HomeMy WebLinkAbout2009 Records Retention Policy-ScheduleCltyO~
san lUIS OBISpO
RECORDS RETENTION
POLICY AND SCHEDULE
Prepared by the
Office of the City Clerk
October 2009
RECORDS RETENTION POLICY AND SCHEDULE
T ABLE 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 Certificate of Destruction 15
C. Sample Destroyed Records Log 16
3. Legend 17
4. Records Retention Schedule 18
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
paperwork accumulated in the daily operations of the City of San Luis Obispo; and
WHEREAS, Section 34090 ofthe 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 ofResolution 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 CiJy ofSan 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
established.
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retention period for certain City Clerk records is hereby rescinded.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 retention 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for certain financial and personnel records is hereby superseded.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.
2
Resolution No. 9174(2001 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, Mulholland, Schwartz, Vice Mayor Ewan,
and Mayor Settle
NOES: None
ABSENT: None
The foregoing resolution was adopted this 24 th day of April 2001. ~-;/
~ff~.
.~./~.. -:.~ ~ M1fyor Allen Settle
ATTE
"
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 charactelistics.
"Writing" means any handwliting, 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 has 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.
Records Retention Policy
Updated 10/5/2009
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.
I. 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, permitting copies, and
management of all public records of the City shall rest with the City Council.
B. Officers and Emp 1oyees. 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
Records Retention Policy
Updated 10/512009
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 permanent records, which can last for more
than 50 years. However, most digital formats 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
microfilmedlfiched may be destroyed.
Records Retention Policy
Updated 10/5/2009
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.
Cltyor
san lUIS 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
intendedfor 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 of circumstances 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.
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 infonnation
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.
PROHmITED 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 infonnation 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 infonnation, 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.
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 of 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 yom email (both internal
and external) and respond to it on a timely basis as you would with any other hard-copy
conespondence 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 pennanent 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 conespondence, 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
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, it is 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.
of SHOUTING.
This is the electronic equivalent
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 doread 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 your stored outside of Outlook, either by saving them to the "physical" in or out-box, doappropriate 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 definitions 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 GroupWise 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.
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 ofthe Director of Finance & Information Technology.
Managing Mailbox Size
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).
Figure 1.
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Electronic Mail Policy
2. This will bring-up several options Figure 2.
for viewing your mailbox in making
; E.k (dt. ~w !:1O ,.Jl".·: I.,. ,.~}decisions about the easiest way to . '/. Youcanll5ctt-istoolto~lhesu.er.Jy,,-,~x. I ~'" • S;Y.fe 8.:;.,. ';.' You CMl fud types of Items to delete or 1'llOYe, etflltv the deleted
;: J l5PQ.~ ~rr:sfolder,oryoJc"hlrveOutlooklTansferitemsto<JllQfdWereduce files (Figure 2.)
'-"'-x
Favort..c: Folders ~
JlnboX I ~ OFn1lemsolderth«1 'J(]
~ ~I I v.mM"""',""'"
~IOfflc.rsl3. Selecting "View Mail Box Size"
-15en1: nems (2) Find items larr,;er then 2'SO rLocal
Alr-\llIFo!defswill show you the file size of ----- r""""'""" I ~ummerell [sumr
::I ~!MbiIlox-st.$Ier.BiiI ~=~~:~~the
the-.>e lllms I.Tlder A¥chIvc folders k1 the folde-r
Mst. various types of Outlook files, such ---.1 2007 league COot" ~,""."thee
-JAtceSsr.gNeXlC
.-.JCalPotyClMf .as your in-box, calendar, tasks and ~thedeleUxllf.efllSfoIde,perrnanef't1y ~ new one,---1CoolT~s ~ d&tetes those lcms. urhelp."-; Deleted Items (sent items .,..d0ral'ts(.-:;) 1-Doieted It"'"""':J
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• Del.ete.11olerMtevers.kln:;;oIA.emsi"lyoll-l Ft.J1dB&ncePoac: ~,emnnibox r@Sloclty.org]
Wew Ccdkts: Su...For example, in Figure 3, sent items
account for large percentage of total
12ltems
storage (about 60% of the total); and
deleted items account for 25%. Figure 3.
Deleting sent messages that are six
months or older (assuming that any
that qualify as "records" have
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.~- $. Objective Updates r.,elsewhere) and cleaning-out deleted
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items will significantly free-up ~j'lr".'f)<; 1 •
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!~... b. :....l} ~ ~"3-ell eThe 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 staff.
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
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;
Revise(J by the City Administrative Officer on September 20, 2007.
