HomeMy WebLinkAbout2015 Records Retention Policy-Schedule:„ •` City Administration
990 Palm Street, San Luis Obispo GA 93401-3249
805 781 7114
slocity org
DATE: May 28, 2015
FROM: Anthony Mejia, City Clerk
TO: Christine Dietrick, City Attorney
SUBJECT: Addition to Records Retention Schedule
In accordance with federal, state, and local regulations the following records titles should be
incorporated into the City's Records Retention Schedule.
Retention
Dept.
Code Section/
Record Series
Record Title
Period
Responsible
Remarks
704
Municipal
P
Administration
GC34090
Advocate's
Registration
Form
Please sign below indicating your approval for the addition e above listed records titles.
4.v lerk ity Attorney
Original: City Clerk's Office
RECORDS RETENTION
POLICY AND SCHEDULE
PREPARED BY THE
OFFICE OF THE CITY CLERK
CITY OF SAN LUIS OBISPO
FEBRUARY 2015
City of San Luis Obispo Records Retention Policy and Schedule Page 2
CITY OF SAN LUIS OBISPO
POLICY FOR THE PRESERVATION, PROTECTION, RETENTION AND
LEGAL DISPOSITION OF THE CITY’S RECORDS
OVERVIEW OF RECORDS MANAGEMENT
One of the purposes for records management is to ensure that information is available when it is
needed. To do this efficiently and thoroughly, records must be identified, organized, maintained
for the requisite number of years, and then documented when destroyed. Records management
encompasses all the record-keeping requirements that allow an organization to establish and
maintain control over information flow and administrative operations, seeking to control and
manage records through the entirety of their life cycle, from creation to final disposition.
A sound records management program doesn't cost—it pays. It pays by improving customer
service, increasing staff efficiency, allocating scarce resources, and providing a legal foundation
for how an agency conducts its daily mission. It helps identify and justify opportunities for new
technology. Microfilm, optical disk, optical character recognition, workflow, e-mail, and other
related technologies cannot be adequately evaluated and cost-justified without a good records
management program. Other benefits include:
Providing public access to and protecting the public's rights to inspect public records in
accordance with the California Public Records Act;
Preservation of records with long-term or permanent value;
Protection of records vital to City government in the event of a disaster;
Protection of records essential to City government, but which are referenced infrequently;
Demonstration of compliance with legal retention requirements established by federal,
state, and local authorities;
Orderly retirement and destruction of records no longer required by statute to be retained
or needed for reference;
Elimination of duplicate records filed in several departments;
Ensuring proper administration of records not subject to disclosure;
Providing protection in litigation, audits, and other disputes;
Saving space; and
Increased efficiency in information retrieval.
Understanding the importance of a good records management program is to establish policies
and procedures for the efficient and economical management of the creation, utilization,
maintenance, retention, preservation, and disposal of City records, based on federal and state
statutes governing public records. And, further, to ensure that a responsible program of records
management is practiced within the City organization, serving the best interest of the City and its
citizens.
City of San Luis Obispo Records Retention Policy and Schedule Page 3
DEFINITIONS
Public Record
Any writing containing information relating to the conduct of the City’s business prepared,
owned, used, or retained by the City regardless of physical form or characteristics.
Active Record
Records kept in the office and referred to on a regular basis.
Archives
A repository for housing historical records (whether in paper, microfilm, or digital) which should
be protected or preserved.
Disposition
The length of time a record is kept, which may be permanent.
Electronic Mail
E-mail retention is governed by the City's Electronic Mail Policy and is hereby incorporated by
reference. A hard copy of said policy is on file in the City Clerk’s Office.
Historical Record
The retention of records that have enduring value because they reflect significant historical
events or document the history and development of the City.
Inactive Record
Any public record transferred to a records center for storage until disposition is reached.
Non-Record
Materials that are not retained in the normal course of business, such as records that contain no
information of significant or lasting value such as transmittal letters, acknowledgements, and
drafts, rough notes, and calculations created and used in the preparation or analysis of other
documents.
Records Management
The systematic control of the creation, processing, use, protection, storage, and final disposition
of all public records pursuant to federal, state, and local laws and regulations.
Records Retention Schedule
The document identifying the length of time a record is maintained, including disposition.
Transitory Records
Records whose value is comparatively short-lived and should be discarded when they have
fulfilled their purpose for which they were created. Examples: 1) copies of reproduced/printed
material of general information; 2) originals/copies of documents kept solely for tickler,
suspense, or follow-up; 3) preliminary work materials used for preparation of reports, studies,
etc.; 4) duplicates/extra copies of records; and 6) appointment logs/calendars.
City of San Luis Obispo Records Retention Policy and Schedule Page 4
Vital Record
Records contain information essential for the resumption of operation after a disaster or the
reestablishment of the legal and financial status of the organization.
Writing
Any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting
by electronic mail or facsimile, and every other means of recording upon any tangible thing, any
form of communication or representation, including letters, words, pictures, sounds, or symbols,
or combinations thereof, and any record thereby created, regardless of the manner in which t he
record has been stored.
OWNERSHIP OF PUBLIC RECORDS
All public records are the property of the City and shall be delivered by outgoing officials and
employees to their successors. Public records are to be maintained in active file areas or in a
designated records center.
PRIMARY RECORD KEEPING DEPARTMENTS
City Council - The ultimate policies for the keeping, producing, permitting copies, and
management of all public records of the City shall rest with the City Council.
Officers and Employees - Each officer and employee of the City has the duty to protect,
preserve, store, transfer, destroy or otherwise dispose of, use and manage public records in
accordance with applicable federal and state regulations, or such rules as may be approved by the
City Council.
City Attorney - The duty of the City Attorney shall be to review and approve requests to dispose
of records in accordance with the City’s adopted Records Retention Schedule; and to provide
legal guidance to the City Clerk in any review of and amendment to the retention schedule, in
accordance with federal, state and city regulations.
