GC34090(d) Traffic Studies Cl 10 Cl+10 yes Public Works GC34090(d) _.._-_... - 900'.'NFO~~A1"19~$'(STEM~ij.'.•.!•.·.' ... .r;..r 901 GENERALGOMpUTER.JNFORMATJON General Information 2 2 Finance &IT IGC34090(d) ._. Hardware S 2 S+2 Finance &IT GC34090(d) Software S 2 S+2 Finance & IT GC34090(d) ._---_. ..---_.- Training Programs Cl 2 CL+2 Finance & IT GC34090(d) Video monitoring tapes 1 1 Finance & IT GC34090.6A 1OOORI;,a.L~S'["ATE· , 100t··.CITYPWNEDPROPE8TY .' 21IAppraisals . CL+2 Various GC34090 IRecorded Documents pertaining to: BUildings, excess right of way, P P Clerk GC34090(a) --_. yes yes I'and, parks ..• .... ....... .... ... ... ../. ..../ ... . I I -- 1100~.Af=l~~~f=lE:Cf=lE~TJpNj•• &·CUtT!.JRE!. 110rPARKSANDRECREATION· r. . Accident /Injury Reports .-Event Participants CU+1 6 7 P&R GC34090(d) Banner Applications and Permits 2 3 5 P&R GC34090(d) ._. CAL-OSHA Department Tailgates CU+1 6 7 P&R GC34090(d) Contract Instructors Contracts CU+1 4 5 P&R GC34090(d) Contract Classes Waivers, Rosters CU+1 4 5 P&R .GC34090(d) . Children Services billing/Facilities/Pool 2 2 P&R GC34090 ....- Facility Rental Information CU 2 CU+2 P&R GC34090(d) Facility Use Permits 2 3 5 P&R GC34090 •._ General Information (original correspondence) 2 2 P&R GC34090(d) Golf cart liability release forms 2 3 5 P&R GC34090(d)-Homeless Camp postings 2 3 5 P&R Penal Code 602 et al. How Are We Doing Forms CU+1 1 2 P&R GC34090(d) -_. Pesticide Certification records (use, purchase, training, MSDS) CU 4 CU+4 P&R GC34090 PlaYQround Audits P P yes P&R GC34090(a) Press Release CU+1 2 3 P&R GC34090(d) N -J CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant NE=After expiration T-Termination AU=Audit S=Superceded I/M = Image/Microfilm/Fiche ---- -- --- -- ---- -------- ----- -- -------- --- -- -- -- CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE - RECORD TITLE RETENTION PERIODS I/M VITAL OFFICE OF CODE SECTION -(in years unless otherwise noted) RECORD REMARKS "~e1tJ~Ej',<If4~~1tf)lEi<' ;;fQTAiL;'.. 5 5 CU 2 CU+1 CU+1 .---- Public Facilities (Including pools and parks): Capital mprovements and 5 10 yes Public Works GC34090(a) Construction Public Facilities (InclUding pools and parks): Maintenance and 5 10 yes Public Works GC34090(a) " Operations Scholarships CU P&R GC34090(d) Special Event Permits 3 5 P&R GC34090(d) ... Sports Waivers 2 3 P&R GC34090(d) Triathlon Waivers 4 5 P&R GC34090(d) 1200 UTiLlTlE~PqBLlCSERVICES 1201 FRANCHISES Cable TV Systems CU P P Admin P P Admin P P Utilities P P Admin P P Attorney GC34090(d) Pacific Gas & Electric CU GC34090(d) San Luis Garbage CU GC34090(d) The Gas Co. (aka Southern California Gas Co.) CIT GC34090(d) ,,- Tosco and Union Oil Co. CU GC34090(d) --,,- 1202·WAtER SYStEM CA Dept. of Health 5 Conservation 5 P County Water Resources Advisory Board 3 12 Distribution/Maintenance/Customer 22 f General Information 2 i Nacimiento 3 P 10 Utilities 40CFR GC34090(a) GC34090(d) GC34090(d) GC34090(d) Ongoing project P Utilities 15 Utilities 4 Utilities 2 Utilities P Utilities P 4 yes Utilities Utilities GC34090(d) GC34090(d) GC34090(e) GC34090(c) 40CFR Licenses GC34090(e) 40CFR GC34090(a) GC34090(e) P Utilities 6 Utilities P Utilities 6 Utilities P Uti liNes CU+2 Utilities P Utilities P Utilities .._--- Operational Plans P ---~--_.....Recycling 2 2 Salinas P Solid Waste 3 3 SWRCB--Rights/Permits P Telemetry P 3 Treatment P Water Management Plan CU+2 Wells/Groundwater P Whale Rock/Minutes P ...---- I 1203WASTEWATER Annual Reports CU+2 CU+2 Utilities GC34090(c) Compliance Library Documents P P yes Utilities GC34090 Historical Monthly Reports P P Utilities GC34090(c) Historical purpose Pretreatment 5 5 Utilities 40CFR _._-_.~ Quarterly Reports CU+2 CU+2 Utilities GC34090(c) Compliance Reclamation P P yes Utilities 40CFR .. SWRCB--Water Rights/Permits P P yes Utilities 40CFR Treatment P P yes Utilities GC34090 Wastewater Collection 2 2 4 Utilities GC34090(c) -.12~ sOl..lDWAStEMANAGEMEN't . ", '. .. '" ' ... ' .. , .,............... '.", CU=Current CL=Closed/Completed P=Permanent D/R=Destroy when no longer relevant AlE=After expiration T-Termination AU=Audit S=Superceded I/M = Image/Microfilm/Fiche CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE ----RECORD TITLE li(i~;;;~;~~~t~e;i~~~~e~)> VM VITAL O~~~~R~ __-+-::::--_-:-:-;-----::t= General Information ___ ._. Recycling Trash Service ---I ---;0·~~INl~),it@1,\.CJFIME>' ,0fOT1AI! ,. 2' ." ,'2 2 3 5 CU 5 CU+5 Utilities Utilities Utilities Administrative / Internal Investigations 1300 POLICE POLICE ADMINISTRATION Accident Review Board Reports 5 CL+21 3 5 CL + 5' Police Police T 5 T+5 Police CL 2 CL+2 Police s ~ CU 2 CU +2 Police CL+2 3 CL+5 Police CU AlE +2 A/E+2 Police T ._ 5 T+5 Police rts - CU 2 CU+2 Police I - 5 - I P P yes Police iStaff Meeting Notes I 2 2 Police I--"1 Use of Force Supervisory Review Rerort! ; I 4 4 Police POLlCECOr.,AMUNICATIONS ~es -Audio, Telephone and Radio Communications Police 21 I I PQLICEEVIQENOE [In-Car Recorded Data +1 I Policei--t----+ CO~~SAE~;~ON ------ GC34090(d) GC34090(d) ,__1 'GC34090(d)I ---,- GC34090(d) GC34090(d) , Retain longer when requested by the Chief of Police 1GC34090.6 IGC 34090.6 I I , I I I I I I CL+51 ___2L 21 101 21 31 21 313j --- I CL+5 I 2 I 2 I 10 I 2 3 I 2 PI P I--~ yes Police Police Police Pollce Police Police Police Police Police 1500 FIRE ApparatusNehicle T+1 T+2 i Fire GC34090 / BCCR3203 Repair and Maintenance -Department Mechanic Arson Investigations -Evidence Arson Investigations -Evidence P CL 6 -r- P CL+6 - Fire Fire PC799 Support prosecution resulting in homicide N CU 4 5 Fire '0 CU=Currenl CL=Closed/Completed P=Permanenl D/R=Destroy when no longer relevant A/E=After expiration T-Termination AU=Audit S=Superceded 11M = Image/Microfilm/Fiche CITY OF SAN LUIS OBISPO RETENTION/DISPOSITION SCHEDULE RECORD TITLE RETENTION PERIODS 11M VITAL OFFICE OF I CODE SECTION (in years unless otherwise noted) RECORD REMARKS - "Ad~1~e~»IN~q~1~e~" 'feTAl.," --" Captain'S Log (Fire Station Journals) , PI P Fire GC34090(d) Activities, personnel, - engine company--historical I P P Fire GC34090(c) Historical --- Disaster -Major Event Log - Disaster Plans S 2 S+2 yes I Fire SLOMC2.24.080 S Fire GC34090(d) - Emergency Operations Guidelines 2 Employee Records T T I Fire GC34090 Then transferred to Human Resources CU 3 Fire GC34090(d) --- EMS/Liability Reports 4 --- Equipment & Supplies Inventory CU 2 3 Fire GC34090(d) -- Exposure -Personnel T+1 1 T+2 Fire Laboratory reports and worksheets -- Exposure -Personnel T 30 T+30 Fire 29CFR 1910.1020 Sampling results, collection, methodology, background -- Fire Code Books S 5 S+5 Fire GC34090.7 P P Fire GC34090 Non-Council agenda - Fire Dept. Staff Reports I related, includes supporting documentation Fire Equipment/Gear Logs CU 3 Fire GC34090(d) ----_.. -.. 2 Fire Stations P P Fire GC34090(a) ------------- Fumigations CU CU Fire GC34090(d) ----_.. ~--_.- General Information 2 2 Fire GC34090(d) General Operations Guidelines S 2 S+2 Fire GC34090(d) ---_. Hazardous Materials-Storage Permits CL 2 CL+2 Fire GC34090(d) May keep longer -- Hazardous Materials-Undergougnd Storage Tank PI P Fire GC34090(a) Location, installation, I removal, remediation -I Inspection Request/Complaint CL 3 CL+3 Fire GC34090 / CCP338 / CCP340.5 Inspections -Fire Prevention CL 3 CL+3 Fire Alarm/sprinkler systems, prevention efforts I Media Events -Department P P Fire Historical ~-Mutual Aid Activities CU 5 6 Fire - Run Reports (Incidents) CU 3 4 Fire Depends on Spillman Database -- Tailboard Safety Sheets CU 3 4 Fire GC34090(d) May keep longer Weed Abatement CL 2 CL+2 Fire GC34090 Various documentation I I (May keep longer for historical) I \ w o CU=Current CL=Closed/Completed P=Permanent O/R=Oestroy when no longer relevant AlE=After expiration T-Termination AU=Audit S=Superceded I/M = Image/Microfilm/Fiche