Records Retention Policy
Updated 10/512009
SAMPLE 1
MEMORANDUM
DATE
TO: Department Head
City Attorney
FROM: Records Coordinator/other Employee
SUBJECT: REQUEST FOR RECORDS DESTRUCTION
On April 24, 200 1, 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 ofrecords exceeding the
retention requirements and, as such, are being preparedfor 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
Records Retention Policy
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
AIR
Bank Rec
Bank Rec
Bank Rec
Bank Rec
06/98
06/98
07/94
06/96
06/96
09/97
03/99
06/96
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
07/98
06/97
11/97
11/97
06/96
07/96
08/00
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 thru 6/95, Street Report: 6/90, 1986
Capital Improvement Financing binder
Utility billing adjustment committee 6/95-1/96, sales tax 1st
Utility billing adjustment committee
Audit work papers
1099 tax reports
Ameripride/Valley 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 -0 misc
Vouchers E-F
Vouchers G - H
Vouchers I -K
Vouchers L -Mi
Vouchers Mo - 0
Vouchers P -Ph
Vouchers Pi - P misc
Vouchers Q -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
/2od quarter 1995
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
Records Retention Schedule
Retention Codes
AlE After expiration
AU Audit
CU Current
CL Closed/Completed
DIR Destroy when no longer relevant
E After Election
P Permanent
S Superceded
T Termination
Authorizing Code Citations
CCP 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 San Luis Obispo Municipal Code
USC United States Code
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE =± ---RECORD TITLE TOTAL OFFICE RESPONSIBLE I CODE SECTION
RETENTION FOR REl;ENTIONANi) REMARKS
PERIOD DISPOSITION OF RECORD
I-WPIES or DUPur ----•. - . D/R -I Duplicates and copies distributed to various departments for informational purposes
the office of record may be destroyed by the departments when they are no longer useful for reference.
I No "Reauest for Records Destruction" form is reauired.
ELECTRONIC DOCUMENTS Electronic copies of paper records should be kept no longer than the retention period
specified in this schedule. If electronic documents are also in a paper format. both
-j I r---1must be destroyed at the same time.
100 GENERAL ADMINISTRATION
101 OFFICE GENERAL MANAGEMENT
I City Manager (CM) Reports __51 Various IGC34090I
City-Generated Informational Brochures. Publications, Newsletters P Various ----+G~C-=3-:-40:O:9:;0~K:7e-:-e~p-o-n-e~f;-0-r h'-;i~st;-o-:ri-ca-:I-p-u-rp-o-se-s--I
Ci -wide Policies and Procedures P Various GC34090 Keep one for historical purposes
Corres ndence -External 2 Various GC34090
f----I Correspondence _Internal (excluding CM Reports -see above) 2 Various IGC34090
~artmental Policies/Procedures S+5 Various IGC34090
General Information Various -If-OG:-:C:-:3:-'4'=0~90;;_;_;___,___;__,_;__--__:_-..,_:_.,._;__-2 1
In-House Committees CU+5 Various GC34090 May be kept for research/historic purposes I
Staff Meeting Notes I 2 Various GC34040
102 OFFICE REFERENCE
I Annual Departmental RePorts I 51 Various IGC34090
Certificates of Life I 51 Clerk IGC34090
Chronological Files I 21 Various IGC34090
Community Omanizations I 51 Various IGC34090
Comj:llaints I 21 Various GC34090
General Information 21 Various IGC34090
I I Positive Feedback How are we doing? forms) I 2 i Various --r.G:-;C:-;3:--;4_=0~90;;---------
Professional Associations 2 Various GC34090
1-Publications Uournals, periodicals) D/R Various Not a public record. No "Reauest for Records Destruction" form is required.1
103 FORMS MANAGEMENT
Blank Forms I sl Various No "Request for Records Destruction" form is required.
I I I
104 RECORDS MANAGEMENT
I Certificates of Destruction I P I Clerk IGC34090 Legal record of final disposition of document.
T Public Records Reguests 21 \jarious !GC34090' 1Records Retention Schedule ------s+51 Clerk lecp 343 I,-i I
200 COMMUNITY DEVELOPMENT
201 CITY PLANNING
I Address Files I pi _Planning IGC3409QJ~)
Business Tax Certificates I p' Planning !GC34090(a
Code Enforcement Flies P Building GC34090(a) Microfilm after 5 years
Construction Files P Buildina GC34090(a) Microfilm immediately -after final inspection
Constnuction Permits (numeric) P Building GC34090(a) Microfilm one vear after final inspectio'~n~'-----------I
I f-ti2me Occupation Permits
Q!i;;.Qeetion Cards
Notices of Address Change
P
P
P _
Planning
Buildinq
Planning
..... .
GC34090(a)
GC34090(a) Microfilm and retain original cards
GC34090(a',..,,..," ....."""
I
I Notices of Exemption I pi Planning IGC340901a) Microfilm
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
------
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
CODE SECTION
RETENTION
RECORD TITLE TOTAL OFFICE RESPONSIBLE
FOR RETENTION AND REMARKS -.-- ----+--:-PERI,.."O.::.D_-+ DISPOSITION OF RECORD
Project Files: Administrative Use Permit; Planning Commission Use pi Planning GC34090(a) Microfilm after 2 years
Permit; Planned Development; Certificate of Compliance; Architectural
Review; Architectural Review Minor and Incidental; Environmental
Review; General Plan; Specific Plan; Text Amendment; Rezone; City
~ Initiated Rezone; Annexation; Variance; Lot Line Adjustment; Street
Name Change; Other
I
Recorded Agreements: Residents/Covenants, Affordability, First-Timel P Clerk GC34090(a) (Filed under 704-06 in City Clerk's office in Housing Agreement
f-__---LCH"'o"'m-'.:e':--=Buyer etc. section by property address.) I
1 ~Slgn Invento Files 2 Planning j,-c:G:-:C=-,3,-,4"70~90=--_
Si~n Permits 2 Building ~090 I
Tentative Tracts and Minor Subdivisions P Planning IGC34090(a) Film after minimum of 10 years." See Public Works for final maps.
I I Unreinforced Masonry Files (structural analysis) I --9 Building --=-==1 GC34090(a) -I
300 CITY MANAGEMENT
301 COUNCIL FILES
Appeals Heard by Council I pi Clerk IGC34090
~eals not Heard by Council gL+21 Various GC34090
-I
I 1Audio Tapes or Liberty System 6 mos Clerk GC34090.7
Cablecast Schedule for Gov. Access Channel 20 2 Clerk GC34090
Council Agenda Packets P Clerk GC34090
I-Council Brochures P Clerk GC34090 Keep one for historical purpose~
Council "Notes" 2 Admin GC34090
I I Council Policies & Procedures P Clerk GC34090 Keep one for historical purposes
Council Resumes I CU+21 Admin GC34090
Council Subcommittee Assignments ~ 81 Clerk IGC34090 I
DVDs of Council and PlanninQ Commission Meetings P Clerk GC34090.7
Hot Files 2 Admin IGC34090
Minutes _ P I Clerk
GC34090(e)
Oaths of Office P Clerk
GC34090
Petitions to Council 5 Clerk -----+.::::G.::::C"734..:.0=-'9c::0...,Ac-d,...v,...iS-ory-,n-o-n--e-,-le-c""ti,...on-re-cla-,-te-d7".-=-(lf submitted to Council, retain permanently
with a@nda packet.)
Proclamations 21 Clerk IGC34090
f.I pi Clerk jState Constitution
I 2' Clerk GC34090 ,
0=:=::=:...,=:=-;-------------+----P Clerk GC34090 Original red file is part of the agenda packet
P Clerk GC34090(e)
T I I I
302 COMMISSIONS, COMMITIEES, BOARDS
I Agenda/Agenda Packets P
I Audio Tapes 2
Bylaws P
Membership File: (Appointed AB members applications, oaths,
T+5
correspondence, etc.)
2I I Applications (not appointed)
Minutes P
Recruitment File: Includes correspondence, Maddy Act notices, misc. 2
ads, and information
Resolutions P
304 CITY ADVISORY BODIES
Advisory Body Handbook P
Advisory Body TraininQ 5
AE=Afler Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
------
I
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE --TOTAL I OFFICE RESPONSIBLE CODE SEC~T~IO~N~ _i=
Annual Advisory Body Recognition
Miscellaneous/Ad Hoc Advisory Bodies
Quarterly Advisory Body Chair Meetings W'iihM"aYor =1
400 FINANCIAL AND FISCAL
401 ACCOUNTS PAYABLE
Accounts Payable Reports I
t=--+-A="'c:":;counts Payable Supporting Docs (voucher, invoice, PO) I
Bank Statements
Tax Reports (1099 Tax Info/Returns) I
I
402 ACCOUNTS RECEIVABLE
I Assessment Pay.offs I
Business Tax Customer Files
I Cash Receipts
Credit Bureau Adjustments
Invoices
Journal Entries
Refunds
Revenue Backu
Transient Occupancy Tax
RETENTION I FOR RETENTION AND
PERIOD DISPOSITION OF RECORD
5' ---Clerk
CU+5 Clerk
__5 Clerk
AU+5 Finance & IT _AU+5 Finance & IT
AU+5 Finance & IT
AU+11 f----Finance & IT
.
AU+4 Finance & IT
AU+4 Finance & IT
AU+4 Finance & IT
AU+4 Finance & IT
AU+4 Finance & IT
_AU+4 Finance & IT
AU+4 Finance & IT
AU+4 Finance &!T
AU+4 Finance & IT
_ REMA~~S _
,GC3409::c0-----
~34090F34090
IGC34090
iGC34090 ---------------1 IGC34090
141 CFR50-201.501 I
IGC34090(c) I
IGC34090(c) / SLOMC3.01.50HB)
,GC34090(c)
IGC34090(c)
jGC34090(C)
GC34090(c) IIGC34090!C)
GC34090(c) / SLOMC3.16.190 / SLOMC3.04.11 0 I
GC34090(c)
I
403 MISCELLANEOUS
Budget Amendment Request (BAR) I AU+4
Finance & IT IG::::.C~3~4~0~90~-;-;;;==,------j
Checks, Canceled AU+6 Finance & IT IGC34090(c) / CCP337 I
I GeneralCorresoondence I AU+4 Finance & IT IGC34090
TI
406 PAYROLL
AU+4 GC34090(c) / CFR516.2
I I Payroll Reports
Finance & IT~roIiCharg~
GC34090(c)
Tax Reoorts
AU+10 Finance & IT
GC34090(c) / CFR516.2
Time Sheets
AU+11 Finance & IT
GC34090(c) / CFR516.2 AU+4 Finance & IT
408 GRANTS
~unity Deveiopment Block Grants (CDBG) ~ T+4 PlanninQ 24CFR570.502
Various GC34090
reports, contracts, su~portinQ documents)
I I_~:~:~al Grants, inclUding FEMA / Other Emergencies (Applicants, CL+5CL+5i I I
Grants-in-aid (Applicants, reports, contracts, supporting documents) CL +5 Various GC34090
State Grants (Applicants, reports, contracts, supporting documents) CL+5 Various GC34090
I I
411 UTILITY BILLING
I Credit Bureau AssiQnments I AU+41 Finance & IT IGC34090(C) I
Meter Reads AU+4 Finance & IT GC34090(c)
~ment Stubs & Tapes I AU+21_ Finance & IT IGC34090(d) I
Purg.e Tapes I AU+4 Finance & IT GC34090(c'
Refunds AU+4 Finance & IT IGC34090(c --1
Service Requests AU+41 Finance & IT GC34090(c
l Utility Billing Register -:-AU+41 Finance & IT jGC34090(C) I
412 FINANCIAL REPORTS
Audited Financial Statements I pI Finance & IT IGC34090(c)
I I Bonds Payable and Other Long-Term Indebtedness T+31 Finance & IT ~GC34090(C) / CCP337.5/ GC53921 I
Budget Document (Financial Plan) I P Finance & IT GC34090(c)
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE CODE SECTION
RETENTION FOR RETENTION AND
TOTAL OFFICE RESPONSIBLE
REMARKS
PERIOD DISPOSITION OF RECORD
Fixed Asset Subsidiary Ledger (includes inventory)
GC34090~) /26CFR301-65-1(f)
Monthly Financial Statements
AU+51 Finance & IT
AU+5 GC34090(c)Finance & IT -Other Financial Reports I AU+4 GC34090(c)
I State Controller Reports
Finance & IT
AU+10 Finance & IT ~GC34090(C)
~-
-Surplus Property List AU+4 Finance & IT GC34090(c)
I I
500 HUMAN RESOURCES
Applications (unsuccessful applicants) CL+5
HR !29 CFR 30.8/ GC12946-~ Department of Motor Vehicles Records T+1 GC12946
Discrimination Complaint
HR
T+5 29 USC 255 (a)
Employee Discipline
HR
T+3 GC34090(c)HR .Employee Files T+51 HR 45CFR1068.6APPA /29CFR1627.3/ SLOMC11.04.010(H)
Employment Eligibility Verification -Immigration/Naturalization
T+3 HR IGC34090(C)
Service (19 Form)
Equal Employment Opportunity Reports
GC34090(c)
General Correspondence
3 HR
GC340902 HR -Insurance/Benefits AU+4 29CFR1627.3(b)(2)HRI----Labor Neaotiations HR I GC34090(c)
Risk Management Claims Against The City
T+3
CL+5 GC34090
Risk Management Reports
HR
GC34090
Safe~ T+3
CL+5 HR
GC34090(c)
Temporary Employees
HR
T+5 45CFR1068.6APPA /29CFR1627.3/ SLOMC11.04.010(H)
Tuition Reimbursement
HR
HR I GC34090(c)
Workers Compensation
AU+3
T+30 HR 129CFR1910.20
I I
600 PURCHASING & CONTRACTING
601 PURCHASING
Bids, RFPs (unsuccessful}
Various GC34090 / CCP337 / SLOMC3.24.170
Bids, RFPs, RFQs (successful)
~AU+5 Various GC34090 / CCP337 / SLOMC3.24.170
City-Owned Pro~/Property Management
P Clerk GC34090(a)
General Information
2 Various !GC34090-Surplus Property Auction/Disposal AU+4 Finance 'CCP337
Surplus Properly Listing I AU+2
Finance -T34090 !
700 LEGISLATIVE AND LEGAL
701 LEGISLATIVE
I Affidavits of Publication I cU+41 Various GC34090
Certificates of Postina
GC34090
Charters-Listed Numerically with Amendments I P Clerk
CU+41 Various
GC34090(e)/GC40806
Citizens' Charter Committee I P Clerk
GC34090
Council Ordinances P Clerk GC34090(e)
, Council Resolutions I P Clerk
GC34090(e) / GC40806
Grand Jury
2 Clerk GC34090
Leaaue of CA Cities I 2 Clerk
GC34090
Legal Notices, Legal ads, and Display Ads I CU+4
Various IGC911.2; GC34090
Legislation: County, Federal, State I 2 Clerk GC34090
Municipal Code P Clerk IGC34090(eLQatabase on City network/Keep one for historic value
, Notices of Adjournment 2 Various GC34090
I
1
702 ELECTION
IAbsentee Voter applications (copies of)
E+6 mos. Clerk IEC17505(b) Confidential
Application to view: voter registration info, AV voter lists
EC21885 Clerk
Ballots: all, voter ID envelopes and ballot receipts, manual tally E+6 mos. Clerk IEC 17302; EC 17306 (if no legal action) Confidential
sheets, logic/accurac~ts, other ballot-related docs
I Campaian Disclosure Statements:
AE=Afler Expiration AU=Aud~ CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=Afler Election P=Permanenl S=Superceded T=Terminated
--
---
--
---
-----
--
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
I RECORD TITLE I TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION h FOR RETENTION AND REMARKS
f-I I PERIOD DISPOSITION OF RECORD [
Successful Candidates Clerk
GC81009(b)
---E+~I Unsuccessful Candidates Clerk GC81009(b)
Other T+7 Clerk
GC81009(e) --Election correspondence E+21 Clerk GC34090
Election documents: expenses, proofs, night logs ~ E+2
-4
Clerk IGC34090
Electio.n hislQ!Y.____
P Clerk iGC34090
Election notices, pUblications, certificates
E+2 Clerk GC34090
Initiative, Referendum, Charter Amendments, Recall Petitions
After Certification 0 Clerk IEC1720&EC '7400 C"""''''results + 8 months,
Municipal Election File/Sample Ballots P Clerk IGC34090
Nomination Papers:
If-Successful Candidates P Clerk IEC17100
Unsuccessful Candidates
E+5 Clerk EC17100
Precinct Board Appointments -appointment of precinct oficials I E+6 mos.
Clerk ~EC17503(b)
Precinct hand tally, copies of index, challenge list, assisted voter list E+6 mos. Clerk EC17304 Confidential
Roster of voters original indices (precinct board) E+5 Clerk ~7300(a) (if no legal action)
703 CITY ATTORNEY
I Administrative Files
CU+5j City Attorney -JGC34090
Civil Litigation
CL+10 City Attorney GC34090(b)
Civil Litigation regarding Property (including settlement and releases)
GC34090(a)P City Attorney
Criminal Cases goino to court GC34090(b)
Criminal Citations
CL+5' City Attorney
GC34090CL+2 City Attornev -Legislative Files GC34090CU+2 City Attorney
704 GENERAL LEGAL
IAgreements/contracts (consultants, purchase agreements, and others CU+5AE' Various
CCP337
not shown elsewhere in the retention schedule)
ClaimslSublleona Loos
GC34090
Donor and Donation Agreements
2 Clerk
GC34090
Ethics Training Certificates CL+5
P Clerk
Clerk GC34090
Housing Agreements (Includes recorded and other related agreements) P Clerk
GC34090(a) -GC34090
Lease Agreements ot'Real Property (long-term; Le., more than five
Joint Powers Authorities CL + 10 Clerk
GC34090
Liens
CL + 5 Clerk
P Clerk IGC34090(a)
Public Art Agreements
GC34090
Recorded Documents (Abandonments, Deeds, Easements,
P Clerk
GC34090
Williamson Act Contracts
P Clerk
GC34090(a)
!
706 CAPITAL IMPROVEMENT BOARD
I CIB Aoreements/Contracts I PI Clerk ICCP337
CIB EstablishmenUBylaws
P Clerk
P Clerk GC34090(e)
CIS Resolutions/Ordinances I P Clerk
GC34090(e)
General Correspondence 2 Finance ,GC34090
Minutes P CI~rk
~ie)
I I I
707 STATEMENTS OF ECONOMIC INTEREST
1 General Correspondence I 21 Clerk IGC34090
Statements of Economic Interest (87200 Filers)
T+7 Clerk IGC81009(e) & CCAC Guidelines
Statements of Economic Interest ICilY Code Filers) 7 GC810091e)
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE I TOTAL OFFICE RESPONSIBLE CODE SECTION -I RETENTION FOR RETENTION AND REMARtSS --
I
I
I
PERioD
I
DISPOSITION OF RECORD .~~ - -
709 PUBLIC INFORMATION/COMMUNITY RELATIONS
Consumer Price Index (CPI)
General Correspondence
I
I
CU+2
2
Various
Various
!GC34090
GC34090
-
Press Releases
I
CU+2 Various IGC34090-I
800 PUBLIC WORKS
801 ENGINEERING
Contractor Bids (not awarded) CL+2 Public Works IGC34090 Exception: Federally funded: 3 year retention period or as required by the
fundin9.iluthority .
Encroachment Permits CL+4 Public Works 'GC34090
EnQineering Standards P Public Works =tGC34090(a)
General Corresl2ondence 2 Public Works GC34090
Job Files: Certified payroll; pay estimates; original bid documents; legal CL+2 Public Works !GC34090 Federally funded or as req'd by the federal authority
ads; preliminary noticeslliens; engineer's daily logs or inspector's
'diaries; DAS13 I
Job Files:Org. specials w/autocad drawings, photos/video tapes for P Public Works 1GC34090
historic value; agrmnts; CMRlCAR; change orders; env docs; final pay
est. w/attach; notice completion; haz waste manifests/transp docs; ins
certs; perform bonds; proposals; spec reports (haz mat, bio, soils).
:submtls (matis, draw), warranty, as-built daily logs or inspectors'
diaries; bids/plans/specs
Final Tracts and Minor SUbdivisions (includes subdivision P Public Works IGC34090(a) Film after minimum of 10 years'. See Community Development for
improvement agrees; development agrees; in-lieu agrees) Final maps
I I
802 STREET ADDRESS FILES
GeneraUnformation I 21 Public Works IGC34090
Street Files 10 Public Works ,GC34090
1 I I I
803 MASS TRANSPORTATION
General Information
Local-SLO Municipal Bus System
I Regional Elderly/Handicapped Transit
CU+1~1
CU+2
Public Works
Public Works
Public Works
IGC34090
GC34090
GC34090
Taxicabs CU+5 Public Works GC34090
Transportation Permits CU+2 Public Works IGC34090
Unmet Transit Needs CU+10 Public Works IGC34090
[
804 PARKING
Downtown Parking Study I p! Public Works IGC34090
General Information 2 Public Works GC34090
Parking Appeals CU+2 Public Works GC34090
Parking Citations CU+2 Public Works GC34090
Parkino Meters CU+5 Public Works GC34090
ParkinQ Policies I CU+5 Public Works GC34090
Ridesharino/Car Pool Program I CU+5 Public Works GC34090
1 I I I
806 DISTRICTS
Assessment Districts I CL+10' Public Works/Clerk 1GC34090 Note: original documentation in City Clerk's Office
Benefit Districts CL+10 Public Works/Clerk :GC34090 Note: original documentation in City Clerk's Office
-General Information 2 Public Works GC34090
Geologic Hazard Abatement Districts
Residential Parking Districts
~derQround Utilities I
CL+10
CL+10
CL+10
Public Works
Public Works
Public Works
GC34090
IGC34090
IGC34090 -I
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
--
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
_:=1 RETENTION FOR RETENTION AND I REMARKS .. PERIOD DISPOSITION OF RECORD I
807 SURVEYING-I General Information 21 Public Works
I
808 MAPPING
I Aerial Photos I CU+10! Public Works-General Information 2 Public WorksII1
809 FACILITIES MAINTENANCE
~poration Yard CU+101 Public Works
. General Information CU+10 Public Works-+
810
811
Golf Course Maintenance
Government BUilQ!.l:!g Maintenance
Library Maintenance
Parking Facilities
Recreation Facilities Maintenance
I Street Landscape Maintenance
I Swimming Pool Maintenance
l
STORM DRAINAGE/FLOOD CONTROL
I Creek Policies
Drainage Complaints
Drainage Maps
Flood Management
Flood Studies/Detention Dams
General Information
Storm Drain & Water Wa~.llram
Storm Water ManaQement Plan
Zone 9 Master Plan
1
PUBLIC IMPROVEMENTS
Cost Estimating
~allnformation
812 TRAFFIC OPERATIONS (STREETS, HIGHWAYS, BRIDGES)
Abandonments
Bicycle La nes/Pa ths
Bridges and Creeks
General Information
Pavement ManaQement Plan
School Related
Street Signs & Pavement Markings
Street Widening
Traffic Patterns
Traffic ReQulations
Traffic SafelY
Traffic Signals & Street Lights
Traffic Studies
900 INFORMATION SYSTEMS
901 GENERAL COMPUTER INFORMATION
I General Information
Hardware
Software
Training Programs
Video monitoring tapes
CU+10 Public Works
CU+10 Public Works
CU+10 Public Works
CU+10 Public Works
CU+10 Public Works
CU+10' Public Works
I Public WorksCU+1Q.1
s+21 Public Works
CU+2 Public Works
CU+5i Public Works
CU+2 Public Works
CL+10 Public Works
2 Public Works
CU+10 Public Works
5 Public Works
I S+10 Public Works
I I
CU+21 Public Works1
CU+2 Public Works
I
p' Public Works
P Public Works
CL+3 Public Works
2 Public Works
CL+5 Public Works
CL+5 Public Works
CL+5 Public Works
P Public Works
CL+5 Public Works
CL+3 Public Works
CL+5 Public Works
CL+5 Public Works
CL+10 Public Works
I
2 1 Finance & IT
S+2 Finance & IT
S+2 Finance & IT
CL+2 Finance & IT
1 Finance & IT
IGC34090
GC34090
~90
1GC34090
GC34090
GC34090
GC34090
GC34090
GC34090 -
GC34090 --GC34090
GC34090
GC34090 -GC34090
GC34090
GC34090
GC34090
GC34090
GC34090
GC34090
GC34090
!GC34090
IGC34090
I
GC34090Cal
GC34090 Microfilm for research/historic value
GC34090
GC34090
GC34090
GC34090
GC34090
!GC34090Cal
GC34090
GC34090 -GC34090 -
GC34090
GC34090
I
IGC34090
GC34090
GC34090
GC34090
GC34090.6Cal
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
I RECORD TITLE CODE SECTION
D~Tl:'tJTln.1 I""'I"\.~ r·u..... r-.......I_.... AI
~~~~~~~_.. II O::~C~~;~ 1 _ REMARKS
.--_. -OROI __1 __-- ~Ul) I l)1~I'U~IIIUN UI" Kl:v:..:·~==---------,-_
1000 REAL ESTATE
1001 CITY OWNED PROPERTY
I IAperaisals I CL+2 Various_ IGC34090
i Recorded Documents pertaining to: Buildings, excess right of way. P Clerk fGC34090(a) Recorded documents are filed 704 and are kept by the City Clerk I
1.~j2arks (Deeds/Easements are filed under 704) .. I 1_
1100 PARKS & RECREATION & CULTURE
1101 PARKS AND RECREATION
IAccident /Injury Reports --Event Participants CU+7 P&R IGC34090
I
tBanner Applications and Permits ., CU+5 P&R jGC34090 -l
CAL-OSHA Department Tailgates CU+7 P&R IGC34090
Contract Instructors Contracts CU+5 P&R GC34090 I
Contract Classes Waivers, Rosters CU+5 P&R GC34090
Children Services billing/Facilities/Pool '2 P&R GC34090 I
Facility Rental Information CU+2 P&R GC34090
Facility Use Permits I CU+5 P&R GC34090
General Information (Q!iginal correspondence) I 2 P&R GC34090 I
IGolf cart liabili!y' release forms I CU+51 P&R GC34090
Hom"'" C.m, ",,"c9' ~ 5 P&R P,,,,, C"""02 ,1.1. I
How Are We Doinia Forms =~U+2 P&R IGC34090
Pesticide Certification records (use, purchase, training. MSDS) CU+j P&R GC34090 I
Playground Audits P I P&R GC34090(a)
1_ IPress Release I CU+3 P&R GC34090
Public Facilities (Including pools and parks): Capital Improvements and I 101 Public Works GC34090(a)
Construction
Public Facilities (Including pools and parks): Maintenance and 101 Public Works iGC34090(a)
Operations
Scholarships I cU+2i P&R IGC34090
Special Event Permits I CU+51 P&R IGC34090
SPOrts Waivers I CU+31 P&R IGC34090
ITriathlon Waivers I CU+51 P&R ,GC34090
I I I -------r
1200 UTILITIES/PUBLIC SERVICES
IConservation -Administrative Citations I 31 Utilities IGC34090
Franchise -San Luis Garbage --I pi Clerk IGC34090
Franchise -Cable TV S~ems I P~ Clerk IGC34090
Franchise -Pacific Gas & Electric P Admin ,GC34090
IFranchise -The Gas Co. (aka Southern California Gas Co.) pi Admin IGC34090
--i I
iFranchise -Tosco and Union Oil Co. P Attorney IGC34090
General Correspondence I -11 Utilities -1 GC34090
Industrial Waste Closed ·Permit files 3 Utilities
40CFR
Laboratory documentation and reports T P Utilities 40CFR + Historical
Laboratory documentation and reports I P Utilities 40CFR + Historical I
Master Plans : S+10 Utilities GC34090
NaCimiento.. Water Supply I P Utilities On~ project I
[NPDES Permit I P Utilities 40CFR
I Pretreatment Annual Reports I 3 Utilities 140CFR
I Recycling and Demolition Plans I 31 Utilities IGC34090
'Salinas Dam & Reservoir -Original Agreements P Q!!l' Clerk GC34090
Salinas Dam & Reservoir -Documents other than Original Agreements I P Utilities IGC34090
SWRCB Grant & Loan documentation I CL +30 Utilities iGC34090 I
\SWRCB Rights & Permits I pi Utilities 1·40CFR I
SWRCB--Water Rights/Permits P Utilities 40CFR
Utilities brochures. pamphets, public information I pi Utilties !GC34090 +Historical puroose
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanenl S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
1 RECORD TITLE I TOTAL OFFICE RESPONSIBLE CODE SECTION I
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Utilties Rebate applications -3 Utilities 9C34090
Water & Wastewater Management Plans S+2 Utilities 40CFR
I IWater &Wastewater Studies . -CL +10 Utilities GC34090 I<
Water Quality Reports P Utilities GC34090
Water Reuse -SWRCB & NMFS reporting • P _ __ Utilities 40CFR + Historical
Water Treatment Plant -Dept of Public Health reports P Utilities 40CFR + Historical
Water Treatment Plant -EPA reports P Utilities 40CFR + Historical
IWelis & Groundwater information P Utilities GC34090
Whale Rock Financial Plans and Statements . '='-Utilities ! GC34090
Whale RocklMinutes I P Utilities GC34090
WRF Annual DischargeMonitoring Reports___ P Utilities 40CFR + Historical
WRF Monthly Discharge Monitoring Reports 2, Utilities 1...:.:::.:C _
I 40 "-'F...:.R-=-
1300 POLICE
IAdministative Accident Review CL+51 Police IGC34090
IAdministrative/lnternailnvestigations CL+51 Police GC34090
P Police 'GC34090 Electronic records only with the exception of mandated destruction!
Ipursuant to sections: PC 290(d)(4) & 851.8, H&S 11361.5(a),(b),(d),&(e), W&I
I ,All Arrest Repo~s . 781(a), 826(a), 826(b).
Arrest and Citation Register
2 Police IGC34090
lArson Registrant -Adult
P Police PC 457.1(b)2
-lArson Registrant -Juvenile I PI Police IW&1781
Audio Recordings-Telephone and Radio 21 Police IGC34090.6 -Electronic records onlY.:
IBackground Investigations T+5 Police GC34090
I ~K~rooodl~e~g~oM-N~H~d C~~2+----~~~I=~=e-----i~G~C~3~4~~~0~-----------------------J
Child Abuse, Neglect, Molest I PL Police PC 799
Citations -I 21 Police ----+.G=-"C=-=3=-=4'=0::""90=--E::CIc-ec--:t-ro-n-:-ic-r-ec-o-r"7ds-o-niY
Citizen Complaints --I CL +51 Police IGC34090
Collision Reports I 51 Police GC24090 and GC34090.7 -with the exception of fatality reports
'Concealed Weapon Permit Records I NE+21 Police IGC34090
Confidential Informants --I 21 Police 1GC34090
Court Log I 21 Police _I GC34090 -Electronic records only
Daily Calls for Service Log 2 Police GC34090
Death cases I PI Police IGC34090
Embezzlement of Public Funds I pi Police IPC 803
Em~~~n~~~R~o~s I ~51 ~p=~=~=e I~G:-:C:-:3=-=4~0~9~~(~~~ --_~
Fatal Traffic Collision I -----p1 Police GC34090(c)
PI Police I PC 799 -Case by case determination as to whether stored electronically or paper
Felony capital crimes, crimes punishable by deathllife in prisonment
Felony Crime reports 10 Police PC 804
Fire Arms -lost or stolen CL+5 Or P Police
CLETS P&P -Permanent until weapon is located I---2 Police 'H&S 11361.5(a) -Exception: violation H&S 11357(e) by a juvenille.
Health &Safety Codes Sections-11357(b),(c),(d), or (e) or H&S 1-1360 T
Homicides P Police !PC 799
5 PoliceIncident and Non-criminal Reports I 1 GC34090 -Electronic records with the exception of death and missing persons
!cases
Juvenile Detention Logs/Survey/Monthly reports I CU+2
Police ---1 GC34090 --1
Kidnapping -Active I P Police CLETS P&P
Massage, Taxi, Permits CL+21 Police IGC34090/SLOMC 5.56.150
I 51 Police IGC34090 with exceptions: related unserved warrants, identifiable items which have
not been recovered, unadjudicated arrests (except H&S 11357111360), presentlyIMisdemeanor and Infraction violation cases I Iinvolved in civil or criminal litigation
I-.Missing Persons -Active P Police ICLETS P&P I
Narcotics Registrant P Police ,H&S 11594
News Releases (Pr~sJ' Releases) 51 Police IGC34090 -Electronic records onlv
AE=After Expiration AU=Audit CL=Closed/Compleled CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanenl S=Superceded T=Terminaled
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE ____ I TOTAL OFFICE RESPONSIBLE~ CODE SECTION
RETENTION FOR RETENTION ANQ . REMARKS I
. +-1_ PERIOD DISPOSITION OF REfORD "--:c-----_
Officer involved shooting ~ CL+25 Police GC34090
I I Operations Directive Manual -_. P Police GC34090
Public Intoxication Arrest Report 10 Police 647F PC
I--.Recovered Stolen Vehicle Reports _ 5 Police CLETS P&P -=EieCtrOnic·records only
!Reports involvin_g seized weapons retained by City Police _ _ I 101 __Police CLETS P&P -Electronic records only
'Sex Cases I P Police Electronic for case reference
Sex Registrant files--~ P Police i PC 290 aL(~HQ -Electronic records~
Sex Registrant files -Juvenile P • Police -+W.~&::_1-:c70,:81~_;_;_--__;___;_:_;___,____;__--
__---'--,S:pecial Orders Manuals· --P Police ~090 -Keep one for historical purpose-
I-IStatistical UCR Report P Police 19934090 -J.<.eep one for historical purpose
'Subpoena Log 2 Police IGC34090
Survey Responses I 2 __C'0lice GC34090 -Electronic records onl~ I
Use of Force Reports 5 Police GC34090
2 Police --!'-;:G~C~3O-:4-=0::-90~.-::;7/-;;C;-:;C;-:;P~33~5:-.71 ---w7;it;-h-;-;th-e-e-x-c-ep--;t-:-io-n--o-of-c-in-ofo-=-r--:-m:-a:-;:ti:-:-o-=-n-;::h-::-el;-:;d-;fo-::-r:-e-v"7"id::-e-n-ce-.
I ,Video Recordings -in-car video footage Electronic records only. I
Note: See Police procedures for more specific information
I regarding retention of electronic vs. paper records.
I r
1500 FIRE
A~arn~sN~~~~~a~~dMa~~M~~ De~rtmeMM&~1 ~21 _~F=~_e ~G~C=~~0~9_0_/_8_C_C_R_3_2_0_3 ~
Arson Investigations -Evidence (Support prosecution resulting in PI, Fire PC799
homicide) I _ ..
Arson Investigations -Evidence (Great bodiliy harm, inhabited r----C-=-L+-6~1---------:F=ir-e------j-;:pc::C"'Sc:::cO---------------------------1O
structure or propertv)
B/C & Staff Logs
e--1 51 Fire IGC34090 I
Captain's Log (Fire Station Journals: Activities, personnel, engine P Fire GC34090
I !company-historical)
Disaster -Maior Event Log P Fire ~O(c)
Disaster Plans S+2 Fire SLOMC2.24.0S0 I
I I Emergency Operations Guidelines S+2 Fire IGC34090 -I
Employee Records T Fire TGC34090 Then transferred to Human Resources
EMS/Liability Reports 41 Fire IGC34090
~pment & Supplies Inventory 31 Fire m!Q I
I I Exposure -Personnel (Laboratory reports and worksheets) T'·2 Fire GC34090E"p,,,"~" P"""oo" (S'm,lIo, ~,"I", "'''«!Joe, m,'hodology, T'30 Fi~ ~9101020
I I background) --
Fire Code Books S+5 Fire GC34090.7 I
Fire Dept. Staff Reports (Non-Council agenda related, includes PI Fire GC34090
supoorting documentation)
Fire EguipmenVGear Logs
31 Fire i GC34090
, I Fire Station Construction and Acquisition I pi Fire j~C34090(a) I
Fumigations CU+2 Fire GC34090
~ General Information 2 Fire IGC34090 I
General Operations Guidelines S+2 Fire !GC34090
Hazardous Materials-Storage Permits
- .-_CL+21 Fire IGC34090 Ma'i keep longer
pi Fire IGC34090(a)
~--~==~~~~~=~-~---------~---~~C~~ Fire IOC~OOO/~P~8/~P~0.5 I ~ Fire IGC34090
I Media Events -Department P Fire GC34090
Mutual Aid Activities 6, Fire ,GC34090
AE=Afler Expiration AU=Audit CL=ClosedlCompleted CU=Current DIR=Deslroy when no longer relevant E=Afler Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
-RECORD TITLE TOTAL OFfiCE RESPO.NSIBLE
FOR RETENTION AND
DISP9SITION OF RECORD
Fire -Fire
I -
-
~O
GC34090
"Run" Reports (Incidents)
Tailboard Safety Sheets --
RETENTION
PERIOD
4
4.
Weed Abatement CL+2 Fire IGC34090
CODE SECTION
REMARKS
.
-
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated