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Home My WebLink About03-24-2025 Schedule updateRECORDS RETENTION POLICY AND SCHEDULE PREPARED BY THE OFFICE OF THE CITY CLERK CITY OF SAN LUIS OBISPO March 2025 City of San Luis Obispo Records Retention Policy and Schedule Page 2 CITY OF SAN LUIS OBISPO POLICY FOR THE PRESERVATION, PROTECTION, RETENTION AND LEGAL DISPOSITION OF THE CITY’S RECORDS Table of Contents OVERVIEW OF RECORDS MANAGEMENT ........................................................................................................... 3 GOALS .......................................................................................................................................................................... 3 OWNERSHIP ................................................................................................................................................................ 4 RECORD KEEPING RESPONSIBILITY .................................................................................................................... 4 FILE HANDLING ......................................................................................................................................................... 5 Naming Conventions - Creating and Organizing Files .............................................................................................. 5 Duplicate Records (Copies) ....................................................................................................................................... 6 Records Disposition and Audits ................................................................................................................................ 6 Records Hold ............................................................................................................................................................. 6 FILE FORMAT and STORAGE ................................................................................................................................... 7 Physical Records ........................................................................................................................................................ 7 Digital (Electronic) Records ...................................................................................................................................... 7 DIGITAL WORKFLOW ............................................................................................................................................ 10 Conversion ............................................................................................................................................................... 10 MODIFICATION OF POLICY OR SCHEDULE ...................................................................................................... 11 DEFINITIONS ............................................................................................................................................................ 12 CODE FILE GLOSSARY ........................................................................................................................................... 15 SAMPLES: .................................................................................................................................................................. 16 SAMPLE 1 – Records Destruction Template .......................................................................................................... 16 SAMPLE 2 – Records Destruction List ................................................................................................................... 17 SAMPLE 3 – Conversion to Electronic Records Template ..................................................................................... 18 SAMPLE 4 – Modification to Retention Schedule Template .................................................................................. 19 CURRENT RECORDS RETENTION SCHEDULE .................................................................................................. 20 City of San Luis Obispo Records Retention Policy and Schedule Page 3 OVERVIEW OF RECORDS MANAGEMENT The primary purposes for structured records management are to ensure that information is efficiently retrievable as needed, risk management and compliance to the California Public Records Act concerning City activities are defensible, and ultimately to ensure that institutional documents of critical historical, fiscal and legal value are identified and preserved, and that non- essential documents are disposed of in a timely manner in accordance with established policies and laws. To do this efficiently and thoroughly, records must be identified, organized, maintained for the requisite number of years, and then documented when destroyed. Records management encompasses all the record-keeping requirements that allow an organization to establish and maintain control over information flow and administrative operations, seeking to control and manage records through the entirety of their life cycle, from creation to final disposition. A sound records management program doesn't cost—it pays. It pays by improving customer service, increasing staff efficiency, allocating scarce resources, optimizing the use of space, minimizing the cost of record retention, and providing a legal foundation for how an agency conducts its daily mission. GOALS ❖ Ensure needed documentation is readily accessible for efficient City operation ❖ Provide public access to and protect the public's rights to inspect public records in accordance with the California Public Records Act ❖ Preserve records with long-term or permanent value ❖ Protect records vital to City government in the event of a disaster ❖ Protect records essential to City government, but which are referenced infrequently ❖ Demonstrate compliance with legal retention requirements established by federal, state, and local authorities ❖ Manage record holds ❖ Orderly disposition and destruction of records no longer required by statute to be retained or needed for reference ❖ Eliminate duplicate records filed in several departments ❖ Protect privacy by ensuring proper administration of records not subject to disclosure ❖ Provide protection in litigation, audits, and other disputes ❖ Optimize space (physical and electronic) and associated costs ❖ Minimize the cost of record retention City of San Luis Obispo Records Retention Policy and Schedule Page 4 OWNERSHIP All public records are the property of the City, whether they are maintained physically or electronically. Public records include not only records produced by City staff but also records related to the business of the City that are used or retained by the City. Outgoing officials shall deliver all original records that they may hold locally on City owned devices or on outside devices or storage of any kind to the City Attorney, and employees to their successors or to the City Attorney if confidential. Public records are to be maintained in active file areas or in a designated records center or electronic repository. RECORD KEEPING RESPONSIBILITY In January 1994, the CAO approved a decentralized approach to the City’s records management program. This program allows departments control and responsibility over their own department records, records storage systems, and records management procedures. In July 1995, the City Council adopted, by motion, a formal Records Management Program and Manual. The intent of the manual was to provide educational and legal resources for each department to assist them with implementing a records management system. City Council – The management of all public records of the City shall rest with the City Council. Resolution 9174 (2001 Series), passed by City Council April 24, 2001, both adopted a Records Retention Policy and Retention Schedule, and resolved to allow for an annual updating to both by the City Clerk in consultation with the City Attorney without further review by City Council. Staff - Each officer, employee, contractor, or volunteer 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 and state regulations, or such rules as may be approved by the City Council. 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, or amendment to the retention schedule, in accordance with federal, state and city regulations. City Clerk - The City Clerk may, for the proper and efficient management of 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, 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 and/or policy as appropriate. (Resolution No. 9174) City of San Luis Obispo Records Retention Policy and Schedule Page 5 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 incorporate: 1. The Law - Meet legal standards for public examination, protection, storage and retrieval of records 2. Control - Maintain effective controls over the creation, maintenance, and use of public records in the conduct of business. 3. Secure and Preserve - Maintain the security of records deemed appropriate for preservation. 4. Efficient Storage - Optimize the use of space (physical or electronic) to minimize the cost of record retention, maintenance, and final disposition or destruction. 5. Disposition - Dispose of outdated records or records of temporary value in accordance with the established retention schedule and this policy. 6. Training - Educate staff concerning this records retention policy, the current records retention schedule, and restrict access to confidential records and information where appropriate. 7. Records Custodian - Each department shall identify a person who serves as the department’s primary Records Custodian. This person shall coordinate the department’s record program, coordinate the disposition of department records, oversee public record requests made to the department, and serve as a liaison to the City Clerk for records related issues. FILE HANDLING All records, regardless of format, physical or electronic, are subject to this policy and the published records retention schedule. City records should only be stored on approved devices (City I.T. issued) or systems, and in appropriate physical storage locations as determined by the Department Director. Filing systems (logic and naming) for physical vs. electronic should be comparable. There are several different ways to establish a filing system: alphabetical, numerical, alphanumeric, or series driven. No one solution has been set for City use and systems are dictated and maintained at the department level. Naming Conventions - Creating and Organizing Files As with file storage, naming conventions are managed at the department level but there should be departmental uniformity and consistency, and new staff should be trained on proper use. It is suggested that commonly understood words and terms be used for file naming, refraining from the use of abbreviations, jargon, or special characters (/ \ ? | : * etc.). The use of record category is encouraged (see retention schedule) along with the date (something relative to the file or the file disposition) and version numbers when appropriate. Dates should always consist of a four- digit year; the recommended date format is MMDDYYYY as the City has records over 100 years old. Version numbers are typically expressed as “v1.0” with subsequent minor changes expressed as v1.2, v1.2 etc. and major revisions changing the first number, “v2.0.” Project titles and or project location (street address or identified City Specific Plan) are logical names that can be identified over time. Department personnel are advised to create new files with an eye to the future disposition of the file. For example, by knowing that the information/materials contained within a new file will be retained for a specific number of years, it would be prudent to create the file on a calendar year or perhaps fiscal year basis. Planning avoids separating files later when it comes time