HomeMy WebLinkAbout07/05/1995, 6 - RECORDS MANAGEMENT PROGRAM 1111111111111110011
�1 vJ MEI G D rE:
Ifl gni �� o sa►n :.pis oBispo
COUNCIL AGENDA REPORT 1T°"'NUMBER: /
FROM: Diane R. Gladwell, City Clerk
SUBJECT: Records Management Program
RECOMMENDATION: By motion, adopt the Records Management Program and
Manual for the City of San Luis Obispo.
DISCUSSION:
Eighty percent of all office activity is record keeping, which represents a large investment
for our taxpayers. Some of these costs' are:
.$25,000 to create the records in one filing cabinet
9$2,000 a year to maintain one filing cabinet
•$110 for every filing mistake
*Most offices waste 65 cents of every dollar spent in handling records
Records management is the systematic control over the creation,acquisition,processing,use,
protection, storage and final disposition of all recorded information required by municipal
government to effectively conduct its business.
The program presented to you is designed to allow departments maximum control of their
own documents while maintaining a high level of accessibility,consistency and quality within
the organization. To accomplish this, we have provided a structure that facilitates good
communication and follow-through with departments, as well as an educational approach
to allow departments to develop and retain expertise among their staff.
The records management program presented to you has been a collaborative effort with the
City Clerk Department, Department Heads, and Department Records Coordinators. The
adopted goals of the program are:
.Eliminate duplication
*Provide wide access to information
*Be environmentally sensitive
*Be cost-efficient
*Ensure consist operations
*Standardize equipment and supplies
.Increase effectiveness
'According to ARMA, the Association of Records Managers Administrators
6 -1
BACKGROUND:
In January of 1994, City Administrative Officer John Dunn approved a decentralized,
voluntary approach to the City's records management project. This allows departments
control over their records and records management programs, while establishing standard
practices and procedures and an educational program through Records Coordinators
designated in each department.
Each department then designated a Records Coordinator, whose responsibilities include:
•Develop and maintain records retention schedule for department records
*Inventory and assess department records on an annual basis
*Assign disposition information to department records
*Transfer inactive department records to off-site or inactive storage
*Keep Records Management Manual updated
•Prepare records for destruction and present resolution for Council approval
Since 1994, six formal meetings of records coordinators in addition to individual on-site
needs assessments have been conducted. City Clerk Department staff and Department
Records Coordinators have contributed to the program and the writing of the records
management manual.
Although the manual has been completed and distributed in draft form since July of 1994,
its official adoption and publication were delayed in anticipation of the acquisition of the
computerized records management program (optical disk). After discussion with the
Department Heads, it was decided to have the Department Heads review the manual, then
present the manual to Council, excluding this particular chapter. After the system has been
acquired and administrative procedures developed, the chapter relating to this system will
be presented for Council approval. The program has subsequently been approved by the
City Administrative Officer.
The manual provides educational and legal resources for each department to implement a
cost-effective, efficient records management system.
CONCURRENCES:
Department Heads and Records Coordinators from all departments have participated in,
and reviewed, the records management program and manual; the City Administrative
Officer and City Attorney have approved the program and manual.
FISCAL IMPACT:
None.
ALTERNATIVES:
1) Pursue a "centralized/voluntary" records management program, creating a Records
Center to store and retrieve inactive records from departments, at the choice of the
department. This would result in a higher level of program implementation throughout the
organization.
Fiscal Impact: Estimated additional appropriation in City Clerk Department:
$45,000 (labor, space and equipment) annually. .Unknown labor and space savings
in other departments.
2) Pursue a"centralized/mandatory"records management program, with a Records Center
to store and retrieve inactive records from all departments. This would result in a higher
level of program implementation throughout the organization than the other options.
Fiscal Impact: Estimated additional appropriation in City Clerk Department:
$85,000 annually. Unknown labor and space savings in other departments.
ATTACHMENTS: Records Management Manual
63
,.f•{.r. ::ti. -- -,.1 1.. .r�r.�.:ir• r r •v• '•'r•�'r''.
r.
1 �
�I ��'ti '::FIJ � ,.1L1 l r�• r�t?'�if�� r r�r. tti '.1� I-tr,tf. '
- '•r r trl}rt .•.1:;t;.-...r �f '.:r � J r�•Y t}:' t}t :tirr I yr '.i
`. ... .. . ..r.' rY ':1 t 1 t I vZ. !•r .1 1 J 1
t ,- I, t • - J 1•'h J �iJ I J •�•
41
R�.E.'C, S� .
a.
NA-GE .�-
Yti .. .• MrVA Nr{� , � '?:!LI}i1: r .krf{ t rY� IJ. }.
.�.• .•J f i �� � � •.�y�yt , ti�•.'xf u r r :t t �.} fr�{
'.5• ••� -r- IIry4 t}'r-'• r �ti. ;t t �?{ t � 4
•r
•,� rl�4'I�r1 r{ - `� ri �:ir.4: r •. �1 -��.�' fir{.
t�• '• �. l 11�� + � r r� :i�''��"'i L�+� ~rC{ .•••} tir 11: •:�
yy t*% 111f�i , fr r '. ,..!v F �r*fit rt Jt vt}} v'`v •..
ti,••. {tf}f{f .••'•} v,11�}1��ir1 �. ... ��f •5C to S 'f{�'j}+{} � } .•J•':' Y y�y 'F1 r
.{•.. titti•}1t . .. .�j rl�•:I rIF�15n 5t tr:.••'ti 1tt..,.. {; ��+•'•�Iy�. •,yx .tiff y Jar.•• ;. it�:` }:
'•t. ..t yr ':•}1:•!:}:- •} t••.rt •�y till it r• 1.',tr f1 r .:x. �,
r'•. t .1.! tr .tJ rr }, �11Y1 1r �{ ,•rt{,
..r•� 'y ti ti:;rr}L r Y $.•-.r�LJ �•�.{{r:r{f,ilr.� .••'.i lti. tt }• .� 'ii
'J �i {• kt •tt sf r •�r� •t ti
v ••v. .tr� :'rtiy} � . .. �t.•.'wr r •� ftr I t Jr }� Y1�
.{• .•, .. }i•�rtJ fr r r', 't r.{ .rt•ti ti;' .•Y•t �,:'}� �•.
J.. tt 'r t�� l r tJ r,t:r,# t t�� k�'Y'' •r''
•r. .•'r rti tf} J trfr.f f.r f •� •J' $i :r:
' .. ., rJ��trr f •'. .t t �ft JrJ ., :.'r rr rrr. t i{ r
ti .Yta{r}11VY. W: tk
_ •IL .•. {,�{y r tr•r'•t l J t t t
• - •, - t t f11 ��..JtJrr tr:r rti tyyr•trtrttitk:�{fyk�ti?ttt i�k�S} }
1 r I r J r tJl ,•lr tlr t,.fft t J t��t tt ti'.
tt r { •it t t{. t t. .r J t .tit r ff. J r r.::
t 1 _ r Sb•
• ., .. r rla llZt' 4 Z t
• • t t t.:.t,.ti ry. • •:•� �- • .. • , J • , J �ti, r� F-:.~f: -
, • 1.••.rh rf. •{ r
:rr r
. r'r
of
t ;•' rr '
t
r �
RECORDS MANAGEMENT MANUAL
TABLE OF CONTENTS
Introduction........................................................................................ ..................................................i
Program Overview and Structure......................................................................................................1
Whatis a Public Record?...................................................................................................................4
ProgramFundamentals.......................................................................................................................7
RecordsInventory..............................................................................................................................15
RetentionSchedules..........................................................................................................................19
Record Storage and Preservation...................................................................................................22
RecordsDisposal...............................................................................................................................27
OpticalDisk Policies.........................................................................................................................28
AppendixA Glossary......................................................................................................................32
AppendixB: Resources...................................................................................................................39
Appendix C: Laws Governing Municipal Records...................................................................41
AppendixD: Forms........................................................................................................................62
Records.Management Manual - City of San Luis Obispo, California
�IlIIIII of san tuts oBispotc� y
990 Palm Street/Post Office Box 8100 • San Luis Obispo,0 93403-8100
To all staff-
The effective management of City records is.an important part of our service to the public.
Documents play a critical role in all aspects of our work, and they allow our citizens to
understand the past actions and present activities of their government.
Please read the manual and educate yourself on the proper management of the records.you
utilize; the City Clerk's Department is always available to provide further training at your
request. San Luis Obispo has chosen to implement a voluntary, decentralized records
management program based upon Records Coordinators from each department serving as
experts and liaisons to implement the records management program that best serves each
department needs.
The average cost to create one filing cabinet of records if$25,000; we all play an important
role in protecting and managing this investment for our taxpayers.
Sincerely,
John D
I nistrative Officer
i
The City of San Luis Obispo is committed to including the disabled in all of its services,programs and activities.
k q, Telecommunications Device for the Deaf(8051781-7410. S� �v
INTRODUCTION
Documents drive our business..legislation establishes the policies and procedures of the
programs we administer. Eighty percent (80%) of all office activity is record keeping; if we
make this function more effective,we are able to achieve more of our fundamental missions.
In times of financial constraint, harnessing the "paper blizzard° becomes essential to
maintaining even basic service levels.
It is important to control the cost of producing and accessing records and make this
component as efficient as possible, while allowing the maximum access to information, and
to comply with a myriad of local, state and federal laws.
Efficient and effective management of records will gain important resources and benefits:
*Space
*Labor
.Equipment and Materials
*Protection of valuable documents
•Environmental protection
This program is designed to assist all of us in achieving our missions, maintaining control
over our own documents, while allowing the maximum level of access to timely, accurate
information.
Records Management Manual - City of San Luis Obispo, California
ll
i f
1 t
1/01,
✓�
a
MW
r S A.Ti..• �:Y �q ._•� L
L
grsA-� -Z
(� r//� .�F x}•94 r� °�'.� f..��p+.�w� :� `t...� .
�s I
IeIl
7:7
I r
.� Azr
< IIP 1®1S4
PROGRAM OVERVIEW AND STRUCTURE
According to ARMA, the Association of Records Management Administrators, the costs
incurred in record keeping include:
•$25,000 to create the records in one filing cabinet
•$2,000 annually to maintain one filing cabinet
•$110 for each filing mistake
.Most offices waste 65 cents of every dollar spent in handling records
Records management is the systematic control over the creation,acquisition,processing,use,
protection, storage and final disposition of all recorded information required by municipal
government to effectively conduct its business and record its activities.
RECORDS MANAGEMENT GOALS
Ensure information is:
.Retained on the best media or form
.Used in the right time and place
•Utilized by appropriate persons
Our program is designed to allow departments maximum control of their own documents
while maintaining a high level access to information, consistency and quality within the
organization. To accomplish this, we have provided a structure that facilitates good
communication and follow-through with departments, as well as an educational approach
to allow departments to develop and retain expertise among their staff.
PROGRAM GOALS
•Eliminate duplication
•Provide wide access to information
*Be environmentally sensitive
•Be cost-efficient
*Ensure consist operations
*Standardize equipment and supplies
•Increase effectiveness
Records Management Manual- City of San Luis Obispo, California
�- a
1
e a y mo
w O Qyrn58
�9 �•n
7O�SFOG rnm3E+ �Rz
ta. w
N�2
. y . . `=' mow
UaX
z00 t)—c °H.a��s F
� �A� �a ME 5.$ 1 1 00 n
� 3 C) b o8 r aC'
bS m 5'O
G•e .e w 3 0.i R
O O pp <pp
z 3 m7� eSo (-A� CRAW
V1
a5Q as cACraa ° 8
0
3aC
w C � EL
y �a ^ y >a> c
w
= s� a gRg
= Gw a �r c
° » a >
03 °
S
�a � 'a
5 »> . o3 'S m9 = aR E.
C, 0'0'0'0 �? mai O000 w
O
a O o
ya m GAGS V C 8.O G 7 e•gm
p b 6�[ =m <
P—
CD
.gym.2r 33�yy > e= z
T � )�
7 cp — ce ce .. y �y
•8 o AQ
me �ao o n
�� aR Z 3=— an
ra
s�gQ; co
00.00
W° R �_ r� a °
Qo o S'-F, I rni7
00a8Ra y
n qq �
00 ca
0 � y0 .=..
A � M
A " X97 C ° l i
�3 � � =a'aa �'a
ag
f a cnOF
oSRs, M�1
c
RR d Ain 3g
a 'RIL
= Z
67 9
G
Records Management Manual - City of San Luis Obispo, California
�0 - t 0
I
RECORDS LIFE CYCLE
C
.......
. ......................... .
« LE TE
ACTIVE STORAGE
HISL
DIS E INACTIVE STORAGE
Sim
Records Management Manual - City of San Luis Obispo, California
'A 3
W .-
��
WHAT IS A PUBLIC RECORD?
PUBLIC RECORDS
A "record" is any writing containing information relating to the conduct of the public's
business that is prepared, owned, used, or retained, regardless' of physical form or
characteristics.
ACCESS TO PUBLIC RECORDS
It is critical that we provide prompt public access to view appropriate documents; the public
has a right to inspect public records. The California Public Records Act was created to
"...guarantee access to information concerning the conduct of the people's business....a
fundamental and necessary right of every person in this State."
The act is also "mindful of the right to ...privacy", and it is also critical that.we protect our
citizen's rights to privacy and comply with the many and complex laws relating to public
records.
If a record is a public records, and if it is not specifically exempt from disclosure, it must
be released unless the public interest served by not releasing it clearly outweighs the public
interest served by its release.
San Luis Obispo's policy is to fully cooperate with the intent of the California Public
Records Act.
What you don't have to provide....
You do not have to create a record for a requesting person (e.g. a summary of a document);
just allow them to view it.
These are NOT public records:
Preliminary drafts, notes (transitory records)
Financial statements and other private information
Memoranda not retained by the City in the ordinary course of business
Certain Fire and Police records
Non-records generated outside the City (magazines, and library reference material)
There are many specific exemptions in State law (see.Appendix Q. The City must prove
that an exemption applies or that the public interest in not disclosing information outweighs
Records Management Manual - City of San Luis Obispo, California
4
CO'I2
What you don't have to provide... (Continued)
the public interest in disclosure. CHECK WITH THE CITY ATTORNEY WHEN IN
DOUBT.
Response Time
Our organization strives for excellent customer service, and we should respond to requests
as quickly as possible. The law allows 10 days to respond to a records request.
SAN LUIS OBISPO CM POLICY
1. The requested record(s) must be adequately described.
2. The custodian of records (Department Head) can formulate regulations necessary to the
efficient conduct of their office and protection of the public's records.
Suggested policies:
a. Inspection may be deferred if a record is needed by the officer or their staff', or
if the record is needed for public business. Inspection cannot disrupt the orderly
function of the office or interfere with public business unreasonably.
b. If a citizen is monopolizing certain records to the detriment of other members of
the public who wish to inspect them, the records may be taken back.
c. Regulations need to be designed to protect the safety of the records against theft,
mutilation or accidental damage. Set a particular place for inspection and copying;
you may refuse the record to be taken elsewhere. You may provide and insist upon
supervision and may decline to show the record until someone can be assigned to
supervise.
d. The number of persons inspecting at one time can be limited.
e. If requested record(s) contain both public and private information, or there is any
question as to whether the records is a public document, refer it immediately to the
City Attorney for review. Documents are allowed to be released after the non-public
information is "redacted," which usually entails blacking out, whiting out, covering,
or removing the private information from the document
L Computerized data is eligible for public access. Be certain the data does not co-
mingle private or exempt information with public data, copies of software are not
Records Management Manual - City of San Luis Obispo, California
5
(�- l3
released in violation of licensing agreements, and security for the City's computer
system is maintained. You are not required to reformat the data or create a new
record. Ask the requestor to provide the computer media that is compatible with the
data's current format.
3. The Assistant City Clerk is designated the Public Records Coordinator for the City;
he/she assists Records Custodians and Records Coordinators in their responsibilities as it
pertains to records management.
4. Decisions as to whether or not to release a record are to be made in a timely fashion by
the Records Custodian (Department Head) involved, subject to final review to the CAO.
If there are any questions,please consult with the City Attorney. If a decision is made NOT
to disclose records, the Public Records Coordinator (Assistant City Clerk) must be notified;
he/she will assist in preparing a written determination of nondisclosure in accordance with
the Public Records Act.
This section does not apply to law enforcement records maintained by the Police
Department.
For more information, please see the Public Records Act sections in Appendix C, starting
at G.C. §6252.
Records Management Manual - City of San Luis Obispo, California
6
, t�
PROGRAM FUNDAMENTALS
RECORDS MANAGEMENT PROGRAM STEPS
STEP 1. Assess Current Systems
A. Records Inventory (see Chapter on Records Inventory)
1. Identify Vital Records (Vital records are those that cannot be
replaced and are needed for basic operations in the event of a
disaster.)
2. Identify and separate records and files that are "Candidates for
Destruction"
B. Support Systems: During the inventory process, assess the efficiency and
cost/benefits of various support systems (see below). They should be
appropriate and efficient for storage and retrieval. Labor is the largest
expense in records management.
Evaluate:
1. Physical Files(based upon workflow,communication,frequency of use,
and space needs)
I-y - I f'•111 � •
ilR. Iry 1 .
.:.,i t.JP
' I�
I s -
a. Open-shelving is the most efficient
Records Management Manual - City of San Luis Obispo, California
�7
STEP 1. Assess Current Systems (Continued)
b. Mechanical files: While these save space, they have intensive
labor expenses to retrieve files.
2. Classification S tys ems
a. Alphabetical is the easiest and most efficient (saves training,
support, indexing)
b. Numeric is the best for high-volume records
(duplex) (terminal digit) (middle digit)
11-22 11-22-33 11-33-22
The first number is "primary'; the second number is
"secondary"; the third number is "tertiary"
C. Subject and Geographic classification systems are best for
specialized records, for example permit files.
d. A Transitory/Permanent (Historical) file structure can be
applied to any of the above classification systems. For instance,
you may have an alphabetical transitory/permanent
classification system for Advisory Bodies: A historical file and
a "working file" for the Planning Commission.
3. Labeling Systems
Ip Rem 111I
J� \
.4 f I• JM• �1. 4'
J
^�•,r� a
_ :.. .4�wrJ .ls..,. . ,.
-`;?:.:.'�<
�W n�Mj�ViN-. "S�
Records Management Manual - City of San Luis Obispo, California
STEP 1. Assess Current Systems (Continued)
a. Color coding is the best manual labeling system. It helps
eliminate misfiles, and facilitates easy retrieval.
b. Bar coding is used for very large record series.
4. Indexing and Accession Systems
a. Key words are typically utilized to index files. Index systems
can be maintained on index cards or Kardex systems, or a
variety of other systems.
b. Accession Logs are utilized to ensure consecutive numbering
and provide indexing. An accession log will typically list the
number, name, subject and file location of a record.
5. Media
a. Paper records are the traditional media of records.
b. Microforms are utilized to provide backup copies and facilitate
the storage and retrieval of large volumes of records.
Microforms include'microfiche (sheets), aperture cards (film
encased in cards), and microfilm, (both roll and cartridge).
There are complex standards to ensure microfilm may serve as
archival storage media;your microfilm company should provide
you with certificates that your film meets that standard. (See
Appendix D).
C. Electronic media includes magnetic media, such as your
computer hard disk, tape backups, or floppy disks, and optical
disk and CD ROM. Only WORM (Write Once, Read Many
Times) optical disk media may serve as archival storage media.
C. Cost/Benefit Analysis
This is optional; we have presented some simple methodologies to assist you
in your analysis.
Records Management Manual - City of San Luis Obispo, California
C. Cost/Benefit Analysis (Continued)
1. Labor E=enses
a. Calculate the average burdened rate (salary plus benefits) per
minute. Formula:
employee hourly rate x 1.301(benefits) /60 minutes = cost per minute
example: $12.53 x 1.30 / 60 = .27 (labor cost per minute)
b. Indexing. Document the length of time it takes to cross index,
prepare a folder and file both the folder and index card(s). If
an accession log is maintained, include this figure also.
C. Retrieval. A simple way to determine the annual labor cost is
to analyze how long it takes to retrieve an average record and
the number of times per day those records are retrieved.
Multiply this time by 255 (work days per year) to determine the
minutes per year. Calculate the burdened rate per minute (see
section a), and multiply.
Example: It takes 2 minutes to search the index and retrieve an
Resolution. Our staff retrieves an average 3 per day.
3 x 2 x 255 = 1,530 minutes x .27 (burdened labor rate per
minute) = ,$413 annual labor expense.
NOTE: If you retrieve documents from other departments, be
sure to include travel time.
2. Space Expenses
a. Complete site plan (see exhibit PF-1)
b. Calculate on-site storage expenses for different facilities:
City Hall
Corporation Yard
Fire
955 Morro
'Safety Employees use 1.50
Records Management Manual - City of San Luis Obispo, California
10
Exhibit PF1, Site Plan
Outline Sketch Map of :File Equipment
San Luis Obispo City Clerk's Office
990 Palm Street (City :Hall)
Desk
H Ch
Desk
. Ch
Desk
aCh
Desk
Desk
Ch
Ch
a
F
Records Management Manual - City of San Luis Obispo, California
- 2. Space Expenses (Continued)
Parking
Parks and Recreation
Police
C. Calculate off-site storage expenses
(Sandercock runs 30 - 40 cents per box monthly)
d. Industry Standards
$1,400 per filing cabinet annually
3. Other Expenses
a. Lost records
b. Misfiles
C. Files needed by more than 1 person
STEP 2. Recommend Improvements to Current Systems
1. Policies to prevent lost records
2. Systems to reduce misfiles and lost records
3. Systems to expedite retrieval of records
4. Written instructions and manuals
5. Cross-training of employees
6. Schedule periodic file purges (transfer, convert to another media, or
destroy). Feel free to be creative! Once or twice a year,plan a"Purge
Day" - wear overalls, measure the records destroyed, then report it in
"SLO What"...make it fun!
STEP 3. Develop and Approve Retention Schedules
1. Approval of Department Head
2. Approval of City Attorney
Records Management Manual - City of San Luis Obispo, California
12
STEP 3. Develop and Approve Retention Schedules (Continued)
3. Approval of City Clerk
4. Council Approval
STEP 4. Disposal of Appropriate Records
Use your once or twice a year "Purge Day" to facilitate this. Use your
creativity and make it fun!
STEP 5. Transfer Inactive Records to Low-cost Storage
STEP 6. Maintain Accurate, Effective Indexing and Retrieval Systems
STEP 7. Monitor, Control and Adjust program
FILING PROCEDURES
Classification systems,indexing, and filing systems should be appropriate to support efficient
filing and retrieval of the record they support.
STEP 1. If appropriate, screen the file prior to filing to ensure accuracy. Note the file
has been checked by.initialling the upper right comer of the file.
STEP 2. For large volume filing, arrange files according to groups.
STEP 3. Mark file location on record in upper right comer in pencil (corresponds with
classification system).
STEP 4. Index according to how the record will be retrieved later. Cross-reference no
more than three ways according to the most likely way in which requestors
will ask for the record.
STEP 5. Only authorized personnel should file and retrieve documents. Allowing other
personnel access to the files will result in lost or misfiled records.
Records Management Manual- City of San Luis Obispo, California
13
MY
1. Consider a historical or permanent file for subjects. One will contain non-permanent
records that can be transferred or destroyed, the other file retained permanently.
2. When retrieving a file,use an OUT card to indicate the date and person who has the
file.
3. Establish a tickler file to monitor the return of borrowed documents.
4. File as soon as possible. The longer you wait, the more likely the record is to be
lost, damaged; others need access to the information.
5. Audit procedures annually.
Records Management Manual - City of San Luis Obispo, California
14 _n
RECORDS INVENTORY
A records inventory is the systematic collection of information for each record series (a
group of logically related documents, usually filed as a unit). The inventory is utilized in
developing your retention schedule. It is preferable that only one person conduct the
inventory (the records coordinator for your division would be the logical choice); if the
volume of records requires additional people, try to limit them.
PROCEDURES
All records should be included.
STEP 1. Make a rough floor plan of the area to be inventoried showing the location
of all file equipment (see exhibit RI-1).
STEP 2. Complete a records inventory form for each record series. If you are not the
user of the records, be sure to interview the users to determine accurate
information. (See exhibit RI-2; blank forms are in Appendix D).
1. Identify Vital Records (Vital records are those that cannot be
replaced and are needed for basic operations in the event of a
disaster.)
2. Identify .and separate records and files that are "Candidates for
Destruction." Place in a records storage box and clearly mark the label
(see Appendix D). This is commonly referred to as a "file purge".
To help you determine candidates for destruction, see the Records
Retention Chapter. DO NOT DESTROY RECORDS UNTIL YOU
OBTAIN COUNCIL APPROVAL OF YOUR RETENTION
SCHEDULE OR A RESOLUTION OF DESTRUCTION! (Samples
are included in Appendix D.)
STEP 3. Make a copy of sample accession logs, index cards, or other pertinent
information, and staple them to the inventory form.
Records Management Manual - City of San Luis Obispo, California
15 �/�2
Exhibit RI-1, Rough Floor Plan
I J
i i1 I
I I r -
_ I
1`
(I
I I Q
L_
117. 30 -
IL ill
CI-.]IMf Ei.•J�r
I I
l
Records Management Manual- City of San Luis Obispo, California
16
W�
Exhibit RI-2, t`wleted Records Inventory Form
vroa ro z ;y ^� ro
n a O m o m O m _ O
n = ao � t = @ozoo - m � og
10 x+ a ro a ro n
o
.. s.
a d a d z a v Z a a
y D p w
b C 3 C c M.
K3 yC � �i, yC: �' yC Z
o o m o > o
3 3 3
0 0 0
CrC < :Q
a
Cr
E
° S
n m n n 4
9 a m.
CL CL
Cb d �:
A v A v n
v
fA N y
p p
Oil
rn t7 �i O O r y v C 1 0 _ Cn O
a � D okay D o > � DrA
8QCrxiw
e3 nO D frost 31< 0 O D ro v a On D t ro R^
3 a Z T
Z O a > Z �.
H z z
m o 0
33 �:..
n D ro m b m n , p:
O a. 0 —%
A O ro m
'O
X 'o A
y r N y
v m d >p zm w aro m � > p.
z o ' z m
� � my .., � and .,, � � o
c c >
c
n
Records Management Manual - City of San Luis Obispo, California /
• 17 �'aS
Hnrt�
1. You may want to do a "basic" or "broad-brush" retention schedule first (see chapter
on Retention Schedules),then perform your records inventory,then complete a more
detailed retention schedule.
2. As you are taking the inventory, think of any questions you have or any
improvements you would like to make:
*Are the indexing systems efficient?
.Are there better filing cabinets (e.g. open shelf files) or filing systems to
store the documents in?
*Are the most frequently accessed documents easy to locate in the file?
Write them on your inventory form and review them with the appropriate staff
member or Department Head.
Records Management Manual- City of San Luis Obispo, California
18
U
RETENTION SCHEDULES
An adopted retention schedule will allow your department to destroy records without
obtaining Council approval prior to each destruction. Retention schedules are valuable in
many other ways: They are time schedules for the disposition of records, they include
destruction and/or transfer timeframes, media (paper, optical disk, microfilm), disposition
(active, inactive, etc.), tracking, and disposal methods.
There are many specific legal requirements that will apply to your specific profession; the
records coordinator will need to acquire this information. (See Step 2 and Appendix Q.
PROCEDURE
STEP 1. Conduct your records inventory (You may want to draft a "broad-brush"
retention schedule first, then perform the inventory).
STEP 2. Research Legal Requirements
a. Refer to Appendix C, which lists various codes to assist you. Always
check with the City Attorney to ensure you have the most current
requirements!
b. Professional resources within your department.
C. Ask for copies of other Cities Retention Schedules.
d. Utilize the resources of the City Attorney's office.
STEP 3. When there aren't Specific Legal Requirements
a. Two-year retention period is the basic legal requirement for City
Government
b. Consider the following factors:
.Historical value
(Documentation of development of the City and its programs
and policies)
*Administrative value
(Needed to carry out the operations of the City)
Records Management Manual - City of San Luis Obispo, California
19 �,�1
P 3 (Continued)
i
b. Consider the following factors (continued)
•Legal value
(Specific regulations governing requirements and disposition)
*Fiscal value
(Needed for financial transactions of the City)
•Cost to maintain record
(Include re-creation, storage and retrieval,personnel and space
expenses)
*Frequency of reference
*Duplicate record
(Are you the Office of Record?)
Records Management Manual - City of San Luis Obispo, California
20
a
n 0 0 n n 0 n n n n D ;aO
m 0 0 n 0 0 0 0 n n n n m 03 0
4 m m in co m m ce m m to m
W is is is is is X
n 0 D D O D D ;a n p O M
S0. 0
zo m azo N
n > (a oo
0 a m
CA x
— a N C
m am ' o CD
go- c 0 0n 3m a 0 om yac
o
(A o m m
w m 10 vomit
m
ami 0
CD m m o M.
a7 m 0 0 ? 0
N 0
7
<
K
CD O0I
N N m m N
(D Sn+ CT d W N (7 N of ---:q =
N 41 al m t 'U d 0 <
N N Q y N M m m
CL
.ZJ ;7
m
_n Cf) > j n
z z z z z z •Z z z p 0
D in D D D D D D D D D 0 < Z O
• m m p fA
cmc A -P m N -1 10 'o 0 0• D 0 (on m
x ik 3 v �'�c 3 M mo
al 17 al N TI Tim y -n TI Ti TI m
0 o m n n
B.
n n n n (D o_ O
CLCD � z a to
n
2
0 � m
z ' 5 c
CD m m m m m m m m m m
m N N N N N al al M N al m p, m V,
j G) d 0 O O m 0o O O O O m@ O
v n go 0 n 3 � 0 m o o o o N mo' Or
CD N A m A A A CL a A 0 ? A A A s a O
3 o x o 0 0 m o 0 0 0 0 0) ar m
m m o Co m co ? m (om m m (o m v
D o o 0 0 0 0 0 0 0 0 q
7C10 Cr C 10 `c
o = � aw 'gym SMC 3
CL
0 m Cr m (D = � ,yA CCD
m � a Ma o_ � m a,
FL CD mm 0m a awn
CD
7 CD °c m O3CCOa ° m
0. � m m ir ��t = o fn
CL CL 0
O O A y 7 m
O
Sr N N O`C 0 C
N
03
O
Records Management Manual - City of San Luis Obispo, California
21
RECORDS STORAGE AND PRESERVATION ,
Provisions for disaster recovery, preservation of original records, and efficient storage and
retrieval systems are fundamental to effective records management.
DISASTER RECOVERY PROCEDURES
STEP 1. Determination of appropriate records
1. Vital Records: Those records we would have to have to continue basic
operations.
2. Other Records:
*Frequency of reference
*Duplicate record (are you the Office of Record?)
*Historical value
•Administrative value
*Legal value
.Fiscal value
.Cost to maintain record
STEP 2. Determine best media
1. Paper Dispersal. This entails simply making a copy of the record and
storing it in a remote location. This is the least expensive to
implement, but has expensive long-term consequences.
2. Mcroforms. There are various formats available:
Cartridge: Self-threading roll film; contains up to 3500 images.
Computer O pt ut Microfilm (COM): Creation of microfilm directly
from computer files.
Roll: Most economical for sequential information; contains up to 3500
images.
i he: Single sheets of plastic (4x6); contains up to 338 images
arranged in a grid pattern.
Jacket: Plastic sheets with single or multiple sleeves to hold strips of
microfilm. Jackets can be updated by adding one or several images
(labor intensive); contains up to 60 images.
Records Management Manual - City of San Luis Obispo, California
22
V�
STEP 2. Determine best media(continued)
2 Microforms (continued)
Aperture Card: A keypunched card that has an opening for one or
more frames of microfilm, typically utilized for engineering drawings;
contains from one to eight images.
3. Optical Disk
Only WORM(Write Once, Read Many Times) media is authorized by
California Government Code. Various legal and operational standards
must be met. Advantages include dynamic searching,wide access, and
duplication avoidance.
STEP 3. Develop administrative procedures
1. Include a dispersal copy of record in an off-site location (the City
utilizes FileSafe, an underground vault located in the San Francisco
Bay Area). A microform copy should be sent to the Office of the City
Clerk for transmittal to FileSafe.
2. Provide for secure storage of originals
*Humidity
.Temperature
*Fire-proof for vital records
*Minimize exposure to loss (water pipes, etc.)
ACTIVE STORAGE
STEP 1. Filing Cabinets
1. Open shelf cabinets with color coded labels are the most efficient
2. Pull-out lateral drawers is next choice
3. Mechanized Shelving. Use only where space constraints are your
primary consideration. Labor expenses to file and retrieve records
exceed cost of space savings.
Records Management Manual - City of San Luis Obispo, California
23 ��\
� I
S
r.
FSU
INACTIVE STORAGE
�jJ T
STEP 1. Storage Boxes -
1. Always utilize standard records storage boxes: (15" x 12" x 1011)
2. Label top and two or more sides with standard label (see exhibit RSP-
1 and Appendix D)
STEP 2. Off-site storage
1. When to utilize off-site storage:
a. Limited space
b. Low retrieval need
C. Expensive square footage in active storage area
Records Management Manual - City of San Luis Obispo, California
24
to
i
Exhibit RSP-1, Coml d Label for Records Storage Box
a
N O
0 .S7 m "9
a o
D m
. r�r
o p
a � - x
m
z ' o
C7
D
8 � �
O
z
o C:
o
m
z
Records Management Manual- City of San Luis Obispo, California
25
ARC'HTVFS AND HISTORICAL DOCUMENTS
Archival records have permanent historical (research), legal, or social value. They
document the history and.the development of the City and its departments, and provide
information for research. For sensitive or historical, archival documents, consult with the
City Clerk's office.
Records Management Manual- City of San Luis Obispo, California
26 ��
RECORDS DISPOSAL
Disposal of records is encouraged after the record'has met or exceeded its retention period.
(Utilize the standard label and clearly mark the disposal dates on all records storage boxes
to facilitate easy determination of destruction dates.)
San Luis Obispo's preferred disposal method is recycling.
PROCEDURE:
STEP 1. Verify destruction date with the retention schedule (If there is no retention
schedule, check with the City Attorney).
STEP 2. Draft resolution and staff report authorizing destruction (refer to Appendix
D).
STEP 3. Following Council Approval, execute destruction.
A. Recycling (preferred):
1. Remove paper clips and fasteners from folders (staples are OK).
2. For small volumes, place in appropriate recycling location.
3. For large volumes, call the City's Recycling Coordinator.
The City has used the services of Friendship School (adults with disabilities)
for this function in the past (546-8463).
B. Shredding (for confidential records):
1. Remove paper clips and fasteners from folders (staples are OK).
2. Shred documents.
3. Place in appropriate location for pick-up.
4. Complete and File Certificate of Destruction (see Appendix D)
Records Management Manual - City of San Luis Obispo, California
27���
OPTICAL DISK POLICIES
(This is a draft and will be completed after system implementation and administrative
procedures are developed)
Goal: To facilitate the widest organizational access to records in the most efficient and
effective manner.
FUNDAMENTALS
Document Sharing and Service Improvement
The major benefit of this technology is wide distribution and the availability of powerful
research tools. To ensure all departments have access to legislative material (resolutions,
ordinances, minutes, etc.) and have the ability to share their documents with each other, it
is important to implement and administer the program with an organization-wide
perspective.
Duplication Avoidance
1. Only the Office of Record scans documents they are custodians of. If another
department wants a record series placed on the system, a request is placed with the
department who is the office of record, who will scan in the document. The
requesting department may provide the labor to scan in a record series.
2. Only business documents may be scanned into the system.
3. Where possible, merge files prior to scanning.
4. Data Entry standards will be developed by the Records Coordinators for the
organization. All computerized "indexing" will conform to the recommended
standards.
fag .
JOD rC5
Records Management Manual - City of San Luis Obispo, California
28 G ,'•H,Q
APPENDIX A: GLOSSARY OF TERMS
Access - The availability of or the permission to consult records, archives, or manuscripts.
Accession - The act and procedures involved in transfer of records or papers into the
physical custody of an archival agency, records center, or manuscript repository.
Administrative Record - Records relating to budget, personnel, supply and similar
housekeeping or facilitative functions common to most agencies, in contrast to program
records.
Administrative Value - A record that assists in the operation of government and insures
administrative consistency and continuity.
Alphabetical File - A file in which documents are arranged alphabetically by name or
subject.
Alphanumeric -A filing system or code which combines alphabetic and numeric symbols to
classify records.
Appraisal - The process of determining the value and thus disposition of records based on
their current administrative, legal, and fiscal use; their evidential and informational or
research value; and their relationship to other records.
Archival Records - Records of continuing and enduring value useful to the citizens of the
city and necessary to the administrative functions of public agencies in conduct of those
services and activities mandated by law.
Archival Value - A record having continuing/long term value and is usually assigned a
"permanent" (or indefinite) retention period.
Archives - Those records of any public institution which are adjudged worthy of permanent
preservation for reference and research purposes and which have been selected for deposit
in the permanent archives of the city.
Audio-Visual Records-Records in pictorial or oral form,regardless of format. Includes still
photographs (or still pictures), graphic arts (poster or original art), motion pictures, video
records, audio (or sound) records, and related records.
Case File - Grouping of documents that pertain to a particular person, place or thing. A
case or project file may consist of correspondence, form records, memoranda or a
combination of those, all of which pertain to the same, person, place or thing.
Records Management Manual - City of San Luis Obispo, California
//ww32
Central File-The records or files of one or several offices or organizational units physically
and/or functionally centralized and supervised in one location.
Closed Files - A file in which action has been completed and to which further documents
are not likely to be added.
Computer Output Microfilm (COM) - The process of converting the data on a magnetic
computer tape directly onto microfilm.
Confidential Records - A record of information requiring protection against unauthorized
disclosure.
Continuing Authorization - This is the legal authority to destroy currently created records
at a designated time or upon fulfillment of specific events or conditions.
Copy - A copy is a duplicate or duplicate original, an original of which is on file elsewhere
in the filing.system. Copies which do not meet this criteria are considered to be originals;
for example, "original" correspondence from the City is provided to the addressee, and,
therefore, the "copy" becomes the City's original. Copies include action copy, information
or reference copy, official file copy, read or chronological file copy, suspense or tickler file
copy and stock copy.
Correspondence - Letters, memoranda, notes, telecommunications, and any other act of
addressed, written communications sent and received.
Current Records - Records regularly used for the conduct of the current business of an
organization..
Custody - Guardianship, or control of records, including both physical possession (physical
custody) and legal responsibility (legal custody), unless one or the other is specific.
Declassification - The purpose or result of determining that information is no longer
confidential.
Disposition - The allocation of public records to a particular location according to their
categorization. The allocations include transfer to a records center for temporary storage,
transfer to an archival agency, donation to an eligible repository, reproduction of microfilm
and destruction.
Electronic Record Keeping - A system of record keeping in which information is stored on
electronic or optical media instead of recorded on paper and is identified, controlled, and
disposed of according to records management practices.
Records Management Manual- City of San Luis Obispo, California
33 `
(
File-An organized collection of related data,usually arranged into logical record which are
stored together and treated as a unit.
Fiscal Value- Refers to the retention of records which pertain to the financial transactions
of the City, such as budgets, ledgers, allotments, payrolls and vouchers. After such records
have served their basic function and have met their legal retention requirements, they may
still have sufficient fiscal value to justify their retention in storage for a time to protect the
City against court action or to account for the expenditure of funds.
Functional Filing System -. A system of filing which is based on the primary services
(functions) performed by the City. Records and documents are filed by what is being done
(function) rather than by who is doing it. The system is organized by functions, categories
and subcategories, and each subject has been given its own numeric code. This contrasts
with random numeric or alphabetic systems.
Historical Value - Refers to the retention of records which have enduring value because
they reflect significant historical events or document the history and development of the
City.
Inactive Record - Any public record which is transferred to storage until it has met its
specific retention requirement and may be destroyed. "Inactive record"does not include any
public record which is permanent or historic in nature and which must be protected.
Inventory-The process of examining records on hand to determine their function, content
and dates in order to assign retention disposition information.
Legal Value - Refers to the retention of records containing evidence of legally enforceable
rights or obligations. Examples are decisions and opinions; fiscal documents representing
agreements, such as leases, titles and contracts; and records of action in particular cases,
such as claim papers and legal dockets.
Microfiche - A sheet of microfilm containing multiple microimages in a grid pattern. It
usually contains a title which can be read without magnification.
Microfilm - A fine grain, high resolution film containing an image greatly reduced in size
from the original. The records of microphotographs on film.
Non-Record - Published books and pamphlets, books and pamphlets printed by outside
agencies, worksheets used to collect or compile data after that data has been included in a
record, answer pads for a telephone or other informal notes, desk calendar, stenographers'
notebooks after the information contained therein has been transcribed, unused forms
(except ballots and as indicated in a retention schedule), brochures, newsletters, magazines,
newspapers(except those excerpts used as evidence of publication),scrapbooks,and physical
property artifacts.
Records Management Manual - City of San Luis Obispo, California
34
U
Numeric File -A file in which documents are arranged in numerical sequence as a primary
means of reference.
Office File and Memoranda - All records, correspondence, exhibits, books, booklets,
drawings, maps, blank forms, or documents not defined and classified as Official Public
records; all duplicate copies of Official Public records filed with a public agency, all
documents and reports made for internal administration of the office which they pertain to
but not required by law to be filed or kept with such agency.
Office of Record (i.e. OPR, Office of Primary Responsibility) - The office assigned the
responsibility for the custody and maintenance of the records of the activities it serves.
Original-An original is the city's record copy of a document, on file with the office record.
An original may actually be a copy, as is the case of correspondence from the city. The
"original"is provided to the addressee, and, therefore, the "copy"becomes the city's original.
Permanent Record-Records which have a permanent or enduring historical, administrative,
legal or fiscal value and, in consequence thereof, should be retained and preserved
indefinitely.
Personnel Record-Any item, collection, or grouping of information about an individual that
is maintained by an agency. It includes, but is not limited to, the individual's education,
financial, medical, or employment history, or items that contain or make reference to the
individual's name,identifying number,symbol,or other identifying particular assigned to the
individual, such as finger or voice print or photograph.
Physical Record - A record treated as a unit because of its physical form. A collection of
data defined in terms of physical parameter, rather than logical content.
Public Records (Ref: GC 5 6250-6268 - aka Public Records Act - see also Chapter 14, City
Clerks' Handbook) - Those records created by public funds which are adjudged worthy of
permanent preservation for reference and research purposes to the creating agency, other
state agencies, and/or the public.
Records - Any nonverbal information created or received pursuant to law, charter,
ordinance, or in connection with any other activity relating to or having effect upon the
transaction of public business, regardless of physical form or characteristics.
California GC §14741, defines "records" as all papers, maps, exhibits, magnetic or paper
tapes, photographic films and prints, punched cards, and other documents produced,
received, owned, or used by an agency, regardless of physical form or characteristics.
California GC §6252 (d) defines "public records" as any writing containing information
relating to the conduct of the public's business prepared, owned, used, or retained by any
state or local agency regardless of physical form or characteristics. "Writing" means
Records Management Manual - City of San Luis Obispo, California
35 � 1
V
handwriting, typewriting, printing, photostating, photographing, and every other means of
recording upon any form of communication or representation, including letters, words,
pictures, sounds, or symbols, or combination thereof, and all papers, maps, magnetic or
paper tapes, photographic films and prints, magnetic or punched cards, discs, drums, and
other documents (6252 (e).
Records Center- A facility,sometimes especially designed and constructed,for the low-cost
and efficient storage and furnishing of reference service on semi-current records pending
their ultimate disposition.
Records Coordinator - Coordinates the individual departments' records program by
administering records policies and procedures, scheduling records series, supervising the
destruction of records,by assisting in establishing and maintaining filing systems; and serves
as liaison between the department and the Records Manager.
Records Management - The application of management techniques to the creation,
utilization, maintenance, retention, preservation, and disposition of records, undertaken to
reduce costs and improve efficiency in record keeping. Includes management of filing and
microfilming equipment and supplies; filing information retrieval systems; files,
correspondence, reports, and forms management; historical documentation; micrographics;
system applications; retention scheduling; vital records protection; and disaster recovery.
Records Series - Consists of records accumulated over a period of time and arranged in an
organized file or set of files which can be described, handled, and disposed of as a unit. A
record series may consist of records of a single type or format, or of records kept together
because they relate to a particular subject, or result from one activity. The physical form
of records in a series may vary - paper, film or other media (including computer storage);
volumes, folders, reels, etc. being used at different times. The filing arrangement may be
chronological, alphabetic, numeric, coded, or any combination of filing arrangements. A
series may, at a particular time, consist of a single folder, or of hundreds of feet of files.
Each record series must be specifically defined and include only records with.the same
retention period.
Retention Schedule - The document describing the records maintained by the city and
specifying,in accordance with statutory requirements or evaluation,the period of time which
must elapse before they may be destroyed.
Retention Period A retention period is calculated from the date the public record was
created.
I. Active Storage: Length of time records are maintained in the office due to
frequent reference activity (i.e. daily, weekly).
Records Management Manual - City of San Luis Obispo, California
2 Inactive Storage: Length of time records are retained in the records center(or
in an inactive status). Records referenced infrequently should be transferred
to a low-cost storage area where they are retained until destruction.
I Total Retention: The total period of time records are to be retained prior to
their destruction is equal to the office retention plus the records center
retention.
Retention Schedule - A document governing, on a continuing basis, the retention and
disposition of the recurring records series of an organization or agency. Sometimes referred
to as records schedule, a records control schedule, a retention schedule, a disposal schedule,
a records retention schedule and a comprehensive records schedule.
Series - File units or documents arranged according to a filing system or kept together
because they relate to a particular subject or function, result from the same activity,
document a specific kind of transaction, take a particular physical form, or have some other
relationship arising out of their creation, receipt, or use, such as restrictions on access and
use. Also called a record series.
Specific Authorization - This is the legal authority to destroy records which are no longer
created, or to destroy records through a particular date or under a particular condition.
Transfer- Movement of records, usually from a government agency to a records center, for
storage, service and protection.
Transitory Records - Records having only transitory value. These include original and
informational copies of documents that do not contain procedural or policy matter
applicable to the receiving office, that do not require action by the receiving office, that
involve a routine transaction, or that do not contain information of continuing reference
value.
Uniform Filing System - A system of filing in which all departments use the same
numbering system for similar types of records.
Vital Records - Records essential to the continued functioning or reconstruction of an
organization during and after an emergency and also those records essential to protecting
the rights and interest of that organization and of the individuals directed affected by its
activities.
Worldng Papers - Documents such as rough notes, calculations or drafts assembled or
created and used in the preparation or analysis of other documents.
Writing - Handwriting, typewriting, printing, photostating, photographing and every other
means of.recording upon any form of communication or representation, including letters,
Records Management Manual- City of San Luis Obispo, California
37 A,�
words,pictures, sounds or symbols, or combination thereof, and all papers, maps, magnetic
or paper tapes, photographic films and prints, magnetic or punched cards, discs, drums and
other documents.
Records Management Manual - City of San Luis Obispo, California
38 ,13
CD J'C
APPENDIX B• RESOURCES FOR ENCOURAGEMENT AND SUPPORT
Murry of these organizations have valuable manuals, technical bulletins, surveys, and even
groft
LEGAL RESOURCES
1. Legal Requirements for Business Records (Basic State Requirements, Basic Federal
Requirements)
Information Requirement Clearing House
3801 E. Florida Avenue, #400
Denver, CO 80210
(800) 344-8355
2. Government Records, A Summary of the Codes
March Fong Eu, Secretary of State
California State Archives
1020 "C" Street, Room 130
Sacramento, CA 95814
(916) 445-4293
3. City Clerks' Association of California (CCAC)
City Clerks' Handbook, Chapter 14
1400 "K" Street
Sacramento, CA 95814
(916) 4447505
RECORDS MANAGEMENT RESOURCES
1. American Association for State and Local History
172 Second Ave. North
Nashville, TN 37201
(615) 255-2971
2. Association of Records Managers & Administrators (ARMA)
4200 Somerset Drive, Suite 213
Prairie Village, KS 66208
(800) 422-ARMA
Records Management Manual - City of San Luis Obispo, California
39
U
3. International Institute of Municipal Clerks (IIMC)
(Records Management Resources: An Annotated Bibliography for Local Government
Records)
160 N. Altadena Dr.
Pasadena, CA 91107
(818) 795-6153
4. National Association of Government Archives & Records Administrators
New York State Archives
1OA46 Cultural Education Center
Albany, NY 12230
(518) 473-8037
5. National Historical Publications & Records Commission (they have grants!)
National Archives Building
Washington, D.C. 20408
(202) 523-5386
6. National Information Center for Local Government Records
(Can be reached through American Association for State & Local History)
P.O. Box 40983
Nashville, TN 37204
(800) 2845456 or (615) 255-2971
IMAGING RESOURCES
1. American National Standards Organization (ANS) and International Standards
Organization (ISO)
1430 Broadway
New York, NY 10018
Optical Disk Standards: (714) 364-9626
2. Association for Information & Image Management (AIIM)
1100 Wayne Avenue, Suite 1100
Silver Spring, MD 20910
(301) 587-8202
3. The Innovation Groups, Inc. (CCAN)
California Colorado Arizona Nevada Innovation Group .
320 Pine Avenue, Suite 303
Long Beach, CA 90802
(213) 495-5930
Records Management Manual- City of San Luis Obispo, California
40 A;
U
APPENDIX C• LAWS GOVERNING MUNICIPAL RECORDS
The legislative laws of the State of California are codified into 28 Codes as the California-
Codes.
aliforniaCodes. Several of these Codes contain references to the duties of the City Clerk and to the
types, format, and retention-of records. Each Code has an index which will guide the
researcher to the appropriate section of the Code.
Codes sections are subject to revision. The Codes are updated annually with pocket
supplements which are generally found in the back of each volume. The original text, as
well as the supplement, should be reviewed annually to verify that the law has not changed.
(Note: Only those sections and subsections of the Codes which specifically reference cities are listed. The
underline is the Editor's. An asterisk (*) following a section number and title denotes a summary rather than
a direct quotation from the Code.)
The laws governing municipal records are delineated as follows:
ELECTIONS CODE
E.C. 100127. Confidentiality of candidate's statement.*
Declares confidentiality of candidate's statements until expiration of filing deadline.
EC, 12524. Code of Fair Campaign Practices as public record.*
Declares Code of Fair Campaign Practices-as public record open for public inspection.
E.C. 14306. Destruction of ballots by Clerk
(a) Immediately upon the arrival of the hour when the polls. are required by law to be
closed on election day, the clerk conducting the election, shall openly, in the clerk's
main office, in the presence of any persons who are present to observe, according to
the procedure set forth in either Section 14303 or 14304, proceed to deface every
unused ballot remaining in the control of the clerk. The clerk shall forthwith make
and file an affidavit, in writing, as to the number of ballots destroyed.
(b) In lieu of the procedure outlined in subdivision(a), the precinct board member shall,
immediately upon the close of the polls and before any ballot is taken from any of
the containers, place all of the unused ballots into a special container provided for
that purpose. A tamperproof seal containing spaces for entering the total number
of unused ballots enclosed, the beginning and-ending serial numbers thereof and
signature lines for all members of the precinct board following a statement certifying
Records Management Manual - City of San Luis Obispo, California
41
that all of the ballots were placed in the container in their presence and the
information on the seal is true and correct shall be provided. After signing the seal,
it shall be placed on the container in a manner that the container cannot be opened
without tearing the seal.
(Note: HC 14600, 14810, 14820, 14830& 14970 pertain to other than municipal elections.)
E.G 14600. Retention and deshuction of nominating papers.
(a) All nomination documents and signatures in lieu of filing fee petitions filed in
accordance with this code shall be held by the officer with whom they are filed
during the term of office for which they are filed and for four years after the
expiration of the term.
(b) Thereafter, the documents and petitions shall be destroyed as soon as practicable
unless they either are in evidence in some action or proceeding then pending or
unless the elections official has received a written request from the Attorney
General, the Secretary of State, the Fair Political Practices Commission, a district
attorney, a grand jury, or the governing body of a county, city and county, or district,
including a school district, that the documents and petitions be preserved for use in
a pending or ongoing investigation into election irregularities, the subject of which
relates to the placement of a candidate's name on the ballot, or in a pending or
ongoing investigation into a violation of the Political Reform Act of 1974 as set forth
in Title 9 (commending with Section 81000) of the Government Code.
E.G 14700. Demcdon of petitions.
(a) Elections officials required by law to receive or file in their offices any initiative or
referendum petition shall preserve the petition until eight months after the certificate
of the results of the election for which the petition qualified or, if the measure, for
any reason, is not submitted to the voters, eight months after the final examination
of the petition by the elections official.
(b) Thereafter, the petitions shall be destroyed as soon as practicable unless it is in
evidence in some action or proceeding then pending or unless the elections official
has received a written request from the Attorney General, the Secretary of State, the
Fair Political Practices Commission, a district attorney, a grand jury, or the governing
body of a county, city and county, or district, including a school district, that the
petition be preserved for use in a pending or ongoing investigation into election
irregularities, the subject of which relates to the petition's qualifications or
disqualifications for placement on the ballot,placement of a candidate's name on the
ballot, or in a pending or ongoing investigation into a violation of the Political
Reform Act of 1974 as set forth in Title 9 (commencing with Section 81000) of the
Government Code.
Records Management Manual- City of San Luis Obispo, California
42 VM M
(c) Public access to any such petition shall be restricted in accordance with the
provisions of Section 62535 of the Government Code.
(d) This section shall apply to the following petitions:
(1) Statewide initiative and referendum petitions.
(2) County initiative and referendum petitions.
(3) Municipal initiative and referendum petitions.
(4) Municipal city charter amendment petitions.
(5) District initiative and referendum petitions.
E.0 14800. Retention of rosters of voters
(a) The elections official shall preserve all rosters of voters or combined rosters and
indexes as provided for in Section 14006, if applicable, until five years after the date
of the election, after which they may be destroyed by that official.
(b) In lieu of preserving the original roster of voters, the elections official may,by filming
or other suitable method, record the original roster of voters and destroy the roster
following the next subsequent general election.
EC 14811. Retention of ballots.
(a) The following provisions shall apply to all state or local elections not provided for
in subdivision (a) of Section 14810. An election is not deemed a state or local
election if votes for candidates for federal office may be cast on the same ballot as
votes for candidates for state or local office.
(b) The packages containing the following ballots and identification envelopes shall be
kept by the elections official, unopened and unaltered, for six months from the date
of the election:
(1) Voted polling place ballots.
(2) Voted absent voter ballots.
(3) Absent voter identification envelopes.
(4) Spoiled ballots.
(5) Cancelled ballots.
(6) Unused absent voter ballots surrendered by the voter pursuant to Section
1012.
(7) Ballot receipts.
(c) If a contest is not commenced within the six month period, or if a criminal
prosecution involving fraudulent use, marking or falsification of ballots or forgery of
absent voters' signatures is not commenced within the six-month period, either of
which may involve the vote of the precinct from which voted ballots were received,
Records Management Manual - City of San Luis Obispo, California
43 r w �
i
the elections official shall have the packages destroyed or recycled. The package
shall otherwise remain unopened until the ballots are destroyed or recycled.
F.C. 14821. Retention of tally sheets and street index
(a) The following provisions shall apply to all state or local elections not provided for
in subdivision (a) of Section 14820. An election is not deemed a sate or local
election if votes for candidates for federal office may be cast on the same ballot as
votes for candidates for state or local office.
(b) The elections official shall preserve the package or packages containing the following
items for a period of six months:
(1) Two tally sheets.
(2) The copy of the index used as the voting record.
(3) The challenge lists.
(4) the assisted voters list.
(c) All voters may inspect the contents of the package or packages at all times following
commencement of the official canvass of the votes.
(d) If a contest is not commenced within the six-month period, or if a criminal
prosecution involving fraudulent use, marking or falsification of ballots, or forgery of
absent voters' signatures is not commended within the six-month period, either of
which may involve the vote of the precinct from which voted ballots were received,
the election official may have the packages destroyed or recycled.
E.G 14831. Retention of ballots after election contest
(a) The following provisions shall apply to all state or local elections not provided for
in subdivision (a) of Section 14830. An election is not deemed a state or local
election if votes for candidates for federal office may be cast on the same ballot as
votes for candidates for state or local office.
(b) Upon the completion of the counting of the votes as provided in Article 4
(commencing with Section 17180) of Chapter 13 of Division 12, all ballot cards shall
be arranged by precincts and shall be kept by the elections official for 6 months from
the date of the election or so long thereafter as any contest involving the vote at the
election remains undetermined.
(c) Notwithstanding any other provisions of this code, the final disposition of all voted
ballot cards shall be determined by the elections official.
(d) Sealed ballot containers may be opened if the elections official determines it is
Records Management Manual - City of San Luis Obispo, California
44 '�n
necessary in a shredding or recycling process. Nothing in this section shall be
construed to allow packages or containers to be opened except for purposes specified
herein. The packages or containers shall otherwise remain unopened until the
ballots are destroyed or recycled.
EG 14900. Retention of recall petitions.
(a) The clerk or, in the case of the recall of a state officer, the Secretary of State, shall
preserve in his or her office all recall petitions filed for eight months after the results
of the election for which the petition qualified or, if not election is held, eight months
after the clerk's final examination of the petition.
(b) Thereafter, the petition shall be destroyed as soon as practicable unless it is in
evidence in some action or proceeding then pending or unless the elections official
has received a written request from the Attorney General, the Secretary of State, the
Fair Political Practices Commission, a district attorney, a grand jury, or the governing
body of a county, city and county, or district, including a school district, that the
documents and petitions be preserved for use in a pending or ongoing investigation
into election irregularities, or in a pending or ongoing investigation into a violation
of the Political Reform Act of 1974 as set forth in Title 9 (commencing with Section
81000) of the Government Code.
(c) Public access to any such petition shall be restricted in accordance with Section
6253.5 of the Government Code.
E.G 14971. Retention of precinct officials appointment records.
(a) The following provisions shall apply to all state or local elections not provided for
in subdivision (a) of Section 14970. An election is not deemed a state or local
election if votes for candidates for federal office may be cast on the same ballot as
votes for candidates for state or local office.
.(b) The elections official shall preserve the following records reflecting the appointment
of precinct officials until six months from the date of an election.
(1) Precinct officers' declaration of intention required by Section 1637.
(2) Precinct board member applications specified in Section 1637.5.
(3) Order appointing members of the several precinct boards and designating the
polling places specified in Section 1638.
(4) Nominations for appointment to the precinct board by the county central
committee of each qualified political party specified in Section 1639.
(5) Written orders appointing precinct board members or designating the polling
place for the precinct pursuant to Section 1648.
Records Management Manual - City of San Luis Obispo, California
45
V
EC 17130. Application of chapter.•
Requires clerk to dispose of the records and supplies of any election in the manner set forth
in the chapter.
EC 17134. Voted ballots to be retained; contest or prosecution.
If a contest or any such criminal prosecution has been commenced prior to the date fixed
for its destruction, the package containing the voted ballots.shall be subject to the order of
the court in which the contest or criminal prosecution is pending and shall not be destroyed
until after final determination of the contest or criminal prosecution. (If you handle
congressional elections or State Legislature, see E.C. 17134.for more information.)
In no event shall the package or its contents be taken from the. custody of the clerk.
E.0 17136. Recycling of unused ballots.
Notwithstanding any other provision of the law, the clerk, after holding the unused ballots
for the purposes of Division 10 (commencing with Section 14000), immediately upon the
arrival of the hour when the polls are required by law to be closed on election day, in lieu
of the procedure outlined in Section 14306, may recycle for any other lawful purpose any
unused ballots remaining in the control of the clerk which clearly identify the election for
which they were prepared. The clerk shall make and file an affidavit, in writing, as to the
number of ballots recycled.
EVIDENCE CODE
E.V. 1531. Certification of copy for evidence
For the purpose of evidence, whenever a copy of a writing is attested or certified, the
attestation or certificate must state in substance that the copy is a correct copy of the
original; or a specific part thereof, as the case may be.
EV. 1550. Photographic copies made as business records
A nonerasable optical image reproduction provided that additions, deletions, or changes to
the original document are not permitted by the technology, a photostatic, microfilm,
microcard, miniature photographic, or other photographic copy or reproduction, or an
enlargement thereof, of a writing is as admissible as the writing itself if the copy or
reproduction was made and preserved as part of the records of a business (as defined by
Section 1270) in the regular course of that business. The introduction of the copy,
Records Management Manual - City of San Luis Obispo, California
46
reproduction, or enlargement does not preclude admission of the original writing if it is still
in existence. A court may require the introduction of a hard copy printout of the document.
1~Y. 1551. Photographic copies where original destroyed or lost.
A print,whether enlarged or not, from a photographic film (including a photographic plate,
microphotographic film,photostatic negative,or similar reproduction) of an original writing
destroyed or lost after such film was taken or a reproduction from an electronic recording
of video images on magnetic surfaces is admissible as the original writing itself if, at the
time of the taking of such film, or electronic recording, the person under whose direction
and control it was taken attached thereto, or to the sealed container in which it was placed
and has been kept, or incorporated in the film or electronic recording, a certification
complying with the provisions of Section 1531 and stating the date on which, and the fact
that, it was taken under his direction and control.
(Note: To comply with the three sections above,the following information should be included in the certificate
for microfilm:
L The date of photographing.
2. The signature of the individual under whose direction and control the photographs were taken.
3. The fad that photograph is a correct copy of the original or a specific part thereof, as the case
may be.
When planetary cameras are used,the certificate can be placed on the flat bed adjacent to the
document, thus photographing both at the same time, ganging the date as necessary. When
using rotary cameras,the certificate can be shot at the beginning and end of the reels. No seal
is required,nor need the person"under whose direction and control"the photographs are taken
be a sworn officer of the city, but only the responsible individual.)
GOVERNMENT CODE
G.0 1453 Recording.
Requires official bonds to be recorded in a book entitled, "Record of Official Bonds."
G.G 4003 Engineer to keep account of cost.
Requires the engineer in charge of a public work to keep an account of costs.
G.0 4004. Plana specifications, and cost estimate.
Records Management Manual - City of San Luis Obispo, California
47
f
Requires the engineer in charge of a public work to file a record of specifications or work
authorization and estimated costs prior to commencement of public work.
G.0 5004. Record of registered bonds'
Requires the treasurer of a municipality to keep a record book of registered public bonds.
G.0 6200. Theft, destruction, falsification, or removal by officer custodian.
Every officer having the custody of any record, map, or book, of any paper or proceedings
of any court, filed or deposited in any public office, or placed in his or her hands for any
purpose, is punishable by imprisonment in the state prison for 2, 3 or 4 years, if, as to the
whole or any part of the record, map, book, paper, or proceeding, the officer willfully does
or permits any other person to do any of the following:
(a) steal, remove, or secrete
(b) destroy, mutilate or deface
(c) alter or falsify
G.0 6201. Theft, destruction, falsification, or removal of person other than officer custodian.
Every person not an officer referred to in Section 6200 who is guilty of any of the acts
specified in that section, is punishable by imprisonment in the state prison, or in a county
jail not exceeding one year, or by a fine not exceeding one thousand dollars ($1,000) or by
both such fine and imprisonment.
G.0 6252. Definitions.
As used in this chapter (Note: Chapter 3.5 Inspection of Public Records):
(b) "Local Agency" includes a county; city, whether general law or chartered; city and
county; school district; municipal corporation; political subdivision; or any board,
commission or agency thereof; other local public agency; or non profit organizations
of local governmental agencies and officials which are supported solely by public
funds.
(c) "Person" includes any natural person, corporation, partnership, firm, or association.
(d) "Public Records" includes any writing containing information relating to the conduct
of the public's business prepared, owned, used, or retained by any state or local
agency regardless of physical form or characteristics. "Public Records"in the custody
of, or maintained by, the Governor's Office.means any writing, prepared on or after
January 6, 1975.
Records Management Manual - City of San Luis Obispo, California
48 ,xp
U
(e) "Writing"means handwriting,typewriting,printing,photostating, photographing, and
every other means of recording upon any form of communications or representation,
including letters,words, pictures, sounds, or symbols, or a combination thereofy and
all papers, maps, magnetic or paper tapes, photographic films and prints, magnetic
or punched cards, discs, drums and other documents.
(f) "Member of the public" means any person except a member, agent, officer, or
employee of a federal, state, or local agency acting within the scope of his or her
membership, agency, office or employment
G.0 6253 Public records open to inspection; times; guidelines and regulations governing
procedure.
(a) Public records are open to inspection at all times during the office hours of the state
or local agency and every person has a right to inspect any public record, except as
hereafter provided. Every agency may adopt regulations stating the procedures to
be'followed when making its records available in accordance with this section.
G C 6253.1. Adoption of requirements for greater access.
Except as otherwise prohibited by law, a local agency may adopt requirements for itself
which allow greater access to records than prescribed by the minimum standards set forth
in this chapter.
G.0 6253.5. Inspection of election petitions.
Initiative, referendum, and recall petitions are not public records and are.not open to
inspection except by clerk and, if the petition is found to be insufficient, by the proponents
of the petition and their representatives. Such examination shall begin not later than 21
days after certification of insufficiency. Designated public officials can examine petitions
with superior court approval.
G.0 6253.6 Bilingual ballot or ballot pamphlet requests not deemed public records.
The identity of persons who have requested bilingual ballots. or ballot pamphlets is not
public record.
G.0 6254. Exemption of particular records (NOTE.• Text of this section is operative until
7-1-93. The section past 7-1-93 does not change the items below.)
Except as provided in 6254.7,nothing in this chapter shall be construed to require disclosure
of records that are any of the following:
(a) Preliminary drafts, notes, interagency or intra-agency memoranda which are not
Records Management Manual- City of San Luis Obispo, California
49
r n��
W
retained by the public agency in the ordinary course of business, provided that the
public interest in withholding those records clearly outweighs the public interests in
disclosure.
(b) Records pertaining to pending litigation to which the public agency is a party, or to
claims made pursuant to Div. 3.6 (commencing with Section 810), until the pending
litigation or claim has been finally adjudicated or otherwise settled.
(c) Personnel, medical, or similar files, the disclosure of which would constitute an
unwarranted invasion of personal privacy.
(f) Records of complaints to, or investigations conducted by, records of intelligence
information or security procedures of the office of the Attorney General and the
Department of Justice, and any state or local police agency, or any investigatory or
security files compiled by any other state or local agency for correctional, law
enforcement, or licensing purposes, except that state and local law enforcement
agencies shall disclose the names and addresses of persons involved in, or witness
others than confidential informants to, the incident, the description of any property
involved, the date, time, and location of the incident, all diagrams, statements of the
parties involved in the incident, the statements of all witnesses, other than
confidential informants, to the victims of an incident, or an authorized representative
thereof, an insurance carrier against which a claim has been or might be made, and
any person suffering bodily injury or property damage or loss, as the result of the
incident caused by arson, burglary, fire, explosion, larceny, robbery, vandalism,
vehicle theft, or a crime as defined by subdivision (c) of section 13960, unless the
disclosure would endanger the safety of a witness or other person involved in the
investigation, or unless disclosure would endanger the successful completion of the
investigation or a related investigation. However, nothing in this division shall
require the disclosure of that portion of those investigative files which reflect the
analysis or conclusions of the investigating officer.
(g) Test questions, scoring keys, and other examination data used to administer a
licensing examination,examination for employment,or academic examination,except
as provided for in Chapter 3 (commencing with Section 99150) of Park 65 of the
Education Code.
(h) The contents of real estate appraisals or engineering or feasibility estimates and
evaluations made for or by the state or local agency relative to the acquisition of
property, or to prospective public supply and construction contracts, until all the
property has been acquired or all of the contract agreement obtained. However, the
law of eminent domain shall not be affected by this provision.
(i) Information required from any taxpayer in connection with the collection of local
taxes which is received in confidence and the disclosure of the information to other
Records Management Manual - City of San Luis Obispo, California
50 �(„
persons would result in unfair competitive disadvantage to the person supplying the
information.
(j) Library circulation records kept for the purpose of identifying the borrower of items
available in libraries, and library and museum materials made or acquired and
presented solely for reference or exhibition purposes. The exemption in this
subdivision shall not apply to records of fines imposed on the borrowers.
Nothing in this section prevents any agency from opening its records concerning the
administration of the agency to public inspection, unless disclosure is otherwise prohibited
by law.
G.0 6254.7. Air pollution data; housing code violations.*
Air pollution data required by a local agency, and all records of notices and orders directed
to the owner of any building of violations of housing or building codes, ordinances, statutes,
or regulations which constitute violations of standards provided in Section 1941.1 of the Civil
Code, and records of subsequent action with respect to such notices and orders, are public
records.
G.C. 6254.25. Memorandum from legal counsel regarding pending litigation.
Memorandum submitted to the legislative body of local agency by its legal counsel is
protected from disclosure until pending litigation has been adjudicated or otherwise settled.
G.0 6255. Justification for withholding records.
The agency shall justify withholding any record by demonstrating that the record in question
is exempt under express provisions of this chapter or that on the facts of the particular case
the public interest served by not making the record public clearly outweighs the public
interest served by disclosure of the record.
G.C. 6256 Copies of records, determination on compliance with request; notice, reasons.
Any person may receive a copy of any identifiable public record or copy thereof. Upon
request, an exact copy shall be provided unless impractical to do so. Computer date shall
be provided in a form determined by the agency.
Each agency, upon any request for a copy of records shall determine within ten days after
the receipt of such request whether to comply with the request and shall immediately notify
the person malting the request of such determination and the reasons therefor.
Records Management Manual - City of San Luis Obispo, California
51
G.0 6256L Extension of time for determination in unusual circumstances; notice.
In unusual circumstances, as specified in this section, the time limit prescribed in Section
6256 may be extended by written notice by the head of the agency to the person maldng the
request setting forth the reasons for the extension and the date on which a determination
is expected to be dispatched. No such notice shall specify a date that would result in an
extension for more than 10 working days.
As used in this section "unusual circumstances" means, but only to the extent reasonably
necessary to the proper processing of the particular request:
(a) The need to search for and collect the requested records from field facilities or other
establishments that are separate from the office processing the request.
(b) The need to search for, collect, and appropriately examine a voluminous amount of
separate and distinct records which are demanded in a single request.
(c) The need for consultation, which shall be conducted with all practicable speed, with
another agency having a substantial interest in the determination of the request or
among two or more components of the agency having substantial subject matter
interest therein.
G.C. 6256.2 Delay in access;prohibitions; notification of denial;name of persons responsible.
Nothing in this chapter shall be construed to permit an agency to delay access for purposes
of inspecting public records. Any notification of denial of any request for records shall set
forth the names and titles or positions of each person responsible for the denial.
G.0 6257. Request for copy; prompt availability; fee., reasonably segregable portion after
deletion of exempt portions
Except with respect to public records exempt by express provisions of law from disclosure,
each state or local agency, upon any request for a copy .of records, which reasonably
describes an identifiable record, or information produced therefrom, shall make the records
promptly available to any person, upon payment of fees covering direct costs of duplication,
or a statutory fee; if applicable. Any reasonably segregable portion of a record shall be
provided to any person requesting such record after deletion of the portions which are
exempt by law.
G.0 27322 Recording of documents•
Requires the county recorder to record all documents required or permitted to be recorded
by law.
Records Management Manual - City of San Luis Obispo, California
52 �1
G.0 34090. Destr=on of city records., excepted records., construction.
Unless otherwise provided by law,with the approval of the legislative body by resolution and
the written consent of the city attorney the head of a city department may destroy any city
record, document, instrument, book or paper, under his charge, without making a copy
thereof, after the same is no longer required
This section does not authorize the destruction of:
(a) Records affecting the title to real property or liens thereon
(b) Court records
(c) Records required to be kept by statute
(d) Records less than two years old
(e) The minutes, ordinances, or resolutions of the legislative body or of a city board or
commission.
This section shall not be construed as limiting or qualifying in any manner the authority
provided in 34090.5 for the destruction of records, documents, instruments, books and
papers in accordance with the procedure therein prescribed.
GC 34090.5 Destruction of records: conditions
Notwithstanding the provisions of section 34090, the city officer having custody of public
records, documents, instruments, books, and papers, may, without the approval of the
legislative body or the written consent of the city attorney, cause to be destroyed any or all
of such records, documents, instruments, books, and papers if all of the following conditions
are complied with:
(a) The record, paper, or document is photographed, aticrophotographed, reproduced
by electronically recorded video images on magnetic surfaces, recorded in the
electronic data-processing system, recorded on optical disk, reproduced on film or
any other medium which does not permit additions, deletions, or changes to the
original document, or reproduced on film, optical disk, or any other medium in
compliance with the minimum standards or guidelines, or both, as recommended by
the American National Standards Institute, or the Association for Information and
Image Management for recording of permanent records, or non-permanent records,
whichever applies.
(b) The device used to reproduce the record, paper, or document on film, optical disk,
or any other medium is one which accurately and legibly reproduces the original
Records Management Manual - City of San Luis Obispo, California
53 �,��
thereof in all details and which does not permit additions, deletions, or changes to
the original document images.
(c) The photographs, microphotographs or other reproductions on film, optical disk, or
any other medium are made as accessible for public reference as the original records
were.
(d) A true copy of archival quantity of the film, optical disk, or any other medium
reproductions shall be kept in a safe and separate place for security purposes.
However, no page of any record, paper or document shall be destroyed if any page cannot
be reproduced on film with full legibility. Every unreproducible page shall be permanently
preserved in a manner that will afford easy reference.
(Note: 34090-5 requires that a security copy of all records listed under 34090.(1-5) be maintained at another
location if paper copies are being destroyed. All security copies should be shipped to a storage center selected
by the city. If the paper documents are destroyed after microfilming, the film, including security copies, must
be retained for the same retention period as was established for the paper copies of the same record.)
G.G 34090.6 Destruction of recorded radio and telephone communications.
Notwithstanding the provisions of Section 34090, the head of a department of a city, county,
or city and county, public safety communications center, or the head of a special district
after 100 days may destroy recordings of telephone and radio communications maintained
by the department or the special district. such destruction shall be approved by the
legislative body and the written consent of the agency attorney shall be obtained. In the
event that such recordings are evidence in any claim filed or any pending litigation, such
recordings shall be preserved until pending litigation is resolved.
For purposes of this section, "recordings of telephone and radio communications" means the
routine daily taping and recording of telephone communications to and from a city, county,
city and county, or special district, department, and all radio communications relating to the
operations of such department or special districts.
G.G 34090.7 Duplicate records less than two years old, destruction.
Notwithstanding the provisions of 34090, the legislative body of a city may prescribe a
procedure under which duplicates of city records less than two years old may be destroyed
if they are not longer required.
For purposes of this section, video recording mediums, such as videotapes and films, shall
be considered duplicate records if the city keeps another record, such as written minutes or
an audio tape recording of the event which is recorded in the video medium. However, a
video recording medium shall not be destroyed or erased pursuant to this section for a
period of at least 90 days after occurrence of the event recorded thereon.
Records Management Manual - City of San Luis Obispo, California
54
W '
(Note: Under Section 34090.7, the City Council should pass a one-time resolution giving destruction approval
authority to department heads for duplicate records.)
G.0 40801. Record of proceedin8 books; index
The city clerk shall keep an accurate record of the proceeding of the legislative body and
the board of equalization in books bearing appropriate titles and devoted exclusively to such
purposes, respectively. The books shall have a comprehensive general index.
(Note: An Attorney General Opinion (vol. 64, pg. 317, 4/17/81) opined that where the City clerk makes an
authorized tape recording of a city council meeting to facilitate the preparation of the minutes: (a) any person
has a right to listen to the tape on equipment provided by the city, (b) any person has a right to receive a copy
of the tape which includes the right to buy a duplicate copy from the city or to make a duplicate copy on his own
equipment but does not include the right to have a written transcript made, and (c) the tape recording may be
destroyed at any time if the purpose for which it was made and retained was solely to facilitate the preparation
of the minutes of the meeting but if the tape was made or retained to also preserve its informational content for
public reference it may only be destroyed as expressly authorized by state law.)
G.0 40802 City clerk as accounting officer.
Designates city clerk as accounting officer and requires clerk to keep records reflecting
financial conditions of the city.
G.C. 40805.5. Transfer of duties to director of finance.
The financial and accounting duties imposed upon the city clerk by Sections 40802 through
40805 may be transferred to a director of finance when such office has been established and
the powers and duties thereof defined by ordinance.
G.0 4377& Record of bonds canceled
Requires a city clerk to keep a minute record of cancelled municipal bonds. Issued under
Investment Bond Act 1909 only. (See GS 34090.5)
G.C. 43783. Canceled bond entered in minutes.
Requires the legislative body of a city to make a minute record of cancelled municipal
bonds. Issued under Investment Bond Act 1909 only. (See GS 34090.5)
G.0 50110. Publications; copies for state library and university;preservation.
The legislative body, and each office, officer, or employee of a local agency, shall furnish
to clerk with three copies of each printed, mimeographed, or processed book, pamphlet,
report,bulletin, or other publication issued by them at the expense of the local agency. The
clerk shall send one copy of each publication to the-State Library at Sacramento, the
Institute of Governmental Studies of the University of California at Berkeley, and the Public
Records Management Manual - City of San Luis Obispo, California
55 Vr„D
Affairs Service of the University of California at Los Angeles, to be preserved for reference
use in those institutions.
(Note: Following are addresses for transmitting the publications.
University Research Library Government Publications Section
Public Affairs Service/Local California State Library
University of California P.O. Box 2037
405 H'%ard Avenue Sacramento, CA 95809
Los Angeles, CA 90024
Librarian
Institute of Governmental Studies
University of California, Berkeley
109 Moses Hall
Berkeley, CA 94126
At a meeting of the Library representatives and the California City Clerks Association in 1981 and 1982, the
following publications to be sent to the three designated Libraries were agreed upon:
Charter (if applicable) and changes
Municipal Code and supplements
General Plan and Elements as adopted
Annual Budget/Capital Improvement Program
Annual Reports
Option _
Rosters
General Information Booklets
Any publications or documents a city might believe is of sufficient interest,with the Libraries having the discretion
to retain, return, or destroy)
G.G 50115. Destruction of documents filed with or submitted to legislative body.
Unless another provision of law requires a longer retention period, the clerk of the
legislative body may destroy or otherwise dispose of any paper or document filed with or
submitted to the legislative body more than one year previously, unless the legislative body
determines that there is a need for its retention. In determining whether there is a need
for retaining a paper or document, consideration shall be given to such factors as future
public need,the effect of statutes of limitation, and historical significance.
G.0 53921. Right to destroy paid or canceled bonds
Under such conditions as the treasurer of a local agency fixes, with the approval of the
legislative body,he, or fiscal agents, or other duly authorized agents,may destroy or cremate
any or all bonds and any or all coupons pertaining thereto which have been previously paid
Records Management Manual - City of San Luis Obispo, California
56
or canceled.
G.0 81008 Public records: inspection and reproduction; time; charges.
(a) Every report and statement filed pursuant to this title (Political Reform Title 9) is
a public record open for public inspection and reproduction during regular business
hours, commencing as soon as practicable,but in any event not later than the second
business day following the day on which it was received. No conditions whatsoever
shall be imposed upon persons desiring to inspect or reproduce reports and
statements filed under this title, nor shall any information or identification be
required from such persons. Copies shall be provided at a charge not tot exceed ten
cents ($0.10) per page. In addition, the filing officer may charge a retrieval fee not
to exceed five dollars ($5.00) per request for copies of reports and statements which
are five or more years old. A request for more than one report or statement or
report and statement at the same time shall be considered a single request.
(b) Campaign statements shall be open for public inspection and reproduction from
9:00 a.m. to 5 pm on the Saturday preceding an election held on the first Tuesday
after the first Monday in June or November in even-numbered years in the offices
of Secretary of State,Registrar-Recorder of Los Angeles County, Registrar of Voters
of San Diego County and Registrar of Voters of the City and County of San
Francisco.
G.0 81009 Preservation of reports and statements.
(a) Original campaign statement of mayors, city council members, county supervisors,
candidates for any of these offices, and committees supporting any officeholder or
candidate shall be retained indefinitely, except that original campaign statements of
candidates not elected to these offices and of committees supporting candidates not
elected to these offices shall be retained by filing officers for a period of not less
than five years.
(b) Original campaign statements of all persons shall be retained by filing officers for a
period of not less than seven years.
(c) Original reports and statements not specified above in this section shall be retained
by filing officers for a period of not less than seven years.
(d) Copies of reports or statements shall be retained by the officer with whom they are
filed for a period of not less than four years, provided, however, that a filing officer
is not required to retain more than one copy of a report or statement.
(e) After an original report or statement or a copy has been on file for at least two
years, the officer with whom it is filed may comply with this section by retaining a
Records Management Manual - City of San Luis Obispo, California
57
copy on microfilm or other space saving materials available for public inspection
instead of the original report or statement or copy. Upon request, the officer shall
provide copies of such statements pursuant to Section 81008.
(Note: City clerks are filing officers for other municipal candidates and office-holders)
HEALTH AND SAFETY CODE
H.S.0 19850. Maintenance of building plans.
Requires the building department of every city or county to keep an official copy of the
plans of every building for which a building permit has been issued for the life of the
building. A microfilm copy may be kept in lieu of the original. Plans need not be filed for
certain types of structures (see Section 1351 of Civil Code for definitions), including:
(a) single or multiple dwellings not more than two stories and basement in height;
(b) Garages and other structures appurtenant to buildings in subsection (a);
(c) Farm or ranch buildings; and
(d) Any one-story building where span between walls does not exceed 25 feet -
exemption does not apply to steel frame or concrete building.
H.S.0 19851- Inspection and duplication of copy of plans (see Section 1351.of Civil Code for
further information regarding laws pertaining to duplicating)
The official copy of the plans maintained by the building department of the city or county
provided for under section 19850 shall be open for inspection only on the premises of the
building department as a public record. The copy may not be duplicated in whole or in part
except with the written permission of the certified, licensed or registered professional or his
successor, if any,who signed the original documents and the written permission of the owner
of such building, or by order of a proper court.
Records Management Manual - City of San Luis Obispo, California
58
STREETS AND HIGHWAYS CODE
S& H.0 2804. Application of division*
Identifies those circumstances under which Division 4,The Special Assessment Investigation,
Limitation and Majority Protest Act of 1931, does not apply.
S.& H.C. 2859. Public Inspection of report: resolution or ordinance of Intention
Requires the clerk of a legislative body, to keep reports on hearing concerning a public
acquisition or improvement.
S& H.0 311L Certification and ftlirtg of original assessment district map.
Requires the clerk of a legislative body adopting an assessment district to keep the original
map of the assessment district in his or her office.
S.& H.0 5372 Recordation of warrant, diagram, and assessment
Requires the street superintendent to keep records of warrants, diagrams and assessments
under the Improvement Act of 1911. Also requires the clerk to record a notice of
assessment.
S.& H.0 5391. Contractor's statements of Payments.*
Requires a street superintendent to keep a record of contractor's statements of payments
received upon assessments.
S.& H.0 5508 Recordation of reassessment and certificate.
Requires a street superintendent to make a record of reassessment, certified by the clerk,
under the Improvement Act of 1911.
S.& H.0 5557. Recordation of reassessment, diagram, and certificate
Requires a street superintendent to make a record, certified by the clerk, of confirmed
reassessment and diagram under the Improvement Act of 1911.
S.& H.C. 5680. Keeping of office records; evidentiary, effect of record,
Requires a street superintendent to keep those records required of him
Improvement Act of 1911. under the
Records Management Manual - City of San Luis Obispo, California
- 59
S& H.0 5685. Record of service=
Requires a street superintendent to keep a record of all notices served by him or with his
permission.
S.& H.0 5700. Powers mut duties; evidentiary effect of certificates; keeping of records;
preparation of plans.=
Requires a city engineer to keep a record of all surveys made under the Improvement Act
of 1911.
S-&
& H.0 5703. Where signed certificates or documents to be kept on file-
All
ileAll certificates or documents required to be signed by or kept on file by the engineer of
work shall be kept on file with the superintendent of streets. If a city does not have a
superintendent of streets, said certificates or documents shall be kept on file with the clerk
or such other officer of the city as may be designated for that purpose by the legislative
body.
S& H.0 6425. Register of bonds.*
Requires the city treasurer to keep a register of bonds issued under the 1911 Improvement
Act and a file on bond coupons paid.
S.& H.0 6445. Records of bonds, payments, penalties=
Requires the city treasurer to keep a record of all bonds issued by them, of all payments and
of all penalties accruing thereon.
S.& H.0 6445 Effect of payments.*
Requires the city treasurer to keep a record of the amount and date of payment of a bond
to the holder and to file the cancelled bond in their offices.
S'& H.C 6511. Record of bond sales.
Requires the city treasurer to keep a record book of sale under the Improvement Act of
1911.
S.& H.C 6512 Right-of Inspection•
Such book (see 6511) shall be open to public inspection during office hours when not in
actual use.
Records Management Manual - City of San Luis Obispo, California
60 t VO
�& IAC 6552 Filing of affidavit.
Requires the city treasurer to keep on file affidavits of notice required for the conveyance
of unredeemed property.
S& H.0 6632 Right to fee; entry of r6tstatement; effect.
Requires the city treasurer to make record of the reinstatement of an improvement bond.
(See also GC §26205 and 340905.)
S& H.C. 8672 Bond register, data required to be entered; cancellation of paid bonds and
coupons
The treasurer or the designated paying agent shall keep a register in his or her office
showing the series, number, date, amount, rate of interest, and last known holder of each
bond, and the number and amount of each interest coupon paid. The treasurer or agent
shall cancel and file each bond and coupon which he or she pays. The register, canceled
bonds, and coupons shall be retained for five years beyond last maturity of bond issue.
S.& H.0 8682 Records of auditor.*
Requires the city auditors keep records of unpaid assessments under the 1915 Improvement
Bond Act. (See also GC §26907.1.)
Records Management Manual - City of San Luis Obispo, California
61 ��
RECORDS STORAGE BOX LABEL
These can be ordered from the authorized City supply company.
' CARBON HUTERLEAVED - — 1 HDImA ,�,1U&;TM
-
®
FORM 38730 TRIPUCATELABEL FOR STORAGC BOX. DUPLICATE AND FILE COPY
Ii;--
ror'
'a.Fli„d . - .kid rap .-..'...`r4 kle:�'a• :riaiii'bn':r:rt.•.��:M .a:i.,5.n..`.:17::..'.:�
k1� STORE DATE CONTENTS DEPT
^J
kFFFy'•
r:
F•. o
�',:' {.�.#.X:vi•ti:`�r•.a s_ .;;t;�-+_.;rai�'�',1:='ter`'__
pDESTROY DATE AUTHORIZATION i
II y yy P.ry
r�.
[� 4
MAt•
4 jL,
PATENT PENDING a 7989
T(;P 1RN L iHf ! ti
�'.. '. TDP$ _ .. . .. � FL '8"Jp i ,r L!. A
"RAS .i,_,. •.fv•.l `3'y.%i r�'� • I _
Y .w..n.. _
• .•.�-w•m�. r �.'b•"Tedi:...t�+'.'1 • - .. .. �
Records Management Manual - City of San Luis Obispo, California
62 �
9z
@ Z
y
p r z A y S Z y !
= am aQ � x am ap � z a IIn
<. ;0
tl
no
mA 33
_ 0 _OM
z
.-
m'
m
..
%� z7 'tf '�•r•loil %U
y p [17 p O _ rn p �n Q
a aUn
b m
e '� Z n Z n• Z F
S
CL
n _
m
e
til ym = L ai'a
M a m n
n Z
0Lu0 0
' 63
RECORDS INVENTORY WORKSHEET
INSTRUCTIONS
The shaded area indicates the records series information;three files m the same records series can be inventoried
on one form.
Record Series Title: Brief Description of group of records being inventoried (can be the drawer
label.)
Record Series Color& Number. 1) If files are color coded, indicate color.
2) If files are filed numerically,indicate the major classification
numbers.
e-g. "Orange-550"
File #: If filed numerically, indicate file number
Subiect and Rang: Subject subclassification
e.& T40d-of-Way Easements"
Beginning and ending classification numbers, if applicable
e.g. "151-200, "A -M, "Abbot Street- Calle Joaquin", etc.
Retention Period The total retention period for the record (Active and Inactive)
P=Permanent
e.g. "P". "1999 + 2n Or 'Yemt + 2"
Period Active: The length of time the record needs to be retained in the office
e.g. "I yr", "1999", "on-going"
Period Inactive: The length of time the record should be retained in off-site storage
e.g. 12 yrs"
Destroy. When record should be destroyed
e.g. '2001, or "completion + 2 yrs"
File Pattern/Classification How the records are filed:
Alpha = Alphabetical Geo = Geographical Chron = Chronological
Num = Numerical Sub = Subject
Media PPR= Paper MFC=Mcrofiche MFR=Microfilm Rolls OD=Optical Disk
File Users: Which divisions and departments utilize the file?
If Original. Dupicate(g) at: If your record is the original,who else would have copies?
If Duplicate, Record Cony at: The Department that is the office of record
Reference Activity How frequently is the record retrieved?
light = twice a year moderate = monthly heavy = daily
Vital Records: Those documents essential to the continued functioning or reconstruction during an
emergency.
H9storical Records: Those documents which reflect significant historical events that document the history
and development of the City.
Administrative Records: Documents that facilitate the various functions of City Government. n
64
H:irmntorim �\
, wI
D
M O
3 0 �
CD
CL CL 0'
n
m
x
CD
a INS"
NColtv
m
N
A
.O
v �
m
OD
z
CD <(D m
0 0
0
D
o
CD N3 m m
om
m
CD m U3 z
' V♦
v O
m z
y cn
0
� C n
N v
v c
(D m
m �
0
0 ;o
v
v a
0
CD
CL
Cr
0 m
o a
c of
n
O
3
0
y
.Z7
m
fTD
O �
CD C m 0
m
65
le
ca G O
v
CA
_ ►ti
� � o 0
CFO
CD CL
c c ° °oCA
]
A
OOO
O ° O CA
C
CCD .» .O+ p CID C-; O 0
CD + "D� C
CD in � pt A� y- CA
O'
a nn - G ° p a C "� Oro "S7 > 77 '17 „„ C ti
rA
ao CC ' � � '�+ 'ono co c
ao' - � CCD �, ° A � ►d a y
Z cD C1
CD
CD
^' cD B cD 'coo a ti b a^ Cb
Q- n
0o O ,T �e 3 CD -+ A A -1 .O CD O
y � w �. oac c7o = pO a -o 'a O
.C7
O. O CD<< -'`T ►°+TCD �D
D �D fD '"y O' �1
CL co Cy co p' a O �D C cD �1�► ���
¢1 a ►1 „'.� H N coco P3 w
►► p .o CAD fD
o CZ
A
O.03
C rr
a
CD
tn' cD
CA _.
A ^°CD
n. T
a�
v
CL CD °, C
a n r
o cD
c aa'
w a
O C
O
O
CD
CD
fD
D
r.
r.
O
C
n
CD
.n
CDC
r.
h
m
CD
a
r„� 6\
'adoption of Retention Schedule
RESOLUTION NO. (1995 Series)
A RESOLUTION OF THE COUNCIL OF THE CITY OF
SAN LUIS OBISPO, CALIFORNIA, ADOPTING A
RECORDS RETENTION SCHEDULE AND AUTHORIZING DESTRUCTION OF
CERTAIN CITY RECORDS
WHEREAS, the maintenance of numerous records is not necessary after a certain
period of time for the effective and efficient operation of the government of the City of San
Luis Obispo; and
WHEREAS, Section 34090 of the Government Code of the State of California
provides a procedure whereby any City record which has served its purpose and is no longer
required may be destroyed; and
NOW, THEREFORE, BE IT RESOLVED the City Council of the City of San Luis
Obispo, State of California, does resolve, declare, and determine as follows:
SECTION 1. The records of the City of San Luis Obispo as set forth in the
Retention Schedule Exhibit A, attached hereto and incorporated herein by this reference,
are hereby authorized to be destroyed as provided by Section 34090 of the Government
Code of the State of California and in accordance with the provisions of said schedule upon
the request of the Department Head and with the consent in writing of the City Attorney
and City Clerk, without further action by the City Council of the City of San Luis Obispo.
SECTION 2. The provisions of Section 1 above do not authorize the destruction of:
(a) Records less than two (2) years old
(b) Records required to be kept by statute
(c) Records affecting the title to real property or liens thereon
67
(d) Court Records
(e) The minutes, ordinances, or resolutions of the City Council of the City of San
Luis Obispo or of any City Board, Committee or Commission.
SECTION 3. Notwithstanding the provision of Section 2, the duplicates of records
not less than five (5) years old which are no longer required are hereby authorized to be
destroyed as set forth in the attached Schedule A.
SECTION 4. The destruction of any records as provided herein shall be by recycling,
unless the record is confidential. Confidential records shall be shredded. All record
destructions shall be witnessed by the Department Records Coordinator.
SECTION 5. The term"records"as used herein shall include documents,instruments,
books, microforms or papers.
SECTION 6. That the City Clerk shall certify to the passage and adoption of this
resolution and enter it into the book of original resolutions.
On motion of , seconded by , and
on the following roll call vote:
AYES:
NOES:
ABSENT:
The foregoing Resolution was passed and adopted this day of , 1993.
6s 1�
U
Mayor
City Clerk
Approved as to form:
City Attorney
1 69
Destruction of Records
RESOLUTION NO. (1995 Series)
A RESOLUTION OF THE COUNCIL OF THE CITY OF
SAN LUIS OBISPO, CALIFORNIA, AUTHORIZING THE
DESTRUCTION OF CERTAIN CITY RECORDS
WHEREAS, the maintenance of numerous records is not necessary after 'a certain
period of time for the effective and efficient operation of the government of the City of San
Luis Obispo; and
WHEREAS, Section 34090 of the Government Code of the State of California
provides a procedure whereby any City record which has served its purpose and is no longer
required may be destroyed; and
WHEREAS, (City Officer and Title) has determined that the records described in
Exhibit A are no longer required; and
WHEREAS, the City Attorney and City Clerk have given their written consent to the
destruction thereof;
NOW, THEREFORE, BE IT RESOLVED the City Council of the City of San Luis
Obispo, State of California, does resolve, declare, and determine as follows:
SECTION 1. Approval be, and hereby is, granted to (City Officer and Title) to
destroy the records specified and described hereinabove.
SECTION 2. That the City Clerk shall certify to the passage and adoption of this
resolution and enter it into the book of original resolutions.
On motion of , seconded by ,and
on the following roll call vote:
vii
71
AYES:
NOES:
ABSENT:
The foregoing Resolution was-.:pmed and adopted this - : _ _ _ . ..day of - ; 1993:
Mayor
1-
City Clerk - -
-.Approved as to form:
City Attorney - - --- -- -- - .
W 72