City Clerk - The City Clerk may, for the proper and efficient management of the public records:
1. Develop and circulate instructions and regulations necessary and proper to implement the
Records Retention Schedule.
2. Advise and assist City departments in the preparation of records inventories, retention
periods, and make recommendations to the City Attorney.
3. Maintain archives to protect records of historic nature, which should not be destroyed.
4. In consultation with the City Attorney, revise the Records Retention Schedule and/or
policy as appropriate. (Resolution No. 9174)
City of San Luis Obispo Records Retention Policy and Schedule Page 5
City Department Heads - Each City Department Head shall establish and maintain an active,
continuing program for the economical and efficient management of the public records of that
department. Such program shall, among other things, provide for:
1. Effective controls over the creation, maintenance, and use of public records in the
conduct of business.
2. The maintenance and security of records deemed appropriate for preservation.
3. Segregation and disposal of records of temporary value in accordance with the
established retention schedule and this policy.
HANDLING DOCUMENTS FROM INCEPTION TO DESTRUCTION
Creating Files
Department personnel are advised to begin new files with an eye to the future disposition of the
file being created. For example, by knowing that the information/materials contained within a
new file will be retained for a specific number of years, it would be prudent to create the file on a
calendar year or perhaps fiscal year basis. Planning ahead avoids separating files later when it
comes time for storage and/or destruction. Also, reviewing the department's retention schedule
beforehand can avoid the necessity and time-consuming activity of separating permanent
information/documents from short-term materials prior to time of destruction.
One other suggestion is to ensure some level of consistency in labeling and identifying files
within a department, particularly at the time of creating new ones.
Converting Hard Copy to Electronic Formats
Government Code Section 34090.5 authorizes the conversion of hard copy materials and records
onto other electronic mediums (i.e., burning CDs or DVDs or other format reasonably accepted
within the industry, as may be determined by the City Clerk) as long as the following conditions
are met:
A. The record, paper, or document is photographed, microphotographed, reproduced by
electronically recorded video images, recorded in electronic data processing system,
recorded on optical disk, or any other medium that is a trusted system and that does not
permit additions, deletions, or changes to the original document;
B. The device or method used to reproduce the record, paper, or document reproduces the
original in all details and does not permit additions, deletions, or changes to the original
document images;
C. The reproductions are made accessible for public reference as the original records were;
and
D. A true copy of archival quality of the film, optical disk, or any other medium
reproductions shall be kept in a safe and separate place for security purposes.
City of San Luis Obispo Records Retention Policy and Schedule Page 6
If the above conditions are met, subject to system verification by the City Clerk and City
Attorney, the public official having custody of the records (Department Head) may convert the
hard copy to a permissible electronic format and destroy the hard copy.
The Secretary of State’s Local Government Records Management Guideline, Trustworthy
Electronic Document or Records Preservation Standards, and Association for Information and
Image Management’s Recommended Practice for Analysis, Selection, and Implementation of
Electronic Document Management Systems are on file with the City Clerk’s Office.
Practical Application with Current Technology
In accordance with the Secretary of State’s guidelines on “trustworthy electronic document or
records preservation” the City Clerk, in consultation with the City Attorney, has determined that
documents scanned and electronically stored in JPEG, JBIG, JPEG 2000, TIFF, or PDF-A image
format, retained in a document/library service such as Laserfiche, and the images/documents are
twice duplicated onto a trusted electronic media, such as Archival Grade DVD-R – Said hard
copies may be destroyed. Here is an example how this process might work:
1. Scan a document into Laserfiche.
a. Documents should be stored as JPEG, JBIG, JPEG 2000, TIFF, or PDF-A images.
2. Place the original hard copy (now scanned) in a banker box for pending destruction.
3. Now that several boxes of documents have been scanned and are electronically stored in
Laserfiche
a. Back-up the current Laserfiche volume onto Archival Grade DVD-R.
b. Repeat the process to create a second duplicate copy.
c. Retain one back-up DVD on-site and one back-up DVD off-site.
d. Create a new volume in Laserfiche.
4. Now that the original hard copy has been scanned, stored in Laserfiche, and twice
duplicated onto trusted media – The original hard copy may be destroyed.
DISPOSITION OF PUBLIC RECORDS
At least annually, each Department is responsible for reviewing all records in its custody.
Records that have reached the end of their retention period are to be destroyed pursuant to the
Destruction of Public Records section of this manual. Electronic versions of those records must
also be deleted at the same time.
The City Council, by adopting the Records Retention Schedule, authorizes City Department
Heads to destroy duplicate records less than two years old if the records are no longer required in
accordance with adopted retention schedules.
All original records to be destroyed must be listed. Requests for the destruction of original
records must be approved by the responsible Department Head and the City Attorney prior to
destruction. A Request for Records Destruction/Certificate of Destruction (sample 1) and listing
of documents to be destroyed (sample 2), and copy of the appropriate page(s) from the records
retention schedule shall be filed in the Office of the City Clerk.
City of San Luis Obispo Records Retention Policy and Schedule Page 7
Note: Once authority has been received to destroy records, all forms of that record must be
destroyed (or deleted): paper, microfilm/fiche, electronic format.
This section does not authorize the destruction of the following original records:
A. Records affecting the title to real property or liens thereon;
B. Records required to be kept by statute;
C. Records less than two years old; or
D. Minutes, ordinances, or resolutions of the City Council or of a City Advisory
Body.
The City has identified that shredding and recycling the paper produced from the destruction of
these records is the most appropriate method of disposal. Accordingly, although the specific
method used for destruction shall be at the discretion of the Department Head, it shall reflect a
method of destruction that recycles any paper products and avoids the use of sanitary landfill
sites.
RECORDS RETENTION CODES
A/E After expiration
AU Audit
CU Current
CL Closed/Completed
D/R Destroy when no longer relevant
E After Election
P Permanent
S Superceded
T Termination
AUTHORIZING CODE CITATIONS
CCP Code of Civil Procedure
CCR Code of California Regulations
CFR Code of Federal Regulations
EC Election Code
GC California Government Code
PC Penal Code
SLOMC San Luis Obispo Municipal Code
USC United States Code
City of San Luis Obispo Records Retention Policy and Schedule Page 8
SAMPLE 1 – Records Destruction
MEMORANDUM
DATE XX/XX/XX
TO: Department Head
City Attorney
FROM: Dept. Records Coordinator
SUBJECT: REQUEST FOR RECORDS DESTRUCTION
On April 24, 2001, the City Council adopted Resolution No. 9174 establishing a Records
Retention Policy and Schedule. In accordance wit h that policy and schedule, certain records have
been identified as eligible for destruction. A listing of those records and relevant sections from
the records retention schedule are attached.
Provide general information about the request: (Example: 15 boxes of records exceeding the
retention requirements and, as such, are being prepared for destruction. The method of
destruction will be via recycling.)
Please sign below indicating your approval for the destruction of the attached listing of records.
___________________________________ __________________________________
Department Head City Attorney
CERTIFICATE OF DESTRUCTION
I, (employee name), do hereby certify that the records listed on the attached were properly
disposed of on (date).
___________________________________
Original: City Clerk’s Office
Copy: Department
Attachments:
1. List of records to be destroyed
2. Relevant sections of the records retention schedule
City of San Luis Obispo Records Retention Policy and Schedule Page 9
SAMPLE 1- Records Destruction List
RECORD FOR DESTRUCTION
FINANCE STORAGE ROOM
TO BE DESTROYED MARCH 2015
DEPT/DIV
CREATION
YEAR
DESTROY
YEAR
DESCRIPTION
Accounting 2000 2005 Receipt Journals, Budget Amendments
Accounting 2001 2006 Receipt Journals, Budget Amendments
Accounting 2002 2007 Receipt Journals, Budget Amendments
Accounting 2003 2008 Receipt Journals, Budget Amendments
Accounting 2004 2009 Receipt Journals, Budget Amendments
Accounting 2000 2010 Receipt Journals, Budget Amendments
Admin 2000 2010 Department Policies
Admin 2000 2010 City Manager Reports
Admin 2000 2010 Staff Meeting Notes
Admin 2000 2010 In House Committees
AP 2003 2006 General Correspondence
AP 2004 2007 General Correspondence
AP 2005 2008 General Correspondence
AP 2006 2009 General Correspondence
City of San Luis Obispo Records Retention Policy and Schedule Page 10
SAMPLE 2 – Conversion to Electronic Records
MEMORANDUM
DATE XX/XX/XX
TO: City Clerk
City Attorney
FROM: Dept. Records Coordinator
SUBJECT: CONVERSION OF HARD COPY TO ELECTRONIC RECORDS
In accordance with the City’s Records Retention Policy, certain records have been identified as
being eligible for conversion from hard copy to electronic copy and will be maintained with a
trusted system as described in the Secretary of State Guidelines for Trustworthy Electronic
Document or Records Preservation Standards.
Record Titles to be eligible for electronic retention:
Example:
Payroll
Payroll Charges
Payroll Reports
Time Sheets
Please sign below indicating that the record titles are appropriate for electronic retention and the
retention system meets the requirements of the records retention policy.
Department Head City Attorney City Clerk
Original: City Clerk’s Office
Copy: Department
City of San Luis Obispo Records Retention Policy and Schedule Page 11
SAMPLE 3 – Addition to Retention Schedule
MEMORANDUM
DATE XX/XX/XX
TO: City Clerk
City Attorney
FROM: Dept. Records Coordinator
SUBJECT: ADDITION TO RECORDS RETENTION SCHEDULE
In accordance with federal, state, and local regulations the following records titles should be
incorporated into the City’s Records Retention Schedule.
Record Series Record Title Retention
Period
Dept.
Responsible
Code Section/
Remarks
100 Action Update 2 Administration GC34090
Please sign below indicating your approval for the addition of the above listed records titles.
Department Head City Attorney City Clerk
Original: City Clerk’s Office
Copy: Department
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
COPIES or DUPLICATES of documents for which a department is not
the office of record
D/R Duplicates and copies distributed to various departments for informational purposes
may be destroyed by the departments when they are no longer useful for reference.
No "Request for Records Destruction" form is required.
ELECTRONIC DOCUMENTS Electronic copies of paper records should be kept no longer than the retention
period specified in this schedule. If electronic documents are also in a paper format,
both must be destroyed at the same time.
100 GENERAL ADMINISTRATION
101 OFFICE GENERAL MANAGEMENT
City Manager (CM) Reports 5 Various GC34090
City-Generated Informational Brochures, Publications, Newsletters P Various GC34090 Keep one for historical purposes
City-wide Policies and Procedures P Various GC34090 Keep one for historical purposes
Correspondence - External 2 Various GC34090
Correspondence - Internal (excluding CM Reports - see above)2 Various GC34090
Departmental Policies/Procedures S+5 Various GC34090
General Information 2 Various GC34090
In-House Committees CU+5 Various GC34090 May be kept for research/historic purposes
Staff Meeting Notes 2 Various GC34040
102 OFFICE REFERENCE
Annual Departmental Reports 5 Various GC34090
Certificates of Life 5 Clerk GC34090
Chronological Files 2 Various GC34090
Community Organizations 5 Various GC34090
Complaints 2 Various GC34090
General Information 2 Various GC34090
Positive Feedback (How are we doing? forms)2 Various GC34090
Professional Associations 2 Various GC34090
Publications (journals, periodicals)D/R Various Not a public record. No "Request for Records Destruction" form is required.
103 FORMS MANAGEMENT
Blank Forms S Various No "Request for Records Destruction" form is required.
104 RECORDS MANAGEMENT
Certificates of Destruction P Clerk GC34090 Legal record of final disposition of document.
Public Records Requests 2 Various GC34090
Records Retention Schedule S+5 Clerk CCP 343
200 COMMUNITY DEVELOPMENT
201 CITY PLANNING
Address Files P Planning GC34090(a)
Business Tax Certificates P Planning GC34090(a)
Code Enforcement Files P Building GC34090(a) Microfilm after 5 years
Construction Files P Building GC34090(a) Microfilm immediately after final inspection
Construction Permits (numeric)P Building GC34090(a) Microfilm one year after final inspection
Home Occupation Permits P Planning GC34090(a)
Inspection Cards P Building GC34090(a) Microfilm and retain original cards
Notices of Address Change P Planning GC34090(a)
Notices of Determination P Planning GC34090(a)
Notices of Exemption P Planning GC34090(a) Microfilm
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Project Files: Administrative Use Permit; Planning Commission Use
Permit; Planned Development; Certificate of Compliance; Architectural
Review; Architectural Review Minor and Incidental; Environmental
Review; General Plan; Specific Plan; Text Amendment; Rezone; City
Initiated Rezone; Annexation; Variance; Lot Line Adjustment; Street
Name Change; Other
P Planning GC34090(a) Microfilm after 2 years
Recorded Agreements: Residents/Covenants, Affordability, First-Time
Home-Buyer, etc.
P Clerk GC34090(a) (Filed under 704-06 in City Clerk's office in Housing Agreement
section by property address.)
Sign Inventory Files 2 Planning GC34090
Sign Permits 2 Building GC34090
Tentative Tracts and Minor Subdivisions P Planning GC34090(a) Film after minimum of 10 years.* See Public Works for final maps.
Unreinforced Masonry Files (structural analysis)P Building GC34090(a)
300 CITY MANAGEMENT
301 COUNCIL FILES
Appeals Heard by Council P Clerk GC34090
Appeals not Heard by Council CL+2 Various GC34090
Audio Tapes or Liberty System 6 mos Clerk GC34090.7
Cablecast Schedule for Gov. Access Channel 20 2 Clerk GC34090
Council Agenda Packets P Clerk GC34090
Council Brochures P Clerk GC34090 Keep one for historical purposes
Council "Notes"2 Admin GC34090
Council Policies & Procedures P Clerk GC34090 Keep one for historical purposes
Council Resumes CU+2 Admin GC34090
Council Subcommittee Assignments 8 Clerk GC34090
DVDs of Council and Planning Commission Meetings P Clerk GC34090.7
Hot Files 2 Admin GC34090
Minutes P Clerk GC34090(e)
Oaths of Office P Clerk GC34090
Petitions to Council 5 Clerk GC34090 Advisory, non-election related. (If submitted to Council, retain permanently
with agenda packet.)
Proclamations 2 Clerk GC34090
Proposition 218 Protest letters P Clerk State Constitution
Public Comment and Speaker Slips 2 Clerk GC34090
Red File Items (i.e; correspondence)P Clerk GC34090 Original red file is part of the agenda packet
Resolutions and Ordinances P Clerk GC34090(e)
302 COMMISSIONS, COMMITTEES, BOARDS
Agenda/Agenda Packets P Various GC34090
Audio Tapes 2 Various GC34090.7
Bylaws P Various GC34090(e)
Membership File: (Appointed AB members applications, oaths,
correspondence, etc.)
T + 5 Clerk GC34090
Applications (not appointed)2 Clerk GC34090
Minutes P Various GC34090(e)
Recruitment File: Includes correspondence, Maddy Act notices, misc.
ads, and information
2 Clerk GC34090
Resolutions P Various GC34090(e)
Rosters S+5 Clerk GC34090
304 CITY ADVISORY BODIES
Advisory Body Handbook P Clerk GC34090 Keep one for historic reasons
Advisory Body Training 5 Clerk GC34090
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Annual Advisory Body Recognition 5 Clerk GC34090
Miscellaneous/Ad Hoc Advisory Bodies CU+5 Clerk GC34090
Quarterly Advisory Body Chair Meetings with Mayor 5 Clerk GC34090
400 FINANCIAL AND FISCAL
401 ACCOUNTS PAYABLE
Accounts Payable Reports AU+5 Finance & IT GC34090
Accounts Payable Supporting Docs (voucher, invoice, PO)AU+5 Finance & IT GC34090
Bank Statements AU+5 Finance & IT GC34090
Tax Reports (1099 Tax Info/Returns)AU+11 Finance & IT 41CFR50-201.501
402 ACCOUNTS RECEIVABLE
Assessment Pay-offs AU+4 Finance & IT GC34090(c)
Business Tax Customer Files AU+4 Finance & IT GC34090(c) / SLOMC3.01.501(B)
Cash Receipts AU+4 Finance & IT GC34090(c)
Credit Bureau Adjustments AU+4 Finance & IT GC34090(c)
Invoices AU+4 Finance & IT GC34090(c)
Journal Entries AU+4 Finance & IT GC34090(c)
Refunds AU+4 Finance & IT GC34090(c)
Revenue Backup AU+4 Finance & IT GC34090(c) / SLOMC3.16.190 / SLOMC3.04.110
Transient Occupancy Tax AU+4 Finance & IT GC34090(c)
403 MISCELLANEOUS
Budget Amendment Request (BAR)AU+4 Finance & IT GC34090
Checks, Canceled AU+6 Finance & IT GC34090(c) / CCP337
General Correspondence AU+4 Finance & IT GC34090
406 PAYROLL
Payroll Charges AU+4 Finance & IT GC34090(c) / CFR516.2
Payroll Reports AU+10 Finance & IT GC34090(c)
Tax Reports AU+11 Finance & IT GC34090(c) / CFR516.2
Time Sheets AU+4 Finance & IT GC34090(c) / CFR516.2
408 GRANTS
Community Development Block Grants (CDBG)T+4 Planning 24CFR570.502
Federal Grants, including FEMA / Other Emergencies (Applicants,
reports, contracts, supporting documents)
CL+5 Various GC34090
Grants-in-aid (Applicants, reports, contracts, supporting documents)CL+5 Various GC34090
State Grants (Applicants, reports, contracts, supporting documents)CL+5 Various GC34090
411 UTILITY BILLING
Credit Bureau Assignments AU+4 Finance & IT GC34090(c)
Meter Reads AU+4 Finance & IT GC34090(c)
Payment Stubs & Tapes AU+2 Finance & IT GC34090(d)
Purge Tapes AU+4 Finance & IT GC34090(c)
Refunds AU+4 Finance & IT GC34090(c)
Service Requests AU+4 Finance & IT GC34090(c)
Utility Billing Register AU+4 Finance & IT GC34090(c)
412 FINANCIAL REPORTS
Audited Financial Statements P Finance & IT GC34090(c)
Bonds Payable and Other Long-Term Indebtedness T+3 Finance & IT GC34090(c) / CCP337.5 / GC53921
Budget Document (Financial Plan)P Finance & IT GC34090(c)
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Fixed Asset Subsidiary Ledger (includes inventory)AU+5 Finance & IT GC34090(c) / 26CFR301-65-1(f)
Monthly Financial Statements AU+5 Finance & IT GC34090(c)
Other Financial Reports AU+4 Finance & IT GC34090(c)
State Controller Reports AU+10 Finance & IT GC34090(c)
Surplus Property List AU+4 Finance & IT GC34090(c)
500 HUMAN RESOURCES
Applications (unsuccessful applicants)CL+5 HR 29 CFR 30.8 / GC12946
Department of Motor Vehicles Records T+1 HR GC12946
Discrimination Complaint T+5 HR 29 USC 255 (a)
Employee Discipline T+3 HR GC34090(c)
Employee Files T+5 HR 45CFR1068.6APPA / 29CFR1627.3 / SLOMC11.04.010(H)
Employment Eligibility Verification - Immigration/Naturalization
Service (I9 Form)
T+3 HR GC34090(c)
Equal Employment Opportunity Reports 3 HR GC34090(c)
General Correspondence 2 HR GC34090
Insurance/Benefits AU+4 HR 29CFR1627.3(b)(2)
Labor Negotiations T+3 HR GC34090(c)
Risk Management Claims Against The City CL+5 HR GC34090
Risk Management Reports CL+5 HR GC34090
Safety T+3 HR GC34090(c)
Temporary Employees T+5 HR 45CFR1068.6APPA / 29CFR1627.3 / SLOMC11.04.010(H)
Tuition Reimbursement AU+3 HR GC34090(c)
Workers Compensation T+30 HR 29CFR1910.20
600 PURCHASING & CONTRACTING
601 PURCHASING
Bids, RFPs (unsuccessful)CU+2 Various GC34090 / CCP337 / SLOMC3.24.170
Bids, RFPs, RFQs (successful)AU+5 Various GC34090 / CCP337 / SLOMC3.24.170
City-Owned Property/Property Management P Clerk GC34090(a)
General Information 2 Various GC34090
Surplus Property Auction/Disposal AU+4 Finance CCP337
Surplus Property Listing AU+2 Finance GC34090
700 LEGISLATIVE AND LEGAL
701 LEGISLATIVE
Affidavits of Publication CU+4 Various GC34090
Certificates of Posting CU+4 Various GC34090
Charters-Listed Numerically with Amendments P Clerk GC34090(e)/GC40806
Citizens’ Charter Committee P Clerk GC34090
Council Ordinances P Clerk GC34090(e)
Council Resolutions P Clerk GC34090(e) / GC40806
Grand Jury 2 Clerk GC34090
League of CA Cities 2 Clerk GC34090
Legal Notices, Legal ads, and Display Ads CU+4 Various GC911.2; GC34090
Legislation: County, Federal, State 2 Clerk GC34090
Municipal Code P Clerk GC34090(e) Database on City network/Keep one for historic value
Notices of Adjournment 2 Various GC34090
702 ELECTION
Absentee Voter applications (copies of)E+6 mos.Clerk EC17505(b) Confidential
Application to view: voter registration info, AV voter lists 5 Clerk EC2188
Ballots: all, voter ID envelopes and ballot receipts, manual tally
sheets, logic/accuracy tests, other ballot-related docs
E+6 mos.Clerk EC17302; EC17306 (if no legal action) Confidential
Campaign Disclosure Statements:
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Successful Candidates P Clerk GC81009(b)
Unsuccessful Candidates E+5 Clerk GC81009(b)
Other T+7 Clerk GC81009(e)
Election correspondence E+2 Clerk GC34090
Election documents: expenses, proofs, night logs E+2 Clerk GC34090
Election history P Clerk GC34090
Election notices, publications, certificates E+2 Clerk GC34090
Initiative, Referendum, Charter Amendments, Recall Petitions After Certification of
results + 8 months
Clerk EC17200/EC17400 Confidential
Municipal Election File/Sample Ballots P Clerk GC34090
Nomination Papers:
Successful Candidates P Clerk EC17100
Unsuccessful Candidates E+5 Clerk EC17100
Precinct Board Appointments - appointment of precinct oficials E+6 mos.Clerk EC17503(b)
Precinct hand tally, copies of index, challenge list, assisted voter list E+6 mos.Clerk EC17304 Confidential
Roster of voters, original indices (precinct board)E+5 Clerk EC17300(a) (if no legal action)
703 CITY ATTORNEY
Administrative Files CU+5 City Attorney GC34090
Civil Litigation CL+10 City Attorney GC34090(b)
Civil Litigation regarding Property (including settlement and releases)P City Attorney GC34090(a)
Criminal Cases going to court CL+5 City Attorney GC34090(b)
Criminal Citations CL+2 City Attorney GC34090
Legislative Files CU+2 City Attorney GC34090
704 GENERAL LEGAL
Agreements/Contracts (consultants, purchase agreements, and others
not shown elsewhere in the retention schedule)
CU+5AE Various CCP337
Claims/Subpeona Logs 2 Clerk GC34090
Donor and Donation Agreements P Clerk GC34090
Ethics Training Certificates CL + 5 Clerk GC34090
Housing Agreements (Includes recorded and other related
agreements)
P Clerk GC34090(a)
Joint Powers Authorities CL + 10 Clerk GC34090
Lease Agreements of Real Property (long-term; i.e., more than five
years)
CL + 5 Clerk GC34090
Liens P Clerk GC34090(a)
Public Art Agreements P Clerk GC34090
Recorded Documents (Abandonments, Deeds, Easements,
Reconveyances)
P Clerk GC34090
Williamson Act Contracts P Clerk GC34090(a)
706 CAPITAL IMPROVEMENT BOARD
CIB Agreements/Contracts P Clerk CCP337
CIB Establishment/Bylaws P Clerk GC34090(e)
CIB Resolutions/Ordinances P Clerk GC34090(e)
General Correspondence 2 Finance GC34090
Minutes P Clerk GC34090(e)
707 STATEMENTS OF ECONOMIC INTEREST
General Correspondence 2 Clerk GC34090
Statements of Economic Interest (87200 Filers)T+7 Clerk GC81009(e) & CCAC Guidelines
Statements of Economic Interest (City Code Filers)7 GC81009(e)
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
709 PUBLIC INFORMATION/COMMUNITY RELATIONS
Consumer Price Index (CPI)CU+2 Various GC34090
General Correspondence 2 Various GC34090
Press Releases CU+2 Various GC34090
800 PUBLIC WORKS
801 ENGINEERING
Contractor Bids (not awarded)CL+2 Public Works GC34090 Exception: Federally funded: 3 year retention period or as required by the
funding authority.
Encroachment Permits CL+4 Public Works GC34090
Engineering Standards P Public Works GC34090(a)
General Correspondence 2 Public Works GC34090
Job Files: Certified payroll; pay estimates; original bid documents; legal
ads; preliminary notices/liens; engineer's daily logs or inspector's
diaries; DAS13
CL+2 Public Works GC34090 Federally funded or as req'd by the federal authority
Job Files:Org. specials w/autocad drawings, photos/video tapes for
historic value; agrmnts; CMR/CAR; change orders; env docs; final pay
est. w/attach; notice completion; haz waste manifests/transp docs; ins
certs; perform bonds; proposals; spec reports (haz mat, bio, soils),
submtls (matls, draw), warranty, as-built daily logs or inspectors'
diaries; bids/plans/specs
P Public Works GC34090
Final Tracts and Minor Subdivisions (includes subdivision
improvement agrees; development agrees; in-lieu agrees)
P Public Works GC34090(a) Film after minimum of 10 years*. See Community Development for
Final maps
802 STREET ADDRESS FILES
General Information 2 Public Works GC34090
Street Files 10 Public Works GC34090
803 MASS TRANSPORTATION
General Information 5 Public Works GC34090
Local-SLO Municipal Bus System CU+10 Public Works GC34090
Regional Elderly/Handicapped Transit CU+2 Public Works GC34090
Taxicabs CU+5 Public Works GC34090
Transportation Permits CU+2 Public Works GC34090
Unmet Transit Needs CU+10 Public Works GC34090
804 PARKING
Downtown Parking Study P Public Works GC34090
General Information 2 Public Works GC34090
Parking Appeals CU+2 Public Works GC34090
Parking Citations CU+2 Public Works GC34090
Parking Meters CU+5 Public Works GC34090
Parking Policies CU+5 Public Works GC34090
Ridesharing/Car Pool Program CU+5 Public Works GC34090
806 DISTRICTS
Assessment Districts CL+10 Public Works/Clerk GC34090 Note: original documentation in City Clerk's Office
Benefit Districts CL+10 Public Works/Clerk GC34090 Note: original documentation in City Clerk's Office
General Information 2 Public Works GC34090
Geologic Hazard Abatement Districts CL+10 Public Works GC34090
Residential Parking Districts CL+10 Public Works GC34090
Underground Utilities CL+10 Public Works GC34090
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
807 SURVEYING
General Information 2 Public Works GC34090
808 MAPPING
Aerial Photos CU+10 Public Works GC34090
General Information 2 Public Works GC34090
809 FACILITIES MAINTENANCE
Corporation Yard CU+10 Public Works GC34090
General Information CU+10 Public Works GC34090
Golf Course Maintenance CU+10 Public Works GC34090
Government Building Maintenance CU+10 Public Works GC34090
Library Maintenance CU+10 Public Works GC34090
Parking Facilities CU+10 Public Works GC34090
Recreation Facilities Maintenance CU+10 Public Works GC34090
Street Landscape Maintenance CU+10 Public Works GC34090
Swimming Pool Maintenance CU+10 Public Works GC34090
810 STORM DRAINAGE/FLOOD CONTROL
Creek Policies S+2 Public Works GC34090
Drainage Complaints CU+2 Public Works GC34090
Drainage Maps CU+5 Public Works GC34090
Flood Management CU+2 Public Works GC34090
Flood Studies/Detention Dams CL+10 Public Works GC34090
General Information 2 Public Works GC34090
Storm Drain & Water Way Program CU+10 Public Works GC34090
Storm Water Management Plan 5 Public Works GC34090
Zone 9 Master Plan S+10 Public Works GC34090
811 PUBLIC IMPROVEMENTS
Cost Estimating CU+2 Public Works GC34090
General Information CU+2 Public Works GC34090
812 TRAFFIC OPERATIONS (STREETS, HIGHWAYS, BRIDGES)
Abandonments P Public Works GC34090(a)
Bicycle Lanes/Paths P Public Works GC34090 Microfilm for research/historic value
Bridges and Creeks CL+3 Public Works GC34090
General Information 2 Public Works GC34090
Pavement Management Plan CL+5 Public Works GC34090
School Related CL+5 Public Works GC34090
Street Signs & Pavement Markings CL+5 Public Works GC34090
Street Widening P Public Works GC34090(a)
Traffic Patterns CL+5 Public Works GC34090
Traffic Regulations CL+3 Public Works GC34090
Traffic Safety CL+5 Public Works GC34090
Traffic Signals & Street Lights CL+5 Public Works GC34090
Traffic Studies CL+10 Public Works GC34090
900 INFORMATION SYSTEMS
901 GENERAL COMPUTER INFORMATION
General Information 2 Finance & IT GC34090
Hardware S+2 Finance & IT GC34090
Software S+2 Finance & IT GC34090
Training Programs CL+2 Finance & IT GC34090
Video monitoring tapes 1 Finance & IT GC34090.6(a)
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
1000 REAL ESTATE
1001 CITY OWNED PROPERTY
Appraisals CL+2 Various GC34090
Recorded Documents pertaining to: Buildings, excess right of way,
land, parks (Deeds/Easements are filed under 704)
P Clerk GC34090(a) Recorded documents are filed 704 and are kept by the City Clerk
1100 PARKS & RECREATION & CULTURE
1101 PARKS AND RECREATION
Accident / Injury Reports -- Event Participants CU+7 P&R GC34090
Banner Applications and Permits CU+5 P&R GC34090
CAL-OSHA Department Tailgates CU+7 P&R GC34090
Contract Instructors Contracts CU+5 P&R GC34090
Contract Classes Waivers, Rosters CU+5 P&R GC34090
Children Services billing/Facilities/Pool 2 P&R GC34090
Facility Rental Information CU+2 P&R GC34090
Facility Use Permits CU+5 P&R GC34090
General Information (original correspondence)2 P&R GC34090
Golf cart liability release forms CU+5 P&R GC34090
Homeless Camp postings 5 P&R Penal Code 602 et al.
How Are We Doing Forms CU+2 P&R GC34090
Pesticide Certification records (use, purchase, training, MSDS)CU+4 P&R GC34090
Playground Audits P P&R GC34090(a)
Press Release CU+3 P&R GC34090
Public Facilities (Including pools and parks): Capital Improvements and
Construction
10 Public Works GC34090(a)
Public Facilities (Including pools and parks): Maintenance and
Operations
10 Public Works GC34090(a)
Scholarships CU+2 P&R GC34090
Special Event Permits CU+5 P&R GC34090
Sports Waivers CU+3 P&R GC34090
Triathlon Waivers CU+5 P&R GC34090
1200 UTILITIES/PUBLIC SERVICES
Conservation - Administrative Citations 3 Utilities GC34090
Franchise - San Luis Garbage P Clerk GC34090
Franchise - Cable TV Systems P Clerk GC34090
Franchise - Pacific Gas & Electric P Admin GC34090
Franchise - The Gas Co. (aka Southern California Gas Co.) P Admin GC34090
Franchise - Tosco and Union Oil Co.P Attorney GC34090
General Correspondence 2 Utilities GC34090
Industrial Waste Closed Permit files 3 Utilities 40CFR
Laboratory documentation and reports P Utilities 40CFR + Historical
Laboratory documentation and reports P Utilities 40CFR + Historical
Master Plans S+10 Utilities GC34090
Nacimiento Water Supply P Utilities Ongoing project
NPDES Permit P Utilities 40CFR
Pretreatment Annual Reports 3 Utilities 40CFR
Recycling and Demolition Plans 3 Utilities GC34090
Salinas Dam & Reservoir - Original Agreements P City Clerk GC34090
Salinas Dam & Reservoir - Documents other than Original Agreements P Utilities GC34090
SWRCB Grant & Loan documentation CL+30 Utilities GC34090
SWRCB Rights & Permits P Utilities 40CFR
SWRCB--Water Rights/Permits P Utilities 40CFR
Utilities brochures, pamphets, public information P Utilties GC34090 + Historical purpose
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Utilties Rebate applications 3 Utilities GC34090
Water & Wastewater Management Plans S+2 Utilities 40CFR
Water & Wastewater Studies CL+10 Utilities GC34090
Water Quality Reports P Utilities GC34090
Water Reuse - SWRCB & NMFS reporting P Utilities 40CFR + Historical
Water Treatment Plant - Dept of Public Health reports P Utilities 40CFR + Historical
Water Treatment Plant - EPA reports P Utilities 40CFR + Historical
Wells & Groundwater information P Utilities GC34090
Whale Rock Financial Plans and Statements P Utilities GC34090
Whale Rock/Minutes P Utilities GC34090
WRF Annual Discharge Monitoring Reports P Utilities 40CFR + Historical
WRF Monthly Discharge Monitoring Reports 2 Utilities 40CFR
1300 POLICE
Administative Accident Review CL+5 Police GC34090
Administrative/Internal Investigations CL+5 Police GC34090
All Arrest Reports
P Police GC34090 Electronic records only with the exception of mandated destruction
pursuant to sections: PC 290(d)(4) & 851.8, H&S 11361.5(a),(b),(d),&(e), W&I
781(a), 826(a), 826(b).
Arrest and Citation Register 2 Police GC34090
Arson Registrant - Adult P Police PC 457.1(b)2
Arson Registrant - Juvenile P Police W&I 781
Audio Recordings- Telephone and Radio 2 Police GC34090.6 - Electronic records only
Background Investigations T+5 Police GC34090
Background Investigations - Not Hired CL+2 Police GC34090
Child Abuse, Neglect, Molest P Police PC 799
Citations 2 Police GC34090 - Electronic records only
Citizen Complaints CL+5 Police GC34090
Collision Reports 5 Police GC24090 and GC34090.7 - with the exception of fatality reports
Concealed Weapon Permit Records A/E+2 Police GC34090
Confidential Informants 2 Police GC34090
Court Log 2 Police GC34090 - Electronic records only
Daily Calls for Service Log 2 Police GC34090
Death cases P Police GC34090
Embezzlement of Public Funds P Police PC 803
Employee Training Records T+5 Police GC34090(c)
Fatal Traffic Collision P Police GC34090(c)
Felony capital crimes, crimes punishable by death/life in prisonment
P Police PC 799 - Case by case determination as to whether stored electronically or paper
Felony Crime reports 10 Police PC 804
Fire Arms - lost or stolen CL+5 Or P Police CLETS P&P - Permanent until weapon is located
Health &Safety Codes Sections-11357(b),(c),(d), or (e) or H&S 11360
2 Police H&S 11361.5(a) - Exception: violation H&S 11357(e) by a juvenille.
Homicides P Police PC 799
Incident and Non-criminal Reports
5 Police GC34090 - Electronic records with the exception of death and missing persons
cases
Juvenile Detention Logs/Survey/Monthly reports CU+2 Police GC34090
Kidnapping - Active P Police CLETS P&P
Massage, Taxi, Permits CL+2 Police GC34090/SLOMC 5.56.150
Misdemeanor and Infraction violation cases
5 Police GC34090 with exceptions: related unserved warrants, identifiable items which have
not been recovered, unadjudicated arrests (except H&S 11357/11360), presently
involved in civil or criminal litigation
Missing Persons - Active P Police CLETS P&P
Narcotics Registrant P Police H&S 11594
News Releases (Press Releases)5 Police GC34090 - Electronic records only
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
Officer involved shooting CL+25 Police GC34090
Operations Directive Manual P Police GC34090
Public Intoxication Arrest Report 10 Police 647F PC
Recovered Stolen Vehicle Reports 5 Police CLETS P&P - Electronic records only
Reports involving seized weapons retained by City Police 10 Police CLETS P&P - Electronic records only
Sex Cases P Police Electronic for case reference
Sex Registrant files - Adult P Police PC 290(a)(2)(f) - Electronic records only
Sex Registrant files - Juvenile P Police W&I 781
Special Orders Manuals P Police GC34090 - Keep one for historical purpose
Statistical UCR Report P Police GC34090 - Keep one for historical purpose
Subpoena Log 2 Police GC34090
Survey Responses 2 Police GC34090 - Electronic records only
Use of Force Reports 5 Police GC34090
Video Recordings - in-car video footage
2 Police GC34090.7/CCP 335.1 - with the exception of information held for evidence.
Electronic records only.
Note: See Police procedures for more specific information
regarding retention of electronic vs. paper records.
1500 FIRE
Apparatus/Vehicle (Repair and Maintenance: Department Mechanic)T+2 Fire GC34090 / 8CCR3203
Arson Investigations - Evidence (Support prosecution resulting in
homicide)
P Fire PC799
Arson Investigations - Evidence (Great bodiliy harm, inhabited
structure or property)
CL+6 Fire PC800
B/C & Staff Logs 5 Fire GC34090
Captain's Log (Fire Station Journals: Activities, personnel, engine
company--historical)
P Fire GC34090
Disaster - Major Event Log P Fire GC34090(c)
Disaster Plans S+2 Fire SLOMC2.24.080
Emergency Operations Guidelines S+2 Fire GC34090
Employee Records T Fire GC34090 Then transferred to Human Resources
EMS/Liability Reports 4 Fire GC34090
Equipment & Supplies Inventory 3 Fire GC34090
Exposure - Personnel (Laboratory reports and worksheets)T+2 Fire GC34090
Exposure - Personnel (Sampling results, collection, methodology,
background)
T+30 Fire 29CFR1910.1020
Fire Code Books S+5 Fire GC34090.7
Fire Dept. Staff Reports (Non-Council agenda related, includes
supporting documentation)
P Fire GC34090
Fire Equipment/Gear Logs 3 Fire GC34090
Fire Station Construction and Acquisition P Fire GC34090(a)
Fumigations CU+2 Fire GC34090
General Information 2 Fire GC34090
General Operations Guidelines S+2 Fire GC34090
Hazardous Materials-Storage Permits CL+2 Fire GC34090 May keep longer
Hazardous Materials-Undergound Storage Tank (Location, installation,
removal, remediation)
P Fire GC34090(a)
Inspection Request/Complaint CL+3 Fire GC34090 / CCP338 / CCP340.5
Inspections - Fire Prevention (Alarm/sprinkler systems, prevention
efforts)
CL+3 Fire GC34090
Media Events - Department P Fire GC34090
Mutual Aid Activities 6 Fire GC34090
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated
CITY OF SAN LUIS OBISPO RECORDS RETENTION SCHEDULE
RECORD TITLE TOTAL OFFICE RESPONSIBLE CODE SECTION
RETENTION FOR RETENTION AND REMARKS
PERIOD DISPOSITION OF RECORD
"Run" Reports (Incidents)4 Fire GC34090
Tailboard Safety Sheets 4 Fire GC34090
Weed Abatement CL+2 Fire GC34090
AE=After Expiration AU=Audit CL=Closed/Completed CU=Current D/R=Destroy when no longer relevant E=After Election P=Permanent S=Superceded T=Terminated