for storage and/or destruction. Also, reviewing the department's retention schedule beforehand can avoid the necessity and time-consuming activity of separating permanent information/documents from short-term materials prior to time of destruction. Staff names or general references such as “Interns” should never be used for file or folder naming. City of San Luis Obispo Records Retention Policy and Schedule Page 6 Duplicate Records (Copies) If a particular department is responsible for maintaining a specific record (as listed in the published records retention schedule), another department may choose to keep a copy for a short time in a working file but there is no need to maintain duplicate files. Duplicate files create a liability, such as subsequent modifications creating multiple versions and for public records requests or court “discovery” search complexity. Copies should be purged on a regular basis when the need for the working file ends. It is recommended that if/when you have the need to create a copy, to append the file name with “copy” or otherwise to ensure that it is easily identified. An alternate and more easily managed alternative is to create a “shortcut” to the original file instead of making a copy or to share the file in a system such as SharePoint. Duplicate Records (copies) may be destroyed at the discretion of the department head without further authorization from the City Clerk or City Attorney. Records Disposition and Audits The records classification and retention periods outlined in the City’s Record Retention Schedule constitute legal authority for retention and disposal (disposition) of official records. No records shall be destroyed until they meet the minimum retention period listed on the currently approved/published record retention schedule, and final approval for destruction is authorized by the City Attorney. State laws generally preclude the destruction of a public record less than two- years old unless the record is transitory in nature. Record disposition applies to all records, regardless of the physical form or location of the record. At the conclusion of a record’s retention period, the record shall be disposed of in accordance with this Policy. Unless the document is retained permanently, all copies of the record, physical and electronic, including databases, shall be destroyed. Physical record destruction shall be by recycling where possible or destroyed securely (shredded) for confidential records. Securely destroyed records shall either be done under the supervision of a City employee or by an approved agency. Destruction of original records must be requested and approved by the responsible Department Head and the City Attorney prior to destruction (see Sample 1, Records Destruction memo). A listing of documents to be destroyed (see Sample 2, Records Destruction List), and copy of the appropriate page(s) from the records retention schedule shall accompany the Destruction Memo and be filed in the Office of the City Clerk upon completion. • Destruction memos should be submitted for signatures electronically per City Council Resolution R11129 (2020 Series), “Citywide Policy Regarding Electronic Signature Use.” • Once authority has been received to destroy records, all copies and forms of that record must be destroyed (or deleted): paper, microfilm/fiche, electronic format. • This section does not authorize the destruction of records classified as permanent (P). To facilitate timely records disposition per the published records retention schedule, regular record audits must be conducted. These should be done at least annually by the department record custodian. This will also serve to alert the record custodian of the possible need to add, modify, or delete a record series on the retention schedule (see Sample 4, Modification to Retention Schedule). Records Hold Upon notice of anticipated or existing litigation, the office of the City Attorney shall initiate a record hold to suspend operation (disposition) of the applicable record retention schedule. City of San Luis Obispo Records Retention Policy and Schedule Page 7 Conversely, when a City department receives notice of an existing or anticipated lawsuit, that notice shall be immediately communicated to the City Attorney upon notice and a records hold should be immediately presumed pending follow-up from the Attorney’s office. It shall be each Department Director’s duty to convey these records hold notice to department staff. FILE FORMAT and STORAGE Physical Records Physical records, traditionally paper and various forms of film, should be stored in areas that are appropriate for this type of record, providing protection from natural elements (moisture, light, heat, etc.) as well as animal and insect threats. Physical records that can be converted into digital (electronic) should be when allowed by law and per policy guidelines, or where the physical nature of the record is not historically significant (see “Conversion” in the Digital (Electronic) Records section). Note that the retention time should be considered when converting to digital (ex. a two-year retention may not be worth the cost and time to convert). For preservation purposes, permanent physical files should be duplicated in electronic format to aide in file retrieval as well as preserve them from degradation caused by handling, environment, and time. New records should be moved to digital workflows when possible. Records that exist electronically should not be printed for the sole purpose of maintaining a paper copy. Digital (Electronic) Records Digital record storage has become the dominant method of records storage by the City. Regardless of originating hardware, software, or file format, digital records are to be preserved per the current Records Retention Schedule, kept in a manner to allow for migration to new technologies or otherwise persevered when originating technologies are retired, and be able to be provided to the public without the public needing specialized hardware or software (Public Records Act requests). California Government Code section 12168.7 establishes the requirement for “trusted systems” with section 34090.5 governing destruction of records by Cities. A Trusted System is a set of policies, procedures, and technologies used to ensure that electronically stored information can be trusted as a true and accurate copy of the original information put into the system. Pursuant to regulations adopted by the Secretary of State in 2012, a trustworthy document management system (a trusted system) must ensure that at least two separate copies of the electronically stored information are created meeting, at a minimum, all the following conditions: • The trusted document management system must utilize both hardware and media storage methodologies to prevent unauthorized additions, modifications or deletions to the document during the approved lifecycle of the stored information. • The trusted document management system must be verifiable through independent audit processes ensuring that there is no plausible way for electronically stored information to be modified, altered, or deleted during the approved information lifecycle. • The trusted document management system must write at least one copy of the electronic document or record into electronic media that does not permit unauthorized additions, deletions, or changes to the original document and that is to be stored and maintained in a safe and separate location. City of San Luis Obispo Records Retention Policy and Schedule Page 8 In coordination with the City Clerk, the City I.T. Department shall be responsible for the evaluation of various storage systems, current and future, utilized throughout the City for compatibility as a trusted system that also address issues of file alteration via migration (See Records Storage Table - Clerk Records Management SharePoint). Laserfiche and SharePoint are two “trusted systems” used by the City for storage of original records. Note that for them to be trusted, appropriate permission control settings must be in place to disallow unauthorized additions, modifications, or deletions of permanently held records. The advantages of creating and storing records digitally are vast but there are additional complexities as well. Common practices within private industry and home/personal use of digital records are generally not sufficient to meet the needs of a “Trusted System,” this records policy, and the published retention schedule. Below are policies, guidelines, and considerations meant to address these differences. File Formats and Migration: The file format is the structure of a file that tells a program how to display its contents. These are commonly identified in the file name by a file extension (ex. “.pdf” “.docx” “.mp4”). Not all files can be opened by all programs and not all programs that can open a file format will necessarily display the file in the same manner as the original native program. As new technologies emerge, file formats will change, with some becoming obsolete. Each City Department will have differing needs over time as well and therefore must be responsible for migrating files from their various system to new systems and/or insuring preservation of the file (records) per the current records retention schedule. Beyond internal use by City staff, the public has the right to files (records) that they may not have the hardware/software needed to access/open/read. Therefore, care must be taken to ensure files are held in a manner (file format) that the public can access (Public Records Act request) or that we can easily provide in an accessible format to them. Formats for files that are held long term must be evaluated for migration issues to ensure the files over time still represent a “true and accurate copy.” Storage Media: Files shall be stored in locations that are backed up via City I.T. processes and approved for storage per the Records Storage Table, meeting the criteria of a “Trusted System.” There are a variety of ways to store digital records. Storage on CD/DVD, removable drives, portable storage devices such as flash drives, and/or on individual computer hard drives (commonly called the C Drive, which includes the “Desktop” and the generic folder locations provided in Microsoft Windows Operating System machines called “Documents,” “Downloads,” “Music,” “Pictures,” and “Videos”) shall never be used for storage of original City Records. Records stored on these mediums are vulnerable and may be impossible to restore if lost, stolen, or damaged, as well as introducing opportunity for malware. While the City Website or I.T. supported messaging applications (such as Microsoft Teams) may link to various acceptable storage locations for City Records (e.g., Laserfiche), messaging applications should not themselves be used as storage locations for original City records. City of San Luis Obispo Records Retention Policy and Schedule Page 9 Metadata: Metadata is data about data that is contained within the record file. It plays a key role in determining record authenticity and specifically describes the content of a file which makes it a very valuable tool for resource discovery. For example, the metadata for an image file may describe how large the picture is, the color depth, the image resolution, when the image was created (date and time), the geolocation of the image when captured, as well as the specific device used to capture it, etc. There are various types of metadata, some placed there by the system that created the file (as described in the previous example), and some that may be added (Descriptive and Administrative Metadata) using systems such as Laserfiche which we use as our City Records Archive. As such, metadata is considered part of the file that must be maintained as a “true and accurate copy.” It is also part of the data that may be requested in a Public Records Act request or in court Discovery. Email Email is not a record category; it is a means of transmitting messages and information. These email communication records must be retained or deleted based upon the information they contain or the purpose they serve. All general email communication records are held for the minimum standard of two years. As email program databases are not meant to be records repositories; email files whose subject matter qualifies for a longer retention specified in the current Records Retention Schedule, should be moved to the appropriate trusted system records repository where that type of record is stored. No City employee shall use their personal email account(s) to send emails relating to or containing city business. If an employee inadvertently transmits an email or receives an email that relates to or contains city business outside of the city email server, that employee shall immediately transmit an unaltered copy of the message(s) to their city email account to be retained as necessary. Elected City Officials, Advisory Body members, contractors, or City volunteers who send or receive email communications relating to or containing city business, who do not have city email accounts, shall either include the appropriate staff contact or the City Clerk by way of copy (cc feature of email) or forward an unaltered copy of the communication to them. Text Messages, Chat and Messaging Applications, and Social Media Communications using electronic devices or applications are broadly defined as “writings” and are therefore subject to this policy for records retention. Text, Chat, Messaging applications and Social Media (as well as other electronic communications not specifically detailed here) are included. If text, chat, or social media messages contain information relating to the conduct of the public’s business, it is considered a public record and must be retained in accordance with the Records Retention Schedule. This is the case whether the message is sent or received from a City-owned or private device; if the message relates to the conduct of the City’s business, it must be saved and retained according to this policy. • Text Messages: This form of communication is discouraged for conducting official city business as individual devices are not a proper records repository (trusted system), are not backed up, and transfer of records from these devices to city records repositories or systems is not efficient. Use should be limited to transitory communications that do not contain decisions or actions pertaining to official City business. Elected City Officials, City of San Luis Obispo Records Retention Policy and Schedule Page 10 employees, contractors, or volunteers, including advisory body members, using this form of communication to conduct City Business are responsible for the archiving of these messages per the retention schedule and shall do so whenever utilized. • Chat and Messaging Applications: Elected City Officials, employees and contractors should only use chat and messaging applications supported by the City I.T. department, such as Microsoft Teams, to conduct official City business. Chat or Messaging Applications not distributed and supported by the City I.T. Dept. shall not be used by staff to conduct City Business. Elected City Officials, contractors, or volunteers, including advisory body members, using this form of communication for official City business shall forward, or otherwise copy, the message to a format to preserve as a City record per the retention schedule. This also applies to City employees who inadvertently use an unsanctioned chat application. • Social Media: City Social Media accounts shall be registered with the City Attorney office for data archiving. It shall be the responsibility of the Department staff to archive this data for any un-registered accounts. Elected Officials are encouraged to register their City Business related Social Media Accounts with the Attorney’s office for data archiving. Elected Officials who choose not to register their accounts will be fully responsible for data archiving and retrieval related to City business. When a Public Records Act request is received by the City, elected City Officials, employees, contractors, or volunteers, including advisory body members, who have potentially responsive documents created in the above manners will be contacted by the City Clerk’s Office for search and retrieval of those documents. As required by the Public Records Act, a statement to the requestor that the City has or does not have potentially responsive records must be made within ten calendar days of the request. The contacted individuals who have not otherwise transferred responsive documents as outlined above, will be responsible for retrieval and production of those records to the City Clerk. If the contacted individual does not have any potentially responsive records, they shall acknowledge that is the case in writing to the City Clerk. An affidavit may be required. DIGITAL WORKFLOW This policy recognizes that digital records may be considered as the original record, that full digital workflows of City Records are the desired goal, and that partial digital workflows (hybrid) should therefore be modified to full digital process as work procedures and technology allows. Except for signatures on records related to real property, physical hard copy records that are part of a digital workflow are considered to be transitory, with the digitization (converting hard copy to electronic format) of the document or transfer of data from them into the digital record being considered the active record. No File Conversion Memo is necessary but staff “converting” the records must verify that all pages of the original were reproduced in all details. Conversion Conversion is the transformation of an existing original hard copy record into an original electronic record via digitization, and the subsequent disposal of the outmoded hard copy record. Government Code Section 34090.5 authorizes the conversion of hard copy materials and records onto electronic media, as long as the below conditions are met. A File Conversion Memo must City of San Luis Obispo Records Retention Policy and Schedule Page 11 first be completed and approved by the Department Head, City Attorney, and City Clerk, prior to conversion. (See Conversion Sample) a. The record, paper, or document is photographed, microphotographed, reproduced by electronically recorded video images, recorded in electronic data processing system, recorded on optical disk, or any other medium that is a trusted system and that does not permit additions, deletions, or changes to the original document; and b. The device or method used to reproduce the record, paper, or document reproduces the original in all details and does not permit additions, deletions, or changes to the original document images; and c. The reproductions are made accessible for public reference as the original records were; and d. A true copy of archival quality of the film, optical disk, or any other medium reproductions shall be kept in a safe and separate place for security purposes. (Note: Item “b” requires that the “document reproduces the original in all details.” It is the responsibility of staff requesting/performing the “conversion” to verify all converted document pages conform to the requirement prior to the destruction of the physical copy.) If the above conditions are met, subject to system verification by the City Clerk and City Attorney, the public official having custody of the records (Department Head) may convert the hard copy to a permissible electronic format and destroy the hard copy. In accordance with the Secretary of State’s guidelines on “trustworthy electronic document or records preservation” (Trusted System) the City Clerk, in consultation with the City Attorney, has determined that documents scanned and electronically stored in JPEG, TIFF, or PDF-A image format, retained in a document/library service such as Laserfiche or other I.T. approved Trusted System listed in the Records Storage Table, may be destroyed after digital conversion. MODIFICATION OF POLICY OR SCHEDULE Per City Council Resolution R9174 (2001 Series) the City Clerk, in consultation with the City Attorney, may update the Records Retention Schedule and/or policy as necessary. It shall be the responsibility of each department records custodian to review the schedule annually for their listed documents and alert the City Clerk concerning suggested additions, modifications, or deletions. (See sample Retention Schedule modification memo.) City of San Luis Obispo Records Retention Policy and Schedule Page 12 DEFINITIONS Active Record Records referred to on a regular basis. Archive A repository for housing any format of records. California Public Records Act (CPRA) and Freedom of Information Act (FOIA) The CPRA (CA Govt. Code §7920 et seq.) was enacted in 1968 to: 1) safeguard the accountability of government to the public; and 2) promote maximum disclosure of the conduct of governmental operations; and 3) explicitly acknowledge the principle that secrecy is antithetical to a democratic system of “government of the people, by the people and for the people.” The FOIA (5 U.S.C. § 552), enacted in 1967, is a federal freedom of information law that allows for the full or partial disclosure of previously unreleased information and documents controlled by the United States government. The Act defines agency records subject to disclosure, outlines mandatory disclosure procedures and grants exemptions to the statute. City records disclosures are managed under the California Public Records Act (CPRA) which mandates the rules regarding the disclosure of California public records. Cloud Computing The practice of storing regularly used computer data on multiple servers that can be accessed through the Internet. Conversion See Digitization Destroy or Destruction, Destroy Securely To destroy (or destruction of) physical copies means disposing of by placing in the trash or recycling. Electronic copies may be deleted and then written over later. To Destroy Securely means to protect the security and confidentially of the records through final destruction. Physical records may be shredded. Electronic records may be erased or otherwise modified to make the records unreadable or undecipherable through any means. Discovery Part of the pre-trial litigation process during which each party requests relevant information and documents from the other side in an attempt to “discover” pertinent facts. Generally, discovery devices include depositions, interrogatories, requests for admissions, document production requests and requests for inspection. (See Record Hold) Digitization Digitization is the process of “Converting” an original hard copy into a digital (electronic) record by scanning or otherwise imaging the hard record into an electronic format. City of San Luis Obispo Records Retention Policy and Schedule Page 13 Disposition The length of time a record is kept, which may be permanent. Historical Record The retention of records that have enduring value because they reflect significant historical events or document the history and development of the City. Inactive Record Records no longer being referred to on a regular basis and being held until disposition is reached. Metadata Metadata is data about data. It is data that serves to provide context or additional information about other data. For example, information about the title, subject, author, typeface, enhancements, and size of the data file of a document constitute metadata about that document. It may also describe the conditions under which the data stored in a database was acquired, its accuracy, date, time, method of compilation and processing, etc. Non-Record Materials that are not retained in the normal course of business, such as records that contain no information of significant or lasting value to City action. (Ex: Transmittal letters, acknowledgements, rough notes, and calculations created and used in the preparation or analysis of other documents; Copies; Blank Forms; Superseded manuals; Materials received from other agencies, people, or business that require no action; Catalogs, trade journals and other publications or papers received that are not part of an action of City record). Public Record Any writing (see below) containing information relating to the conduct of the City’s business prepared, owned, used, or retained by the City, regardless of physical or digital form or characteristics. Records Custodian A person(s) responsible for managing, overseeing, securing, retrieving, and certifying records. Record Hold A record hold to suspend operation of the applicable record retention schedule, specifically record disposition, is initiated when the City receives notice of existing or anticipated litigation in the form of a lawsuit, governmental claim, administrative claim, preservation of evidence letter, demand letter or other correspondence or source. This may also be referred to as a “litigation hold.” Records Management The systematic control of the creation, processing, use, protection, storage, and final disposition of all public records pursuant to federal, state, and local laws and regulations. Records Retention Schedule The document identifying the length of time a particular type of record is maintained (its “disposition.”) City of San Luis Obispo Records Retention Policy and Schedule Page 14 Transitory Record 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 as a follow-up reminder; 3) preliminary work materials used for preparation of reports, studies, working drafts, etc.; 4) duplicates/extra copies of records; 5) appointment logs/calendars, and 6) Received communications that do not contain decisions or actions pertaining to official City business (ex. Spam mail/e-mail, non-City generated newsletters, periodical subscriptions) Important Note: The California Public Records Act does not require disclosure of drafts, notes, or interagency or intra-agency memoranda that are not retained by a public agency in the ordinary course of business. However, because transitory records saved past their utility are considered to be Active Records and are subject to a two-year minimum retention, records custodians should be diligent and consistent in timely discarding of drafts or other transitory records upon expiration of their utility to minimize the need for redactions when responding to subsequent CPRA requests Trusted System (or “Trustworthy Digital Repository”) A trusted system for electronic file storage accepts responsibility for the long-term maintenance of digital records for current and future users; has an organization system that supports the long- term sustainability of the repository and its contents; designs and implements its systems in such a way as to ensure on-going access to and security of digital records in its custody; establishes credible methodologies for system evaluation that meet community expectations of trustworthiness; and supports polices, practices and actions that can be measured and audited. Vital Record Records contain information essential for the resumption of operation after a disaster or the reestablishment of the legal and financial status of the organization. Writing “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 has been stored. It therefore includes email, text messages, social media, “Teams chat” and website pages. City of San Luis Obispo Records Retention Policy and Schedule Page 15 CODE FILE GLOSSARY Records Retention Codes Authorizing Code Citations Storage Format Codes A/E After expiration CCP Code of Civil Procedure D Digital / Electronically (including database and Cloud systems) AU Audit CCR Code of California Regulations CY Current Year CFR Code of Federal Regulations H “Hard” physical paper copy CL Closed/Completed EC Election Code MF Microfilm/fiche E After Election GC California Government Code P Permanent PC Penal Code S Superseded SLOMC San Luis Obispo Municipal Code T Termination USC United States Code City of San Luis Obispo Records Retention Policy and Schedule Page 16 SAMPLES: (Note: Word versions of these templates are available on the City Clerk Sharepoint site.) SAMPLE 1 – Records Destruction Template DATE XX/XX/XX TO: (Insert Department Head Name/Title) City Attorney City Clerk FROM: (insert Dept. Name here) Records Custodian, (insert your name and title here) SUBJECT: REQUEST FOR RECORDS DESTRUCTION On April 24, 2001, the City Council adopted a Records Retention Policy for preservation, protection, and legal disposition of the City’s Records (Resolution No. 9174, 2001 Series), along with a Records Retention policy and schedule update process. In accordance with the currently published policy and schedule, certain records have been identified as eligible for destruction (Attachment A). Also attached are the relevant sections from the currently published records retention schedule (Attachment B). The method of destruction disposal will be via recycling or secure destruction. (Attachment A instructions – delete this paragraph and replace the below example prior to routing memo: Keep in mind that this memo is a permanent record and therefore serves as proof of handling of the destroyed records. Therefore, vague record identification should be avoided. The record description should include the Department or Category as listed in the Retention Schedule, date or date range (origin date or termination date may apply depending on retention requirement), number of records if applicable, type of record(s) and/or specific record details or notes if applicable or needed for identification (see “Sample 2, Records Destruction List:). Routing Instructions: Routing should be done via Docusign. To ensure that your listing is clear, the Legal Analyst should be first, followed by your Dept. Director, the City Attorney, and the City Clerk. Your signature/date are last (match “From” name above. By including the Clerk, they also get a copy of the final document as they are responsible for retention of the final memo. Please sign below indicating your approval for the destruction of the attached listing of records. (Legal Analyst Review _________) Department Head City Attorney City Clerk CERTIFICATE OF DESTRUCTION I, _____________________do hereby certify that the records listed on the attached were properly disposed of on ____________. Attachments: A. List of records to be destroyed B. Relevant sections of the records retention schedule Signature of Record Custodian Destruction Date Initials City of San Luis Obispo Records Retention Policy and Schedule Page 17 SAMPLE 2 – Records Destruction List Attachment A (Records Destruction List) DEPT/DIV and Category ID# Current in YEAR Destroy OK DATE DESCRIPTION / Notes General Administration, Office General Mgt, 101 2004 2006 General Info and Staff Meeting Notes: Housing Mandates Workshop – League of CA Cities Notes City Mgt, Commissions, Committees Boards, 302 3/2022 2024 Recruitment Files, Correspondence, Maddy Act Notices, Notices of unscheduled vacancies Term Complete 3/2019 2024 Membership File – Oaths of Office: Administrative Review Board – T. Rex, J. Doe; Bicycle Advisory Committee – B. Flat; Planning Commission – A. Mazing, T. Jones. Legislative & Legal, Statements of Economic Interest, 707 2016 2024 B. Simpson, A. Powers, L. Knope, J. Sparrow City of San Luis Obispo Records Retention Policy and Schedule Page 18 SAMPLE 3 – Conversion to Electronic Records Template DATE XX/XX/XX TO: (Insert Department Head Name/Title) City Clerk City Attorney FROM: (insert Dept. Name here) Records Custodian, (insert your name and title here) SUBJECT: CONVERSION OF HARD COPY TO ELECTRONIC RECORDS In accordance with the City’s Records Retention Policy, certain records have been identified as being eligible for conversion from hard copy to electronic copy and will be maintained with a trusted system as described in the Secretary of State Guidelines for Trustworthy Electronic Document or Records Preservation Standards. (Conversion list instruction – short listings may be provided via a table on the memo, otherwise provide as an attachment – delete this paragraph and replace the example prior to routing memo: Keep in mind that this memo is a permanent record and therefore serves as proof of handling for conversion of records. Vague record identification should be avoided. The record description should include the Department or Category as listed in the Retention Schedule, the Record Title, date or date range (origin date or termination date may apply depending on retention requirement), the designated retention period and/or specific record details or notes if applicable or needed for identification (see sample table below). Routing Instructions: Routing should be done via Docusign. To ensure that your listing is clear, the Legal Analyst should be first, followed by your Dept. Director, the City Attorney, and the City Clerk. Your signature/date are last and should match “From” name above. By including the Clerk, they also get a copy of the final document as they are responsible for retention of the final memo.) Record Titles to be eligible for electronic retention: Please sign below indicating your approval for the conversion of the listed records. (Legal Analyst Review _________) Department Head City Attorney City Clerk CERTIFICATE OF CONVERSION I, _____________________do hereby attest that the digital copies of the records listed for conversion have been verified as complete, accurate, and legible reproductions of the original(s) in all details. _____________ Record Category ID# Record Title Record Origin Year Retention/Notes 1200 Pretreatment Annual Reports 2025 CL+3 Industrial Waste Closed Permit Files Pre 2023 “P” Pre-2023 files held to date have been physical hard copies. Post 2024 files are already retained digitally. Signature of Record Custodian Initials Date City of San Luis Obispo Records Retention Policy and Schedule Page 19 SAMPLE 4 – Modification to Retention Schedule Template DATE XX/XX/XX TO: City Clerk City Attorney FROM: (insert Dept. Name here) Records Custodian, (insert your name and title here) SUBJECT: MODIFICATION TO RECORDS RETENTION SCHEDULE REQUEST In accordance with federal, state, and local regulations the following records titles should be (added to, modified in, eliminated from) the City’s Records Retention Schedule. Record Series Record Title Retention Period Dept. Responsible Code Section/ Remarks 100 Action Update 2 Administration GC34090 Justification for Modification: (Modification instruction – Keep in mind that this memo is a permanent record and therefore serves as proof of action - delete this paragraph and replace the example prior to routing the memo. Prior to requesting additions be sure that there isn’t already a record type listed that applies. The Records titles in the Retention Schedule are meant to be broad whenever possible to avoid listing every iteration of a record type that all have the same code requirements for retention. Beyond supplying the information in the sample table above, provide a brief description “Justification” for the change and note pertinent code(s) supporting the recommendation. Routing Instructions: Routing should be done via Docusign. To ensure that your listing is clear, the Legal Analyst should be first, followed by your Dept. Director, the City Attorney, and then the City Clerk. The Clerk’s office is responsible for modifying the posted and retained Records Retention Policy.) APPROVAL Please sign below indicating your approval for the addition of the above listed records titles. (Legal Analyst Review _________) Department Head City Attorney City Clerk City of San Luis Obispo Records Retention Policy and Schedule Page 20 CURRENT RECORDS RETENTION SCHEDULE Attached following: