HomeMy WebLinkAboutSecretary of State Local Government Records Management Guidelines
SECRETARY OF STATE
LOCAL GOVERNMENT
RECORDS MANAGEMENT GUIDELINES
SECRETARY OF STATE DEBRA BOWEN
ARCHIVES DIVISION
RECORDS MANAGEMENT
(916) 653-3834
FEBRUARY 2006
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LOCAL GOVERNMENT
RECORDS MANAGEMENT GUIDELINES
TABLE OF CONTENTS
CALIFORNIA GOVERNMENT RECORDS MANAGEMENT PROGRAM………...2-1000
BACKGROUND………………………………………………….…………….2-1010
AUTHORITY…………………………….………………………………………2-1020
DEFINITIONS…………………………………………………………………..2-1030
RECORDS MANAGEMENT…..………………………………………………………..2-2000
PRINCIPLES…………………………………………………………………….2-2010
INVENTORY………………………………..…………………………………..2-2020
APPRAISAL AND SCHEDULING………………..………………………….2-2030
RETENTION SCHEDULES…………………………..……………………….2-2040
DISPOSITION OF RECORDS………………….…………………………….2-2050
SUMMARY……………………………………..……………………………….2-2060
ACKNOWLEDGEMENT………………………………………………….……2-2070
ADMINISTRATIVE RECORDS – TYPICAL RETENTION PERIODS…..………ATTCH A
RECORDS MANAGEMENT AND ARCHIVES RESOURCES …………………ATTCH B
CITY RECORDS RETENTION GUIDELINES……………….……………………ATTCH C
COUNTY RECORDS RETENTION GUIDELINES………….……………………ATTCH D
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LOCAL GOVERNMENT RECORDS MANAGEMENT
GUIDELINES
California Government Records Management Program 2-1000
Background 2-1010
In 1968 the Legislature passed the California Public Records Act (PRA) (Government
Code, Section 6250 et seq.) which is modeled after the federal Freedom of Information
Act and details what government information is, and is not, available to the public. In
general, all records are open to the public except 28 specific exemption categories
listed in PRA, Section 6254. The PRA applies to all records, in whatever form,
maintained by either state or local public agencies.
In 1978 the Information Practices Act (IPA) (California Civil Code, Section 1798 et seq.)
became effective to protect personal privacy rights for individuals. The IPA is modeled
after the Federal Privacy Act of 1974 and supercedes portions of the PRA. It does not
apply to local public agencies except under voluntary contractual agreements.
The State Records Management Act (Government Code, Section 14740-14774)
requires the Director of the Department of General Services (DGS) to establish and
administer the state’s records management program. The program applies “… to the
creation, utilization, maintenance, retention, preservation, and disposal of state
records.” DGS administers the program though the State Administrative Manual (SAM),
Chapter 1600 and the California Acquisition Manual (CAM).
SAM and CAM require every state agency to establish Records Retention Schedules
which, when approved, become the legal authority for the agency to dispose of official
public records. Retention schedules are the key element in effective records
management programs for both government and private industry. State agencies must
revise and update their schedules every five years or whenever a change occurs that
impacts the keeping or disposing of agency records. The Records Management Act,
SAM and CAM do not apply to local public agencies.
Since, with the exception of the PRA, legislation and directives establishing the state
Records Management Program do not apply to local government, county and/or city
government agencies do not have a standardized program of accountability for their
treatment of public records. Nor does local government have standard retention periods
for various record categories other than certain record types identified in government
codes that mandate specific local programs. To alleviate this situation the 1999
legislature added Section 12236 to the Government Code, which states in Section
12236 (a) “The Secretary of State shall establish the Local Government Records
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Program to be administered by the State Archives to establish guidelines for local
government retention and to provide archival support to local agencies in this state.”
These guidelines are an initial attempt to provide some standards and structure to the
local government records management effort. Other attempts at standardization include
the California City Clerks Association’s 1998 list of common local government records
and recommended retention periods. The goal of the State Archives in compliance with
GC 12236 is to consolidate information resources and provide local government with a
single source for archival and records management support and guidance.
Authority 2-1020
California Public Records Act (Government Code, Section 6250 et seq.)
Government Code, Section 12236
Definitions 2-1030
Active Records – As a measure of activity for records that are referred to at least
once a month per cubic foot of records. Also – As a retention period for a Perpetual
Record that remains “active” until some event occurs to change its status, at which
time it has fulfilled its function. (See also Perpetual Record)
Administrative Records – Records commonly found in all offices and typically
retained only for short time periods – less than five years. Examples include subject,
chronological, budget, and policy files.
Archival Records - Records with enduring value because they reflect significant
historical events, document the history and development of an agency, or provide
valuable research data.
Discovery – The pretrial disclosure of pertinent facts or documents by one or both
parties to a civil action or proceeding. Anything requested during discovery must be
disclosed if it exists – even non-records and records that should have been
destroyed earlier. Discovery effectively freezes selected holdings until released by
opposing attorney or the court.
Local Government – Government Code, Section 6252 states: “’Local Agency’
includes a county; city, whether general law or chartered; city and county; school
district; municipal corporation; district; political subdivision; or any board,
commission or agency thereof; other local public agency; or nonprofit entities that
are legislative bodies of a local agency pursuant to subdivisions (c) and (d) of
Government Code, Section 54952.”
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Non-Records - Material not usually included within the definition of records, such as
unofficial copies of documents kept only for convenience or reference, working
papers, appointment logs, stocks of publications and processed documents, and
library or museum material intended solely for reference or exhibition. Also,
documents such as rough notes, calculations or drafts assembled or created and
used in the preparation or analysis of other documents. (See also Discovery)
Permanent Records – Records that are required in perpetuity, usually identified by
statute or other written guidance. Examples include original birth certificates, death
certificates, Spanish land grants, etc.
Perpetual Records – Records retained for an indefinite period of time and then
stored or destroyed after some event takes place. Examples include office
personnel files which are kept until a person leaves the office, policy files kept until
the policy is changed, contract files kept until the contract terminates, etc.
Program Records - Records that relate to the primary function of the agency in
response to its daily mission. Examples include lien files, recorders files, election
files, probate records, medical records, etc.
Public Records - Any 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.
Records - 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.
Records Retention Schedule - A list of all records produced or maintained by an
agency and the actions taken with regards to those records. A retention schedule is
an agency’s legal authority to receive, create, retain, and dispose of official public
records. It assists the agency by documenting which records require office or
temporary storage, which records have historic or research value, and which records
should be destroyed because they no longer have any administrative, fiscal, or legal
value. In the event of litigation, courts accept a retention schedule as establishing
an agency’s “normal course of doing business”.
Retention Period – The length of time a record must be retained to fulfill its
administrative, fiscal and/or legal function. Then a record should be disposed of as
soon as possible in accordance with an approved Records Retention Schedule.
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Records Management 2-2000
Principles 2-2010
According to Government Code, Section 14740, California’s Records Management
Program is designed to “…apply efficient and economical management methods to the
creation, utilization, maintenance, retention, preservation, and disposal of state
records”. Effective Records Management ensures that records are kept only as long as
they have some administrative, fiscal, or legal value.
When records no longer fulfill the value for which they were created, they should be
destroyed unless they also have some historic or research significance. If that is the
case the records should be preserved by an appropriate historical agency. Staff
members should realize that an effective records management program is not only cost
effective, it will also make their jobs easier. They should also know that records
retained beyond their value “just in case” only extend the agency’s legal liability in the
event of adverse litigation.
These principles apply to all levels of government.
Inventory 2-2020
The first step in records management is a records inventory. Agencies need to know
what records they have, where the records are kept, the volume, and how the records
are used. This information is essential for developing a Records Retention Schedule to
document the agencies normal course of doing business.
The Records Inventory Worksheet, state form STD 70, is available to assist agencies in
gathering information needed in a records management program. Regardless of the
form used, the following information should be obtained during any inventory of agency
records:
Record Series - A record series is a group of similar records arranged under a single
filing system or kept together as a unit. They deal with a particular subject (budget,
personnel, etc.), result from the same activity (arrest reports, property assessments,
etc.), or have a special form (blueprints, maps, etc.). The title of each record series
should be as accurate as possible, since future references to the records will be by
the record series name. Avoid vague titles such as "Corporate Papers", "Official
Documents", or "Vital Correspondence”.
Media – Determine the media for each record series such as paper, microfilm, etc.
Also note if the same record exists in several medium.
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Years covered – Determine the period of years covered by each record series.
(Example: 1994-98).
Activity Level - The amount of activity involving a record determines where the
record should be stored. Active records need to be readily available and are
generally stored in the office because they are accessed frequently. Inactive
records that are still needed but only accessed occasionally should be warehoused
in low cost storage.
Volume – Note the volume of each record series by the cubic feet of space they
occupy. This number is a spot count and should represent only those records on
hand at the time of inventory. A typical file drawer or archive box contains
approximately one cubic foot of actual records. Folders, separators, tab cards, etc.
are not considered part of a record.
Appraisal and Scheduling 2-2030
After the inventory, sound records management requires a realistic appraisal of records
in relation to their period of usefulness and their value to the agency that owns them.
The appraisal will:
Establish reasonable retention periods.
Identify records that can be destroyed immediately.
Identify records that should be transferred to low cost storage.
Identify vital and/or confidential records.
Identify records with historic and/or research value.
Determine the method of disposition.
Once records are inventoried, determine the immediate and future usefulness of the
records. In general, records should be retained only as long as they serve the
immediate administrative, legal and/or fiscal purposes for which they were created.
When records no longer serve these purposes, they should be disposed of or preserved
for archival purposes, whichever is appropriate.
Records with administrative value are created to help accomplish the functions for
which an agency is responsible and have administrative value only as long as they
assist the agency in performing current or future work. Their administrative use is
exhausted when the transactions to which they relate are complete and from that point
on they lose value rapidly.
Records with legal value contain evidence of legally enforceable rights or obligations of
the agency. Examples are records that provide the basis for action, such as legal
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.
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Fiscal records pertain to the financial transactions of the agency, such as budgets,
ledgers, allotments, payrolls and vouchers. After some records have served a basic
administrative function, they may still have sufficient fiscal value to justify additional
retention to protect the agency against court action and/or audits.
Some records will also have enduring value because they reflect significant historical
events or document the history and development of an agency. Others contain
accumulated data that can be useful for both scientific and genealogical research. At
the local level historical societies and/or public libraries may be able to assess this
potential value for the agency.
The final step in appraising records is determining their retention period. Keeping
records, either in offices or storage areas, is very expensive and the actual or potential
value of the records must be weighed against the cost. Most managers tend to keep
records too long “just in case” and unwittingly extend the agency liability for as long as
the records exist. Except for perpetual records, most administrative records should only
be kept two or three years and certainly not more than five. Program records (unique
and representative of the function of the office) are typically large files and kept for
longer periods of time. Attachment A contains recommended retention periods for
common administrative records maintained by several state agencies.
Questions to ask are how serious would it be if a particular record 5 or 10 years from
now were unavailable? What are the chances of it being needed? Are the
consequences serious enough to justify keeping a large volume of records for long
periods of time at considerable cost? Is the information available anywhere else? What
would it cost to reconstruct the record if necessary? Answering these questions will
lead to a more realistic approach to the problem of determining how long records should
be kept.
Establishing retention periods may also involve negotiation with the people who use the
records. They should be encouraged to look realistically at their need for the records.
Don’t accept the answer that ‘the records are used all the time and therefore must be
kept permanently’. “Permanent” retention is very expensive, rarely necessary, and
usually must be justified by a specific written requirement such as a statute, legal
opinion, government code, etc. The State assumes “permanent” to mean 500 years!
Will your records really have any value 500 years from now?
Once retention periods have been established for all records, a Records Retention
Schedule can be developed. The schedule formalizes the retention and disposition of
the agency’s records and establishes the agency’s “normal course of doing business”.
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Retention Schedules 2-2040
A properly prepared and approved Records Retention Schedule is an agency’s legal
authority to do whatever needs to be done with records and documents entrusted to the
agency’s care. It certifies the life, care, and disposition of all agency records. If
subpoenaed records have been destroyed, agency schedules (AND EVIDENCE OF
COMPLIANCE WITH THOSE SCHEDULES) will defend the agency’s actions.
However, to prove there was no adverse intent when records were destroyed,
schedules must be specific and consistently used. Adverse intent (to keep records out
of court) is both a civil and criminal offense.
The state uses two forms to create Records Retention Schedules: the Records
Retention Schedule Approval Request, STD Form 72 (pdf); and the Records Retention
Schedule, STD Form 73 (pdf). The Form 72 contains signature elements from the
agency involved, the Records Manager, the approval authority, and an archival review.
The Form 73 is the schedule itself and contains an agency description or mission
statement plus the listing of all agency records. Both of these forms are for state
agencies but could easily be adapted/modified for use by local government.
Use of these or similar forms help an agency ensure their schedule contains all the
elements necessary to withstand legal scrutiny. The signatures of the program
manager (record custodian) and agency Records Manager attest to the completeness
and accuracy of the information on the schedule. The approval authority should be the
government body having administrative authority over the agency. For local
government this authority could be the County Board of Supervisors, County
Administration, Mayor’s Office, City Administrator or similar government functions.
Archival review at the local level could be from a county or city historical society,
historical museum, library, or similar organization.
In state government schedules are considered current for five years unless amended
sooner due to a significant change in an agency’s record keeping practices. A change
of mission, added functions, new programs, etc. would all trigger an amendment to an
existing schedule. Regardless of any amendments, a new schedule must be prepared
and approved after five years to ensure the schedule accurately and completely reflects
the agency’s records holdings and disposition. Renewing schedules more frequently is
always an option, and is required in some states. Local government agencies should
adopt whatever cycle is most practical within their jurisdiction.
Physical location, complexity, and activity levels of records are some of the factors to
consider when determining how many schedules are needed to support an agency’s
records management program. Small agencies housed in one facility with narrowly
focused missions may only need one schedule for the entire agency. Larger, more
complex agencies may need many schedules to efficiently and effectively document the
varied records maintained by the agency. For example, County Health Services in a
large populous county would probably require separate schedules for Children’s
Services, Mental Health, Health Promotion, Elder Care Services, etc. On the other
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hand, a small county Health Services Agency might use a single schedule and list
record series in groups under each different agency function.
Disposition of Records 2-2050
Once records have fulfilled their administrative, fiscal, or legal function they should be
disposed of as soon as possible in accordance with their Records Retention Schedule.
A properly completed schedule provides an agency with the legal authority to dispose of
records entrusted to its care. Disposition may include sending appropriate records to an
archival facility, recycling unneeded records, and/or destroying unneeded confidential
records. Remember, in the event of litigation the court will want to know what the
agency does in the normal course of doing business. Your Records Retention
Schedule spells out the normal course of business for how your agency handles and
disposes of its records.
In general, most agencies keep records well beyond the record’s administrative, fiscal,
or legal value “just in case” the records may be desired for future purposes. That is one
of the worst reasons to retain records because excess records over-burden staff, slow
response times to public requests, and extend the agency’s legal liability. A court can
not demand an agency produce documents that have been destroyed in accordance
with accepted and documented (your retention schedule) industry practices.
Summary 2-2060
Records Management's primary concern is the efficient, effective and economical
management of information. The guiding principle of Records Management is to insure
that information is available when and where it is needed, in an organized and efficient
manner, and in a well-maintained environment. Records Management is more than
retention schedules and the disposition of records; records management also
encompasses all the record-keeping requirements that allow an organization to
establish and maintain control over information flow and administrative operations.
Records Management seeks to control and manage records through the entirety of their
life cycle, from their creation to their final disposition.
In today’s litigious society Records Management is more important than ever but
unfortunately is still overlooked and under-funded at all levels of government. In court
an astute attorney can discredit an agency in the eyes of a judge or jury by attacking the
way the agency handles its records. The fact that the records may refute or support a
particular position is obscured by the attack on how the agency accounts for and
handles those records. The agency’s legal position in the litigation may be influenced
by how well or how poorly they comply with accepted records management practices.
A sound records management program doesn’t cost – it pays. It pays by improving
customer service, increasing staff efficiency, allocating scarce resources, and providing
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES
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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, bar code, and other related technologies cannot be
adequately evaluated and cost justified without a good records management program.
Other benefits of effective records management include:
Space Savings
Reduced expenditures for new filing equipment
Increased efficiency in information retrieval
Compliance with legal, administrative, and fiscal retention requirements
Identification and protection of vital records
Control over creation of new records
Identification of records with research value
Identification of records with historical value
Acknowledgement 2-2070
The California State Archives would like to acknowledge the League of California Cities
and the City Clerks Association of California for their major contribution to these
guidelines. Attachment C represents several years of effort by the League and the
Association to provide standard retention periods for record series common to most city
jurisdictions. Attachment D – County Records Retention Guidelines has been
permanently removed.
Please forward comments and/or corrections to these retention periods to the California
State Archives.
For assistance in developing a Records Management Program or to comment on this
web site please contact:
Laren Metzer
Deputy State Archivist
Secretary of State
Archives Division
1020 O Street
Sacramento, CA 95814
(916) 653-3834, Fax (916) 653-7134
lmetzer@sos.ca.gov
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT A
A-1
Administrative Records - Typical Retention Periods
Type of Record Years Remarks
Correspondence
Chron Files 2
General/Public 3
Controlled 2
Reports 3
Subject Files 3
Reproduction/Printing Requests 2
Financial >4/7 = 4 yrs for state funds/7 for federal funds<
Expense Reports 4/7 Or until audited, whichever is first
Budgets 4/7 Or until audited, whichever is first
Billing/Accounting Reports 4/7 Or until audited, whichever is first
Budget Change Proposals 4/7 Or until audited, whichever is first
Budget Change Concepts 4/7 Or until audited, whichever is first
Audits 4/7
Invoices 4/7 Or until audited, whichever is first
Fees/Receipts 4/7 Or until audited, whichever is first
Checks/Ledgers/Registers 4/7 Or until audited, whichever is first
Cal Stars Reports Active+1Active until new budget approved*
Cost Recovery - Federal Active+7Active until claim paid then 7 or until audited,
whichever is first*
Cost Recovery - State Active+4Active until claim paid then 4 or until audited,
whichever is first*
Grants Active+2Active until end of grant year*
Equipment/Supplies/Space
Inventory Active Active until revised*
Purchase Request/Order Active+4/7Active until items received(4/7 if subject to audit)*
Service Orders/Authorizations Active Active until service performed*
Vendor Information Active Active until revised*
Building Maintenance/Leases Active Active until lease terminates*
Inspection Reports/Moves/Space Active Active until revised/rescinded/superseded*
Equipment Maintenance Active+2Active until maintenance complete*
Hardware/Software
Documentation
Active Active until revised/rescinded/superseded*
Vehicle Files 2
Personnel
Duty Statements Active Active until revised*
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT A
A-2
Employee Records Active+1Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, Confidential Destruction. (CD)*
Attendance Active+1Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, CD.*
Travel Active+1Active until travel complete. PRA 6254, IPA 1798.40,
CD.*
Training 3 PRA 6254, IPA 1798.40, CD.
Applications 2 PRA 6254, IPA 1798.40, GC 12946, CD.
Interview Documents 2 PRA 6254, IPA 1798.40, CD.
Affirmative Action Active Active until revised*
Merit Awards 3 PRA 6254, IPA 1798.40, CD.
Superior Accomplishments 3 PRA 6254, IPA 1798.40, CD.
Labor Relations 2
Production/Assignment Logs 2
Overtime Logs 2 PRA 6254, IPA 1798.40, CD.
Action Requests/Grievances 2 PRA 6254, IPA 1798.40, CD.
Toxic Exposure Reports Active Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, CD. Transfer Rpt with employee.*
Policy/Procedure/Organization
Policies (All) Active Active until revised*
Procedures (All) Active Active until revised*
Compliance Requirements Active Active until revised*
Organization Charts Active Active until revised*
Mission Statements Active Active until revised*
Associations Active Active while membership is current*
Meetings/Minutes/Agendas 2
Activity Reports 2
Studies/Statistics 3
Feasibility Studies 5
Request for Proposals 3
Delegation Orders Active Active until revised/superseded/Revoked*
Conferences/Committees 3
Contracts Active+4/7Active until contract terminates/+4/7 if subject to
audit*
Emergency Preparedness Active Active until revised*
Public Hearings 5
Health/Safety 3
Plans and Goals Active Active until revised/rescinded/superseded/Complete*
Records Management
Records Retention Schedule Active Active until revised*
Records Transfer List (STD 71) Active Active until disposal of records*
Records Destruction
Authorization
4
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT A
A-3
Forms File Active+1Active until revised/rescinded/superseded*
Legislation/Regulations/Legal
Bill Analysis 3 PRA 6254
Research Information 3 PRA 6254
Proposed
Legislation/Regulations
4 PRA 6254
Legal Opinions Active+1Active until issues resolved*
Law Suits/Small Claims Active+1 Active until litigation complete*
Enrolled Bill Report 4 PRA 6254
PRA/IPA Files 2
Public Relations
Clippings 2
Press Releases 2
Speeches 2
* “Active” retention is for Perpetual Records that remain “active” until some event
occurs. After the event occurs the records are disposed of or may require retention for
an additional short period of time.
The “Remarks” section of a retention schedule also identifies records not subject to
public disclosure because of code or statute, as well as any other unusual or significant
characteristics about a record series. PRA refers to the California Public Records Act
and IPA refers to the Information Practices Act. CD stands for Confidential Destruction.
Most administrative records are small in volume and the records retained for less than
five years.
Program Records:
There are no typical retention periods for program records because they are unique to
the individual office. They represent the reason the office exists and their retention is
usually specified in some statute or regulation that established the office or program. A
few program records may be identified for permanent retention however most will be
retained for a specific number of years, or as perpetual records with an “Active” period,
just like administrative records.
Most program records are large in volume and may be required much longer than
administrative records. As with administrative records, program records should be
retained only as long as they have some administrative, fiscal, or legal value. After that
they should be disposed of in accordance with an approved Records Retention
Schedule.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
B-1
Records Management and Archives Resources
Many resources exist to assist you in your records management program. This list is
not all-inclusive but will provide you with several contacts where you can ask questions
and receive professional answers to many records management issues. All of these
resources provide information free of charge and some also offer membership in the
organization, which entitles you to additional benefits.
AIIM - Association for Information and Image Management, International.
AIIM is a global industry association connecting users and suppliers of enterprise
content management (ECM) technologies - tools and methods that help capture,
manage, store, preserve and deliver content in support of business processes. AIIM is a
neutral and unbiased source of information. They produce educational events and
conferences, provide up-to-the-minute industry information, and are ANSI/ISO-
accredited for standards development. Local chapters provide networking and
educational opportunities throughout the country.
World Headquarters
1100 Wayne Avenue, Suite 1100
Silver Spring, MD 20910
1-800-477-2446
http://www.aiim.org/
ARMA International – Association of Records Managers and Administrators.
The mission of ARMA International is to provide education, research, and networking
opportunities to information professionals, to enable them to use their skills and
experience to leverage the value of records, information, and knowledge as corporate
assets and as contributors to organizational success. ARMA has a network of local
chapters that provide educational opportunities for members and non-members alike.
ARMA International
4200 Somerset Dr., #215
Prairie Village, KS 66208
1-800-422-2762
http://www.arma.org/
NAGARA – National Association of Government Archives and Records Administrators.
NAGARA is an association dedicated to the improvement of federal, state, and local
government records and information management. Their goal is to promote the
availability of our documentary legacy by improving the quality of records and
information management at all levels of government
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
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NAGARA
48 Howard Street
Albany, NY 12207
1-518-463-8644
http://www.nagara.org/
NARA – National Archives and Records Administration
Major source for national archives and records management issues and policies.
Develops standard Record Retention Schedules for federal agencies.
National Archives and Records Administration
700 Pennsylvania Avenue, NW
Washington, D.C. 20408
1-800-234-8861
http://www.archives.gov/index.html
COSHRC
Council of State Historical Records Coordinators
Provides internet links to all State Archives and Records Management Offices.
http://www.coshrc.org/arc/states.htm
InterPARES
International Research on Permanent Authentic Records in Electronic Systems
Source for international research papers seeking to recommend standards in the
electronic records industry.
http://interpares.org/
CA Secretary of State
Provides records management guidelines for local government agencies through the
California State Archives web site.
California State Archives
1020 O Street
Sacramento, CA 95814
(916) 653-3834
lmetzer@sos.ca.gov
CA Department of General Services – California Records and Information
Management (CalRIM)
CalRIM establishes guidelines for state agencies to manage their records programs,
including the management of electronic records and using technology such as imaging.
CalRIM provides training, Master Service Agreements to streamline the contracting
process for records and imaging technologies and consultation, and other services to
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
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help customers establish and maintain effective records programs. CalRIM also reviews
and maintains all state agency records retention schedules.
Department of General Services
Procurement Division
California Records and Information Management Program
1500 5th Street, Suite 101
Sacramento, California 95814
(916) 324-4809
http://www.osp.dgs.ca.gov/calrim/default.htm
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-1
LOCAL GOVERNMENT
RECORDS RETENTION
GUIDELINES
August 1999
City Clerks’ Association of California
California State Archives 2002 Version
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-2
LOCAL GOVERNMENT RECORDS
RETENTION GUIDELINES
TABLE OF CONTENTS
DISCLAIMER………………………………………………………………………C-3
RECORD CLASSIFICATIONS………….…………………………………..…..C-4
ITEM INDEX……………………………………………………………………….C-5
LEGEND & CITATIONS…………………………………………………………C-16
ADMINISTRATIVE RECORDS………………………………..………………..C-17
DEVELOPMENT RECORDS…………………………………..……………….C-25
FINANCE RECORDS………………………………………………..………….C-29
PUBLIC SAFETY RECORDS……………………………………….…………C-32
EMERGENCY MANAGEMENT……………………………….……….C-32
FIRE SAFETY……………………………………………………………C-32
HAZARDOUS MATERIALS……………………………………………C-33
LAW ENFORCEMENT………………………………………….………C-33
PUBLIC WORKS………………………………………………………………..C-42
TRANSPORTATION……………………………………………………………C-47
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-3
Disclaimer
Local Government Retention Schedule Guidelines
The guidelines as enclosed have been endorsed by resolution of the General Assembly
of the League of California Cities, and by the City Clerks Association of California. They
represent extensive research as to the minimum legal requirements for the retention of
local government records and do not reflect the administrative, operational, financial or
historical needs of the jurisdiction. It is strongly recommended that cities consult with
legal counsel when formulating their retention schedules so as to best meet their
particular needs.
The committee’s research was as complete as possible and reviewed by many legal
officers but may not include every record series pertinent to local government. The
guidelines are just that and are fluid, very much subject to additions and updates which
will be coordinated through the office of the State Archivist under the Secretary of State.
Reference to retention periods, unless otherwise indicated, refers to the current year
plus the years shown. For example, Cu + 2 refers to the Current year plus two, or 1998
plus years 1997 and 1996.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-4
RECORDS RETENTION CLASSIFICATIONS – CITY GOVERNMENT
August 1999
ADMINISTRATION PUBLIC SAFETY
Audit Animal Control*
Community Services Emergency Management
Elections Fire Safety
General Subject Administration
Grants Personnel
Human Resources Property
Information Services Reports
Legal/Legislative Hazardous Materials
Municipal Clerk Health & Welfare
Policies & Procedures Law Enforcement
Public Information Administration
Public Financing Authority Investigations
Risk Management Patrol
Services
DEVELOPMENT
Administration PUBLIC WORKS
Building
Code Enforcement Parks
Engineering Sanitation/Solid Waste/
Environmental Quality Wastewater
Housing Streets/Alleys
Municipal Facilities Utilities
Planning Water
Property
Redevelopment
FINANCE TRANSPORTATION
Accounting Administration
Administrative Services Airport
Fixed Assets Ground Transportation
License Harbor
Payroll
Purchasing
Reports
Treasurer
*Anticipate will be addressed by County Officials
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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INDEX .
ITEM CATEGORY PAGE
Abandoned Vehicles Development C-26
Abandonment Development C-28
Abandonment/Vacations Public Works C-43
Accident Reports - City Assets Administration C-24
Accounting/Cash Reconciliation Public Safety C-33
Accounts Payable Finance C-29
Accounts Receivable Finance C-29
Acquisition/Disposition Development C-28
Adjustments Finance C-29
Administration – General Subject Administration C-19
Administration – Public Financing Authority Administration C-23
Administrative/Internal Public Safety C-33
Affidavit Index Administration C-17
Agenda Reports (Master, Subject Files) Administration C-22
Agendas Administration C-22
Agendas, Board Public Works C-42
Agreements Transportation C-47
Air Quality Development C-27
Airport Certification Transportation C-47
Airport Noise Monitoring and Complaint Transportation C-47
Alarm Records Public Safety C-33
Annexation Case Files Development C-28
Annual Financial Report Administration C-17
Apparatus/Vehicle Public Safety C-32
Appeals, Civil Administration C-22
Applications - Aircraft Storage Transportation C-47
Applications - Parking Transportation C-47
Applications - Slip Rentals Transportation C-47
Applications - Special Events Transportation C-47
Applications Finance C-29
Applications, Absentee Ballots Administration C-17
Applications, Boards, Commissions, Committees Administration C-22
Appraisals Development C-28
Acquisition/Disposition Development C-28
Arrest/Conviction Public Safety C-36
Articles of Incorporation Administration C-22
Asbestos Development C-27
Assessment Districts Administration C-23
Assessment Districts Finance C-29
Asset Forfeiture - Investigations/Proceedings Case File Public Safety C-34
Asset Forfeiture - Notifications Public Safety C-34
Assisted, Challenged Voters List Administration C-17
Audits Finance C-30
Auto for Hire Transportation C-48
Ballots Administration C-17
Ballots – Prop. 218 Administration C-17
Bank Reconciliation Finance C-29
Bank Statements Finance C-30
Benchmark Data Development C-25
Benefit Plan Claims Administration C-20
Benefit Plan Enrollment, Denied Administration C-20
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-6
INDEX .
ITEM CATEGORY PAGE
Bids & Proposals (Unsuccessful) Development C-25
Bids, RFQ’s, RFP’s Finance C-30
Billing Records Finance C-29
Billing/Customer Records Public Works C-44
Biographies Administration C-19
Blueprints, Specifications Development C-26
Bond, Personnel Fidelity Administration C-20
Bonds - Administration Finance C-31
Bonds - Security Development C-25
Bonds - Development Development C-25
Bonds - Account Statements Finance C-31
Bonds - Bonds and Coupons Finance C-31
Bonds Administration C-17
Bonds Development C-27
Bonds, Insurance Administration C-24
Books, Fire Code Public Safety C-32
Brochures, publications, newsletter, bulletins Administration C-24
Budget adjustments, journal entries Finance C-29
Budget Operating (copies) Administration C-17
Budget Operating (copies) Finance C-29
Budget Administration C-17
Budget, Accounting Finance C-29
Budget, Adopted Finance C-29
Budget, Proposed Finance C-29
Business License Finance C-29
Calendar Administration C-17
Calendar, City Administration C-24
California Environmental Quality Act (CEQA) Development C-27
Canvass Administration C-17
Capital Improvement Projects Development C-27
Capital Improvements, Construction Development C-28
Cards - Dispatch Public Safety C-38
Cards - Field Interview Public Safety C-38
Case Books, Investigative Public Safety C-34
Case Files - Homicide Investigator’s File Public Safety C-34
Case Files - Narcotics (No arrest, Narcotics Cases) Public Safety C-34
Case Files - Officer Involved Shootings Public Safety C-34
Case Files Development C-26
Case Files, Planning and Zoning Development C-28
Case Log Administration C-22
Case Records - (High Profile) Administration C-22
Case Records - (Routine) Administration C-22
Certificates (Building) Development C-26
Certificates (Planning) Development C-28
Certificates of Election Administration C-17
Charter - Amendments/Measures Administration C-17
Checks Finance C-29
Chemicals/Film Inventories Public Safety C-39
Citations - 11357(e), Juvenile Public Safety C-38
Citations - 11357b H&S, 11357c H&S, Public Safety C-38
11360b H&S Violations
Citations - California Vehicle Code Infractions (Duplicates) Public Safety C-39
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-7
INDEX .
ITEM CATEGORY PAGE
Citations - Cite and Release Public Safety C-38
Citations - Parking/Traffic, Duplicates Public Safety C-39
Citations - Transmittals Public Safety C-39
Claim Files Public Safety C-33
Claims, Damage Administration C-24
Classifications and Appointments Administration C-19
Closures Public Works C-43
Code Books Development C-25
Collections/Landfill Public Works C-42
Community Development Block Grant and Administration C-19
Urban Development
Community Services – Library Administration C-17
Community Services – Plaques Administration C-17
Community Services – Sports Organization Administration C-17
Congestion Management Development C-27
Connection Records Public Works C-44
Construction (Approved) Development C-26
Construction Tracking, Daily Development C-27
Contractor Development C-25
Contracts and Agreements – Excl. Capital Improvement Administration C-22
Contracts and Agreements – Incl. Capital Improvement Administration C-22
Correspondence Administration C-19
Correspondence Development C-25
Court - Daily Schedule Public Safety C-34
Court - Sign-In Logs Public Safety C-34
Court - Tracking System Records Public Safety C-34
Crime - Felony Crimes With Or Without Arrests Public Safety C-36
Crime - Misdemeanor/Infractions Public Safety C-36
Crime - Supplemental, Felony Capital Crimes, Public Safety C-36
Crimes Punishable by Death, Life Imprisonment
Deeds & Promissory Notes Development C-28
Deferred Compensation Finance C-30
Department Manual Public Safety C-33
Deposits, Receipts Finance C-29
Destruction - Guns Public Safety C-36
Destruction - Narcotics Public Safety C-36
Development (includes CDBG) Development C-25
Development Agreements Development C-25
Development Conditions Development C-25
Development Standards Development C-25
Disposition of Arrest/Court Action Public Safety C-36
Drawings, Project Plan Development C-25
Drawings, Traffic Control Plan Development C-27
Easements, Dedications, Rights-of-Way Public Works C-43
Employee Handbook Administration C-20
Employee Programs Administration C-20
Employee Rights Administration C-20
Employee Time Sheets Finance C-30
Environmental Review Development C-27
Equipment - Communication Public Safety C-33
Equipment - Inventory Public Safety C-33
Equipment - Inventory/Sign-out Cards- Photo Lab Public Safety C-39
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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INDEX .
ITEM CATEGORY PAGE
Equipment - Operations Files - Photo Lab Public Safety C-39
Equipment - Radio Logs (Communication) Public Safety C-39
Evidence, Disposition Forms Public Safety C-34
Exposure - Personnel Public Safety C-32
Facilities (Sanitation/Solid Waste/Wastewater) Public Works C-42
Facilities (Utilities) Public Works C-44
Facility Rentals/Use Development C-28
Fair Political Practices - Administration, Statements Administration C-18
Fair Political Practices - Campaign disclosure, elected Administration C-18
Fair Political Practices - Campaign disclosure, not elected Administration C-18
Fair Political Practices - Campaign disclosure, unsuccessful Administration C-18
Fair Political Practices - Candidate Statements Administration C-18
Fair Political Practices - History Administration C-18
Fair Political Practices - Statement of Economic Interest, Administration C-18
Elected
Fair Political Practices - Statement of Economic Interest, Administration C-18
not elected
False Alarm (Duplicate) Public Safety C-36
Federal and State Grants Administration C-19
Field Books Public Works C-43
Field, Non-fire and Logs Public Safety C-32
Financial, Annual Finance C-30
Financial Records - Grants Administration C-19
Financial Records, Public Financial Authority Administration C-24
Fingerprint - Applicants Files Public Safety C-34
Fingerprint - Inked/Palm Cards Public Safety C-34
Fingerprint - Records Latent Public Safety C-34
Fingerprint - Suspect, Adult/Juvenile Public Safety C-34
Fire, Non-arson and Logs Public Safety C-32
Flood Control - Drainage Facilities Public Works C-44
Flood Control - Flood Zones Public Works C-44
Flood Control - Insurance Programs Public Works C-44
Flood Control - Polices/Procedures Public Works C-45
Flood Control - Reports/Studies Public Works C-45
Flood Control Development C-27
Flood Records Development C-28
Franchises Development C-25
Fueling Transportation C-47
Gas & Electric Rates Public Works C-44
General Administrative Administration C-23
General Orders Public Safety C-39
General Orders, Policies/Procedures Public Safety C-32
General Plan Amendments - Approved Development C-28
General Plan Amendments - Denied Development C-28
General Plan and Elements Development C-28
General Subject Files Development C-25
Goals & Objectives Administration C-19
Grants - Parks (refer to Admin.) Public Works C-42
Grants - Street/Alleys (see Admin.) Public Works C-43
Grants – Water (see Admin.) Public Works C-45
Grants, Community/Urban Development (includes CDBG) Development C-25
Grievance Files Public Safety C-40
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-9
INDEX .
ITEM CATEGORY PAGE
Guns, Dealers Record of Sale Public Safety C-34
Hazardous Waste Disposal Public Safety C-33
Hazardous Waste Disposal Transportation C-47
Hearing or Review Administration C-17
Historic Preservation Inventory Development C-25
History, Sanitation Public Works C-42
Hourly Employees Administration C-20
Immigrant Administration C-20
Incident Files Development C-25
Incident Reports Administration C-24
Incident Public Safety C-32
Incineration Plants, Sludge Public Works C-42
Incinerator Operations, Treatment Plant Public Works C-42
Index, Attorney Case Administration C-22
Informant Files Public Safety C-34
Inspection Development C-26
Inspection, Runway Transportation C-47
Inspection, Safety Self Transportation C-47
Inspections, Fire Prevention Public Safety C-32
Insurance, ACCEL JT Powers Agreement Administration C-24
Insurance, Certificates Administration C-24
Insurance, Liability/Property Administration C-24
Insurance, Workers Compensation Administration C-24
Internet, World Wide Web Administration C-22
Interpretations Development C-28
Intersection Records Public Works C-43
Inventory Finance C-29
Inventory, Equipment Parts & Supplies Transportation C-47
Inventory, Equipment & Supplies Public Safety C-32&C-33
Inventory, Equipment - Parks Public Works C-42
Inventory, Equipment - Water Public Works C-45
Inventory, Information Systems Administration C-22
Inventory, Records Administration C-23
Inventory, Traffic Control Device Public Works C-43
Inventory, Vehicle Ownership and Title Transportation C-47
Investigations - Background Public Safety C-40
Investigations - Background Hired Public Safety C-40
Investigations - Notifications Public Safety C-34
Investigations, Evidence Arson - Administration Public Safety C-32
Investigations, Evidence Arson - Reports Public Safety C-33
Investment Transactions Finance C-30
Invoices Finance C-29
Jail - Daily Logs Public Safety C-35
Jail - Inmate Record Public Safety C-35
Jail - Inspection Files Public Safety C-35
Jail - Surveys Public Safety C-35
Journals - Utility Billing Finance C-29
Journals, Fire Station Public Safety C-32
Labor Distribution Finance C-30
Land Uses, non-conforming Development C-25
Landscape - Parks Public Works C-42
Landscaping – Streets/Alleys Public Works C-43
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-10
INDEX .
ITEM CATEGORY PAGE
Ledger, General - Voucher Finance C-29
Legal Advertising Administration C-23
Licenses - Bicycle Public Safety C-35
Licenses - Bingo, Mace Public Safety C-35
Licenses - Business License Review Board Public Safety C-35
Administrative Files
Licenses - Duplicate (Pink), Secondhand Dealer, Public Safety C-35
Pawn Brokers
Licenses, Permits Transportation C-47
Liens & Releases - Recorded Development C-26
Liens & Releases - Supporting Development C-26
Lighting Public Works C-43
Lobbyist Registration Administration C-18
Locations Public Works C-45
Logs Development C-27
Logs - Administration Development C-25
Logs - Auto Theft Public Safety C-35
Logs - Case Assignment Public Safety C-35
Logs - Code Enforcement Development C-27
Logs - Daily, Activity Public Safety C-35
Logs - Daily, Officer Public Safety C-35
Logs - Daily, Report Summary Public Safety C-35
Logs - Investigative (Pre-Arrest) Public Safety C-35
Logs - Juvenile Detention Public Safety C-35
Logs - Property Control Public Safety C-35
Logs - Rap Sheet Public Safety C-35
Logs - Subpoena Public Safety C-35
Logs, Attorney Service Request Administration C-23
Logs, Fire Equipment/Gear Public Safety C-32
Lot Split Cases Development C-28
Maintenance and Operations Transportation C-47
Maintenance and Operations - Municipal Facilities Development C-28
Maintenance and Operations - Parks Public Works C-42
Maintenance and Operations - Public Works C-42
Sanitation/Solid Waste/Wastewater
Maintenance and Operations - Service Public Works C-45
Maintenance and Operations - Streets/Alleys Public Works C-43
Maintenance and Operations - Well & Pumping Public Works C-45
Maintenance, FAA Transportation C-47
Management Reports Administration C-24
Maps & Plats Development C-26
Maps - Parks Public Works C-42
Maps - Streets/Alleys Public Works C-43
Maps - Water Public Works C-45
Maps, City Boundary Development C-28
Maps, Plans, Drawings, Exhibits, Photos Development C-28
Maps, Precincts/Voter Information Administration C-18
Maps, Septic Tank Public Works C-42
Master Plans - Streets/Alleys Public Works C-43
Master Plans - Water Public Works C-45
Master Plans, Annual Development C-26
Media Relations Administration C-24
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-11
INDEX .
ITEM CATEGORY PAGE
Medical Leave Administration C-20
Medical - Personnel Public Safety C-32
Meter Operations Public Works C-45
Meter Reading Finance C-30
Minutes Administration C-23
Minutes, Board Public Works C-42
Motor Vehicle Pulls (DMV) Administration C-20
Municipal Code Administration C-23
Mutual Aid, Strategic Plans Public Safety C-32
Negotiation Administration C-20
Network Information Systems (LAN/WAN) Administration C-22
Nomination Papers Administration C-18
Non-Criminal Occurrences Public Safety C-36
Non-Safety Employees Administration C-21
Notices, Meeting Administration C-23
Notifications and Publications Administration C-18
Oaths of Office Administration C-18
Opinions Administration C-23
Ordinances Administration C-23
Parades & Special Events File Public Safety C-40
Parking - Lots Public Works C-43
Parking - Regulations Public Works C-43
Patrol Requests (Correspondence) Public Safety C-39
Pawn Slips/Tickets Public Safety C-35
Permits - Alcoholic Beverage Control License Public Safety C-40
Permits - Concealed Weapons Public Safety C-40
Permits - National Pollutant Discharge Elimination Public Works C-45
System (NPDES)
Permits - Others Public Works C-45
Permits Development C-26
Permits Public Works C-43
Permits, Construction Development C-26
Permits, Encroachment Public Works C-43
Permits, Hazardous Materials Storage Public Safety C-33
Permits, Improvement Public Works C-43
Permits, Other Development C-26
Permits, Oversize Load Public Works C-43
Permits, Parking Public Works C-43
Permits, Paving Public Works C-43
Permits, Uniform Fire Code Public Safety C-32
Permits, Use (Temporary) Public Works C-43
PERS Employee Deduction Reports Finance C-30
PERS, Social Security, SSI Administration C-21
Personnel Records (copies) Administration C-21
Pest Control Development C-27
Petitions - Elections Administration C-18
Petitions- Legal/Legislative Administration C-23
Photographs - Daily Report (Negatives) Public Safety C-35
Photographs - Inmates (Negatives) Public Safety C-35
Photographs - Negative Log Public Safety C-40
Photographs - Negatives, Misc. Public Safety C-40
Photographs - Personnel Public Safety C-40
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-12
INDEX .
ITEM CATEGORY PAGE
Photographs Development C-26
Photographs - Parks Public Works C-42
Photographs - Streets/Alleys Public Works C-43
Photographs, Negatives, Film Administration C-24
Plans, Capital Improvement, Projects Public Works C-43
Plans, Proposed Public Works C-42
Policies & Procedures, Departmental Administration C-19
Policies and Procedures - Naming and numbering Public Works C-43
Policies and Procedures - Speed Limits Public Works C-44
Policies and Procedures - Parks Public Works C-42
Policies and Procedures - Water Public Works C-45
Policy, Council/Proclamations Administration C-23
Precinct Records Administration C-19
Press Releases Public Safety C-40
Press, Video Programs (Community Relations) Public Safety C-40
Program Files and Directories Administration C-22
Programs - Federal Aid Urban Public Works C-44
Programs - Traffic Safety Public Works C-44
Programs Development C-27
Programs, Household Hazardous Waste Public Safety C-33
Projects, Not Completed or Denied Development C-26
Promotional Marketing – Eternal, Internal Administration C-19
Property Files Public Safety C-40
Property Original Public Safety C-37
Property, Pawn Broker/Secondhand Public Safety C-40
Public Records Request Administration C-23
Radar Calibration Records Public Safety C-39
Railroad Right-of-way Public Works C-42
Range Inventory Public Safety C-37
Rates - Sanitation/Solid Waste/Wastewater Public Works C-42
Rates - Water Public Works C-45
Reclamation Public Works C-45
Records Management Disposition Certification Administration C-23
Records Management Administration C-23
Records Retention Schedule Administration C-23
Recruitment Administration C-21
Recycling Programs Public Works C-42
Redevelopment Development C-28
Register Finance C-30
Registers, Transient Vessel Reservation Transportation C-48
Registration Files, Arson, Sex and Narcotics Public Safety C-36
Regulations Development C-27
Regulations Public Works C-42
Relocation Files Development C-28
Report, Accident (Copies) Transportation C-48
Reports - Accident and Incident (Aircraft) Transportation C-48
Reports - Accident Public Safety C-39
Reports - Accident Public Works C-42
Reports - Activity Public Safety C-33
Reports - Airport Operational (Administrative) Transportation C-47
Reports - Airport Operational (Regulatory) Transportation C-47
Reports - Audit Administration C-17
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-13
INDEX .
ITEM CATEGORY PAGE
Reports - Bridges & Overpasses Public Works C-44
Reports - Chemical Emissions Public Safety C-33
Reports - Conservation Public Works C-45
Reports - Consumption Public Works C-45
Reports - Corrosion Control Public Works C-45
Reports - Dealer of Gun Sales, Duplicate Public Safety C-40
Reports - Departmental Administration C-19
Reports - Discharge Monitoring Public Works C-45
Reports - Drinking Water Corrections Public Works C-45
Reports - Federal and State Tax Finance C-30
Reports - Human Resources Administration C-21
Reports - Hydrograph Public Works C-45
Reports - Inspection Public Works C-44
Reports - Lead Service Line Public Works C-45
Reports - NOTAM (Notice to Airmen) Transportation C-48
Reports - Others Public Works C-42
Reports - Public Education Public Works C-46
Reports - Quality Parameters Public Works C-46
Reports - Sanitary Surveys Public Works C-46
Reports - Source Water Public Works C-46
Reports - Staff Administration C-19
Reports - State Certification Public Works C-46
Reports - Studies (Sanitation/Solid Waste/Wastewater) Public Works C-42
Reports - Studies Public Works C-42
Reports - Studies Public Works C-43
Reports - Survey Response Files Public Safety C-33
Reports - Tonnage Public Works C-42
Reports - Traffic Collision Fatalities Public Safety C-39
Reports - Traffic Count Public Works C-44
Reports - Variances, Water System Public Works C-46
Reports - Vehicle Accident Public Works C-44
Reports - Well Level Public Works C-46
Reports Development C-26
Reports Public Safety C-37
Reports, Federal and State - Code Enforcement Development C-27
Reports/Studies Public Works C-43
Requisitions - Purchase Orders Finance C-40
Requisitions - Stores Finance C-40
Research Project Files Public Safety C-37
Resolutions Administration C-23
Resolutions, Board Public Works C-42
Restraining Orders, Emergency Protective Orders, Public Safety C-40
Temporary Restraining Orders, Legal Stipulations,
Orders After Hearing
Reviews, Internal/External Periodic Administration C-17
Risk Management Reports Administration C-24
Roster of Voters Administration C-19
Rosters (Divisional) Public Safety C-40
Routes, School Bus & Truck Public Works C-44
Safety Employees Administration C-21
Salary Records Finance C-30
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-14
INDEX .
ITEM CATEGORY PAGE
Schedules - Daily Public Safety C-40
Schedules - Municipal Clerk Administration C-23
Schedules - Watch Assignment/Timekeeping Records Public Safety C-40
Schedules, Class & Events Public Works C-42
Sealed - Adult Found Factually Innocent Public Safety C-38
Sealed - Juvenile Public Safety C-38
Seismic Retrofit Program Development C-26
Signage Public Works C-44
Signs (Temporary) Development C-26
Slip Rental Index Transportation C-48
Slip Rental Permits Transportation C-48
Slip Rental Waiting List Transportation C-48
Soil Development C-27
Soil Reports Development C-27
Sources Public Works C-46
Speaker Requests Public Safety C-40
Special Districts Development C-27
Special Projects Administration C-19
State Controller Finance C-30
Statistical (Crime Analysis) Public Safety C-37
Statistical (UCR), Uniform Crime Reports Public Safety C-37
Street Names and House Numbers Development C-26
Street/Alley (Abandonment/ Vacation) Development C-27
Studies, Special Projects & Areas Development C-26
Subpoenas (Duplicate) Public Safety C-38
Support Services Administration C-19
Surplus Property - Auction Finance C-29
Surplus Property - Disposal Finance C-29
Surveyor Field Notes Public Works C-46
Surveys Development C-26
Surveys and Studies Administration C-21
Surveys, Water System Sanitary Public Works C-46
Tapes - Audio, Telephone and Radio Communications Public Safety C-38
Tapes - Audio, Video Administration C-23
Tapes - Surveillance/Security Video (Jail) Public Safety C-38
Tapes Information Systems Administration C-22
Taxes Receivable Finance C-29
Tests - Bacteriological Analysis Public Works C-46
Tests - Chemical Analysis Public Works C-46
Tests - Quality Public Works C-46
Tests, Densitometer Results (Photo Lab) Public Safety C-40
Traffic Signals Development C-27
Traffic Signals Public Works C-44
Training - Bulletins Public Safety C-41
Training - Event Files Public Safety C-41
Training - Lesson Plans, Range Public Safety C-41
Training Materials Public Safety C-33
Training - Personnel Public Safety C-32
Training - Personnel (by name) Public Safety C-41
Training - Schedules, Range Public Safety C-41
Training Records - Non-Safety Administration C-21
Training Records - Personnel (by name) Administration C-21
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-15
INDEX .
ITEM CATEGORY PAGE
Training Records - Safety Administration C-21
Travel Records Administration C-19
Underground Public Works C-44
Underground Storage Tank - Public Safety C-33
Maintenance and Operations
Underground Storage Tank - Compliance Public Safety C-33
Unsuccessful Grants Administration C-19
Use of Force Supervisory Review Files Public Safety C-38
Utility Rebates Finance C-30
Valve Main Records Public Works C-46
Vehicle Assignment Transportation C-47
Vehicle Ownership & Title Finance C-29
Vehicle - Assignment Reports Public Safety C-39
Vehicle - Down Reports Public Safety C-39
Vehicle Mileage Reimbursement Rates Administration C-21
Vehicle - Repossession/Private Impounds Public Safety C-39
Vehicle - Service Schedules Public Safety C-39
Vendor Register Finance C-30
Vests, Bulletproof Letters Public Safety C-39
Violations, Drinking Water Public Works C-46
Violations, Building, Property & Zoning Development C-27
Volunteer Card Files Public Safety C-41
Voter Affidavits Administration C-19
Voter Registration Signature Copy Administration C-19
Warrant Register Finance C-29
Warrants - Felony Public Safety C-38
Warrants - Misdemeanor Criminal Public Safety C-38
Warrants - Parking Public Safety C-39
Warrants - Served Public Safety C-38
Warrants - Traffic Public Safety C-39
Warrants - Unserved (Local) Public Safety C-38
Weapons, Database Public Safety C-39
Weed Abatement Public Safety C-33
Weigh Scales Public Works C-44
Workers Compensation Administration C-24
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-16
LEGEND
Records Retention
AC = Active AD = Adoption
AU = Audit CL = Closed/Completion
CU = Current Year DOB = Date of Birth
E = Election L = Life
P = Permanent S = Supersede
T = Termination
CITATIONS
B&P – Business and Professions H&S – Health & Safety
CAC – California Administrative Code HUD – Housing and Urban
Development
CCP – Code of Civil Procedure OSHA – Occupational Safety & Health
Act
CCR – Code of California Regulations PC – Penal Code
CEQA – California Environmental POST – Police Officers Standards
Quality Act Training
CFR – Code of Federal Regulations UFC – Uniform Fire Code
EC – Election Code USC – United States Code
FMLA – Family & Medical Leave Act, WIC – Welfare & Institutions Code
1993
GC – Government Code
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-17
ADMINISTRATION
Record Series Retention Citation Descriptor
AUDIT
Annual Financial
Report
CL + 2 GC34090 Independent auditor analysis
Bonds CL + 10 GC34090;
CCP 337.5
Final bond documentation
Budget P GC34090 Annual operating budget approved by Legislative
Body
Budget Operating
(copies)
S GC34090 Departmental Reference
Hearing or Review AU + 2 GC34090;
OMB A-128
Documentation created and or received in connection
with an audit hearing or review
Reports AU + 4 GC34090;
OMB A-128
Internal and/or external
Reviews,
Internal/External
Periodic
CU GC34090;
GC6250
Daily, weekly, monthly, quarterly or other summary,
review, evaluation, log, list, statistics, except a report
COMMUNITY
SERVICES
Libraries CU + 2 GC 34090 Books, art, gifts, donations, exhibits, theatre, music,
special events, etc.
Plaques P Historic value
Sports Organization S + 2
ELECTIONS
Affidavit Index CL + 5 EC 17001
Applications, Absentee
Ballots and Envelopes
E + .5
EC 17505;
EC 17302
From date of election
Assisted, Challenged
Voters List
E + .5 EC 17304 From date of election
Ballots E + .5 EC 17302 From date of election; ballots submitted to
precincts/City Clerk that were not used - unless
contested (EC 17302(c)) retention by court order
Ballots
Prop. 218
(Assessment
Districts)
P California
Constitution
Art. XIII
Property related fees (Assessment Ballot proceeding)
Calendar E + 2 GC 34090
Canvass P GC 22932;
EC 17130;
EC 2653
Notifications and Publication of Election; Records
used to compile final election results, including tally
sheets, voting machine tabulation, detailed
breakdown of results; special election results
Certificates of Election T + 4 GC 81009(a)
(d)
Certificates of election; Original reports and
statements
Charter
Amendments/
Measures
P GC34458-60;
GC34090
Chapter designations by Secretary of State following
adoption of voters
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-18
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Fair Political Practices
Administration/
Campaign
Statements and
Conflict of Interest
CU + 5 FPPC Opinions
Campaign
disclosure, Elected
P GC81009(b)
(g)
FPPC Filings
Campaign
disclosure,
Not Elected
E + 5 GC81009(b) FPPC Filings
Campaign
disclosure -
Unsuccessful
(all other
committees)
E + 7 GC81009 FPPC Filings
Candidate
Statements
E + 4 Sample ballot retained permanently.
History P GC 34090 History of elections, sample ballots, certificates of
destruction, other resolutions re: elections
Statement of
economic interest -
Elected Officials
T + 7 GC
81009(e)
FPPC Filings
Statement of
economic interest -
Not Elected
E + 5 GC
81009(b)
FPPC Filings
Lobbyist Registration P EC
81009(b)
Statements
Maps, Precincts/Voter
Information
E + 2 GC 34090;
EC 17501;
EC 17301
Nomination Papers
Successful
Unsuccessful
E + 4
E + 2
EC 17100
GC
81009(b)
Notifications and
Publications
E + 2 GC 34090 Proof of publication or posting, certification and listing
of notice of posting; copy of newspaper notice and
certification of offices to be voted for at forthcoming
election
Oaths of Office T + 6 GC34090;
29 USC
1113
Elected Officials
Petitions .75 EC 17200,
17400; GC
7253.5; EC
14700 + GC
3756:8
From date of filing or election; Initiative, referendum,
recall, Charter Amendments
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-19
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Precinct Records E + .5
EC 17503 From date of election: Precinct official material;
declaration of intention, precinct board member
applications, orders appointing members of precinct
boards and designating polling places
Includes notice of appointment of office and record of
service
Roster (Of Voters) E + 5 EC 17300 From date of election; Initiative, referendum recall,
general municipal election, Charter Amendments
Voter Affidavits CL + 5 EC 17000
Voter Registration
Signature Copy
CU + 5 EC 17000 Fire, special or school district
GENERAL SUBJECT
Administration P GC 34090
Biographies CU + 2 GC34090
Classifications and
Appointments
P GC 34090;
GC 12946;
29 CFR
516.6(2); 29
CFR 1602.4
Includes supplemental Personnel records. Wage rate
tables 2 years.
Correspondence/
Originating Department
CU + 2 GC34090(d) If not attached to agreement or project file
Goals & Objectives CU + 2 GC34090 Departmental goals & objectives
Policies & Procedures,
Departmental
S + 5 GC34090(d) Retain while current
Promotional Marketing
External CU + 7
Internal 2
Reports
Departmental CU + 2 GC34090 Special/or final summary, review or evaluation
Staff CU + 2 GC34090 Non-agenda related, includes supporting
documentation
Special Projects CU + 2 GC34090
Support Services CU + 2 GC34090 Reproduction; printing; postal/mailing services, other
internal resources
Travel Records CU + 2 GC34090
GRANTS
Community
Development Block
Grant and Urban
Development
T + 4 GC34090;
24 CFR
570.502
24
CFR85.42*
Applications, reports, contracts, supporting documents;
*OMB Cir. A-102, A-110, A-128
Federal and State CL + 5 GC34090 Refer to grant application close-out procedure
Financial Records CL + 5 GC34090 Refer to grant application close-out procedure
Unsuccessful CL + 2 GC34090 Applications not entitled
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-20
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
HUMAN RESOURCES
Benefit Plan Claims P
GC6250 et
seq;
OMB A-129
29 CFR
1602.30;
32; Lab Rel
Sec 1174*
May include dental, disability, education, health, life and
vision including dependent care and Employee
Assistance
*29 CFR 1637.3; 29 USC 1027; 29 CFR 1627.3; 29 USC
1113
Benefit Plan
Enrollment, Denied
CL + 4 GC34090;
OMB A-128
Bond, Personnel
Fidelity
T + 2
GC34090 Employee Fidelity Bonds
Employee Handbook S + 2 GC 34090 General employee information including benefit plans
Employee Programs CL + 2 GC 34090;
GC 12946
Includes EAP and Recognition
Employee Rights
General Employees
Safety (Police)
T + 2
T + 5
GC12946;
29 CFR
1602; 29
USC 211
(e); 203(m);
207(g)
May include Arbitration, grievances, union requests,
sexual harassment and Civil Rights, complaints,
disciplinary actions
Hourly Employees T + 6 GC12946;
GC34090*
*29 CFR 1627.3, Labor Relations Section 1174
Immigrant Immigratio
n
Reform/Co
n-trol Act
1986 Pub. L
99-603
I-9's
Medical Leave CL + 30
FMLA 1993
US OSHA;
29 CFR ;
1910.20*
May include Family leave; certifications; tests; W-4's;
*29 CFR 1602.30.32; 49 CFR 193-9;
Motor Vehicle Pulls
(DMV)
CL + 7 GC12946, * *CA 91009; 8 USC 1324 (a)
Negotiation P 29 USC
Sections
211(c),
203(m),
207(g)
Notes, notebooks, correspondence, contracts, and
Memorandums of Agreements
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-21
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Non-Safety Employees T + 3 Reference:
29 CFR
1627.3;
CCR Sec
1174; 29
CFR
1602.30.32;
GC6250 et
seq; 29
CFR; GC
12946,
34090*
Non-safety employees may include: Release
Authorizations; Certifications; Reassignments; outside
employment; commendations disciplinary actions;
terminations; Oaths of Office; evaluations-pre-employee
medicals; fingerprints; identification cards (ID=s)
*1607.4; 29 CFR 655.202; 29 CFR 516.6 et seq; 45 CFR
1068.6(a)
Personnel Records
(copies)
CU + 2 GC34090;
GC6250
Attendance; evaluations; drafts; worksheets; postings
PERS, Social Security,
SSI
P 29 CFR
1627.3(2);
GC 12946,
34090
EEOC/ADEA
Recruitment CL + 3
Reference:
GC12946;
GC6250 et
seq;
29 CFR
1602 et seq
29 CFR
1607;
29CFR
1627.3
Applications, resumes, alternate lists/logs, indices;
ethnicity disclosures; examination materials;
examination answer sheets, job bulletins; eligibility;
electronic database
Reports CU + 2 GC34090 Employee statistics, benefit activity; liability loss
Safety Employees T + 5
Reference:
29 CFR
16273; CCR
Sec 1174;
29 CFR
1607.4; *
Police, fire, emergency employees may include; Release
Authorizations; Certifications Reassignments; outside
employment; commendations disciplinary actions;
terminations; Oaths of Office; evaluations-pre employee
medicals *29 CFR 1602.30.32; 29 CFR 655.202; 29 CFR
516.6 et seq; 45 CFR 1068.6(a)
Surveys and Studies CU + 2 GC 12946,
34090; 29
CFR
516.6(2); 29
CFR
1602.14
Includes classification, wage rates
Training Records
Non-Safety
CU + 7 GC6250 et
seq
Employee applications, volunteer program training,
class training materials, internships;
Personnel (by name) T + 7 GC34090 Paperwork documenting officers internal and external
training
Safety CU + 2 GC34090 Certifications/designations
Vehicle Mileage
Reimbursement Rates
S + 2 GC 34090 Annual mileage reimbursement rates
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-22
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
INFORMATION
SERVICES
Internet, World Wide
Web
S + 2 GC34090 Management/Policies and supporting documentation
Inventory, Information
Systems
S + 2 GC34090 Hardware/Software Inventory logs; systems manuals
Network Information
Systems (LAN/WAN)
CU + 4 GC34090;
CCP 337.2;
343
Configuration maps and plans
Program Files and
Directories
CU + 2
CU + (2
mos.)
CU + 1
CU + .5
GC34090;
GC34090.7
Annual backup
Daily backup
Monthly backup
Weekly backup
Tapes Information
Systems
CU + 2
GC34090 System Generation
LEGAL/ LEGISLATIVE
Agendas CU + 2 GC34090 Original agendas and special meeting notices, including
certificates of posting, original summaries, original
communications and action agendas for Council,
Boards and Commissions
Agenda Reports
(Master, Subject Files)
CU + 2 GC34090
(d)
Documentation received, created and/or submitted to
Council
Appeals, Civil CU + 3 CCP
583.320(a)(
3); GC
34090
Applications, Boards,
Commissions,
Committees
CL + 2 GC34090 Not selected
Applications, Boards,
Commissions,
Committees
T + 5 GC34090;
GC40801
Selected
Articles of
Incorporation
P GC34090;
CCP 337.2
Case Log CL + 7 CCP 337.2;
343
From Close of cases listed; Chronological listing of
cases
Case Records - (High
Profile)
P GC6254 Significant cases which have importance/or set legal
precedence. Includes logs, complaints, police reports,
court orders, motions, notes, briefs
Case Records CO + 7 42 USC
s1983
Includes logs, complaints, police reports, court orders,
motions, notes, briefs, closing statements (unless
minors - 3 years after attaining 18)
Contracts and
Agreements
Excl. Capital
Improvement
T + 5
CCP 337.2,
343;
B&P7042.5;
*
Includes leases, equipment, services or supplies
*PU7685; 48 CFR:2; GC53066
Incl. Capital
Improvement
P 2.08.110;* Construction
*GC37090a; 4004; H&S 19850
Index, Attorney Case L GC6254 Including notations on activities related to case
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-23
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Legal Advertising CU + 4 CCP 343,
349 et seq.;
GC 911.2;
GC 34090
Includes public notices, legal publications
Logs, Attorney Service
Request
CU + 2 GC34090 Service request, summaries of monthly requests
Minutes P GC34090(d)
; GC36814;
GC40801
Official minutes and hearing proceedings of governing
body or board, commission or committee
Notices, Meeting CU + 2 GC
34090.7,
54960.1(c)(
1)
Special meetings
Opinions S + 2 GC34090;
GC6254
Confidential
Ordinances P GC34090(d)
40806
Charter amendments; municipal code
Petitions CU + 1 GC50115;
GC6253
Submitted to legislative bodies
Resolutions
P GC34090(d)
40801
Legislative actions
Tapes, Audio/Video CU + 3
mos.
GC 34090.7 When used for minute preparation and may have
historical value.
MUNICIPAL CLERK
Assessment Districts P GC 34090 Original documentation
Inventory, Records
CU + 2
GC34090;
80 OPS
Atty. Gen.
106
Inventory of non-current or inactive records holdings
and location, indices. Tapes may be recycled.
Municipal Code P GC 34090 Supplements included
Public Records
Request
CL + 2 GC 34090
Records Management CL + 2 GC34090 Document includes retrieval, transfers - inactive
Records Management
Disposition
Certification
P
GC34090 Documentation of final disposition or records
Records Retention
Schedules
S + 4 CCP 343
POLICIES/
PROCEDURES
General Administrative S + 2
GC34090;
40801
All city policies and procedures
Policy, Council/
Proclamations
S + 2 GC34090 Policies, directives rendered by Council not assigned a
resolution or ordinance number
PUBLIC FINANCING
AUTHORITY
Administration P GC 34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-24
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Financial Records P GC 34090,
40802,
53901
Management Reports 2 GC 34090
PUBLIC INFORMATION
Brochures,
publications,
newsletter, bulletins
S + 2 GC 34090
Calendar, City CU + 2 GC 34090
Media Relations CU + 2 GC 34090 Includes cable, newspaper, radio, message boards,
presentations.
RISK MANAGEMENT
Accident Reports - City
Assets
CL + 7 29 CFR
1904.2; 29;*
Reports and related records
* CFR 1904.6
Bonds, Insurance P CCP 337.2;
343
Bonds and insurance policies insuring city property and
other assets
Claims, Damage CL + 5 GC34090;
GC25105.5
Paid/Denied
Incident Reports CL + 7 29 CFR
1904.2; 29
CFR 1904.6
Theft, arson, vandalism, property damage or similar
occurrence (excluding fire/law enforcement)
Insurance, ACCEL JT
Powers Agreement
P
GC34090 (Authority California Cities Excess Liability Insurance) B
Accreditation/ MOU=s/agreement/agendas
Insurance, Certificates P GC34090 Insurance certificates filed separately from contracts,
includes insurance filed by licensees
Insurance,
Liability/Property
P
GC34090 May include liability, property, Certificates of
Participation, deferred, use of facilities
Insurance, Workers
Compensation
P GC6410;
29 CFR
1910.20
Indemnity; PERS - working files - originals with
Administrator
Photographs,
Negatives, Film
CL + 2 GC34090
Risk Management
Reports
CL + 5 OMB 1220-
0029; 29
CFR1904.4;
GC 34090
Federal OSHA Forms; Loss Analysis Report; Safety
Reports ; Actuarial Studies
Workers
Compensation
P CCR 14311;
15400.2;
CA
Labor Code
110-139.6
Claim Files, Reports, Incidents
(working files) originals filed with Administrator
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-25
DEVELOPMENT
Record Series Retention Citation Descriptor
ADMINISTRATION
Benchmark Data CU + 2 GC34090d Horizontal, vertical & control
Bids & Proposals
(Unsuccessful)
CL + 2 GC34090d
Bonds
Development
CL + 10 CCP 337.5 Housing; Industrial Development
Security CL + 2 GC34090 Documentation created and or received in connection
with the performance of work/services for the city, or
for parcel maps and subdivision work
Code Books P GC34090e National Electrical Code, Uniform Building, Fire,
Mechanical, Plumbing & Supplements
Contractor CU + 2 GC34090d Current listing
Correspondence CU + 2 GC34090d Working documentation
Development
Conditions
L GC34090 Mitigation measures; filed with case files
Development
Agreements
P CCP337,
337.1(a),
337.15;
GC34090;4
8 CFR
4.703
Infrastructure contracts, franchises. Original
maintained for 7 years.
Development
Standards
P GC34090a Landscape mediums, parkway landscape
development, public works construction
Drawings, Project Plan CU + 2 GC34090d Does not include those usually filed with case or
project
Franchises P GC65864,
65869.5,
34090*
Including subdivision agreements, contracts for sale
or purchase of property, cable, grant of easements
and/pr involving construction of improvements
*CCP 337.2, 343; AC16023
General Subject Files CU + 2 GC34090d Internal working files including correspondence
Grants,
Community/Urban
Development (includes
CDBG)
CL + 4 24CFR
570.502(b)
(3);
241CFR
85.42 &
OMB Cir. A-
110, Attach.
C; *
Project files, contracts, proposals, statements, reports,
sub-recipient dockets, Environmental review, grant
documents, applications, inventory, consolidated plan,
etc. Includes Section 108 loan guarantee *OMB Cir.
A-102 & 128, HUD regulations
Historic Preservation
Inventory
2 GC34090d Historic structures & landmarks
Incident Files 2 GC34090d Emergency Call Outs
Land Uses,
nonconforming
P GC34090a Building or site usage which does not conform to
current standards
Logs CU + 5 Logs, registers or similar records listing permits,
certificates of occupancy issued; may include
inspection, building activity, daily, plan check, utility
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-26
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Maps & Plats P GC34090a Engineering & field notes and profiles; cross-section
of roads, streets, right-of-way, bridges; may include
annexations, parks, tracts, block, storm drains, water
easements, bench marks, trees, grading, landfill, fire
hydrants, base maps, etc.
Master Plans, Annual S + 2 GC34090 Special or long range program plan for municipalities –
coordination of services; strategic planning
Permits, Construction P GC34090a;
H&S19850;
4003; 4004
Plans, building, signs, grading, encroachment,
including blueprints and specifications
Permits, Other CL + 2 GC34090d Alterations, encroachment, excavations, road, street
sidewalks & curb alterations, transportation,
swimming pool drainage, temporary uses, etc.
Photographs S + 2 GC34090d Aerial photographs
Projects, Not
Completed or Denied
CL + 2 GC34090d Building, engineering, planning
Reports CU + 2 GC34090 Activity, periodic
Seismic Retrofit
Program
P GC34090a Includes Certificates of Compliance
Street Names and
House Numbers
P GC34090a Street dedications, closings, address
assignment/changes
Studies, Special
Projects & Areas
CL + 2 GC34090d Engineering, joint powers, noise, transportation
Surveys P GC34090a Recording data and maps
BUILDING
Blueprints,
Specifications
CL + 2 GC34090d Submitted by contractors with application for permit
and builds for Certificate of Occupancy
Certificates L GC34090a Compliance, elevation, occupancy which affect real
property
Construction
(Approved)
P GC34090a;
4003; 4004;
H&S 19850,
19853
New commercial and residential construction, tenant
improvements room additions, spa, signs, block wall,
remodel including security bonds
Inspection CL + 2 GC34090d Correspondence, fees, appeal requests, reports
Permits P GC34909a;
H&S 19850;
4003;4004
Plans, building, signs, grading, encroachment permits
Signs (Temporary) S + 2 GC34090d Home occupations, off-premise signs
CODE ENFORCEMENT
Abandoned Vehicles CL + 2 GC34090d
Case Files CL + 2 GC34090d Building, housing and mobile home code violation
records including inspections; public nuisance
rubbish and weed abatement, vehicle abatement,
citations, massage parlor permits, general
Liens & Releases,
Supporting
Recorded
CL + 2
P
GC34090
Utilities, abatement, licenses
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-27
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Logs CU + 2 GC34090d Lien Recovery, citations, complaints
Regulations S + 2 GC34090d Includes rules
Reports, Federal and
State
P GC34090a Code enforcement statistics; may contain records
affecting title to real property or liens thereon
Violations, Building,
Property & Zoning
CL + 2 GC34090d Supporting code enforcement activity
ENGINEERING
Capital Improvement
Projects
CL + 10 CC337.15 Supporting documents including bidders list,
specifications, reports, plans, work orders, schedules,
etc.
Construction Tracking,
Daily
P CC337.15 Assesses value of real property
Drawings, Traffic
Control Plan
P GC34090a Signs, signing & striping, road construction
Flood Control CL + 2 GC34090d Storm Drains
Special Districts P GC34090a Supporting documents re: improvement, lighting,
underground utility; bonds, taxes & construction
Street/Alley
(Abandonment/
Vacation)
CL + 2 GC34090d Relinquishment of rights and fee title
Traffic Signals CL + 2 GC34090d Counts, collisions, accidents
ENVIRONMENTAL
QUALITY
Air Quality (AQMD) CU + 7 CCP
338(k);
GC34090
Participants/voucher logs, Total Daily Mileage Survey
(TDM); various local authorities; Commute Alternative
Asbestos P GC34090a Documents abatement projects, public buildings
California
Environmental Quality
Act (CEQA)
P GC34090a
+ CEQA
Guidelines
Exemptions, Environmental Impact Report, Mitigation
monitoring, negative declaration, notices of
completion and determination, comments, statements
of overriding considerations
Congestion
Management
CU + 2 GC34090d Ride sharing, trip reduction
Environmental Review CL + 2 GC34090d Correspondence, consultants, issues, conservation
Pest Control CU + 2 GC34090d Pesticide applications, inspections & sampling,
documents
Soil CL + 2 GC34090d Analysis, construction recommendations
Soil Reports P GC34090d Final Reports
HOUSING
Bonds CL + 4 CCP 337 Revenue Bond Documentation
Programs CL + 3 24 CFR
570.502(b)(
3); 24 CFR
85.42 &
OMB Cir. A-
110, #C
Includes comprehensive Housing Authority Strategy,
Meeting Credit Certificate, Housing bond advisory,
HOME, In-Lieu Housing Mitigation, Low/Moderate
Housing, Rental Housing Assistance
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-28
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Redevelopment
Budgets
Bond Issues
P
P
GC 34090,
40802,
53901
GC43900 et
seq.
Includes annual audit
MUNICIPAL FACILITY
Capital Improvements,
Construction
P 2.083110;
GC34090a;
4004; H&S
19850;
GC34090a
Contains records re: Planning, design, construction,
conversion or modification of local government-owned
facilities, structures & systems
Facility Rentals/Use CU + 2 GC34090 Permits, contracts, diagrams, schedules, insurance
binders
Maintenance &
Operations
CU + 2 GC34090d Service requests, invoices, supporting documentation;
buildings, equipment, field engineering, public
facilities including work orders and graffiti removal
PLANNING
Case files, Planning
and Zoning
P GC34909a;
H&S 19850;
4003;4004
Pertains to real property. May include blueprints,
drawings, maps, plans, reports, evaluations,
correspondence, uses, permits, variances, studies,
appeals, compliance certificates, lot line adjustments
or other planning-related matters brought before
legislative body
Certificates L GC34090 Retain during life of structure
Flood Records CU + 2 GC34090
General Plan and
Elements
P GC34090 Includes sphere of influence
General Plan
Amendments
Approved
Denied
CL + 2
CU + 3
GC34090
GC65103; *
* GC50110
Interpretations CU + 2 GC34090
Maps, Plans,
Drawings, Exhibits,
Photos
P GC34090;
H&S 19850;
GC34090.7
Zoning, tentative subdivision, parcel, land use map,
aerial photos, specific plans
PROPERTY
Abandonment P GC34090a Buildings, Condemnation, Demolition
Acquisition/
Disposition
Disposition
CL + 10 GC34090a;
GC6254
Supporting documents re: sale, purchase, exchange,
lease or rental of property by City
Annexation Case Files P GC34090a Reports, agreements, public notices
Appraisals CL + 2 GC34090;
GC6254(h)
Exempt until final acquisition or contract agreement
obtained
Deeds & Promissory
Notes
P GC34090a * * 24 CFR 570.502(b)(3); 24 CFR 8.42 & OMB Circ. SA-
110
Maps, City Boundary P GC34090d Recorded maps, surveys, monuments
Lot Split Cases P GC34090
Relocation Files CL + 2 GC34090 e.g., Redevelopment
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-29
FINANCE
Record Series Retention Citation Descriptor
ACCOUNTING
Accounts Payable AU + 4 GC34090 Invoices, check copies, supporting documents
Accounts Receivable AU + 4 GC 34090
Applications CL + 2 GC34090 Utility connections, disconnects, registers, service
Assessment Districts P GC 34090 Collection information; Original documentation files
with municipal clerk
Bank Reconciliation AU + 5 GC34090; 26
CFR 16001-1
Statements, summaries for receipts, disbursements &
reconciliation
Billing Records AU + 2 GC34090 Customer name, service address, meter reading, usage,
payments, applications/cancellations
Budget AU + 2 GC 34090
Budget adjustments,
journal entries
AU + 2 GC34090 Account transfers
Checks AU + 5 GC34090;
CCP 337
Includes payroll, canceled & voided checks
Deposits, Receipts AU + 4 GC 34090;
CCP 337
Checks, coins, currency
Invoices AU + 2 GC34090 Copies sent for fees owed, billing, related documents
Journals
Utility Billing CU + 2 GC34090 Billing including monthly activity
Ledger, General P GC34090; * * CCP 337
Voucher AU + 4 GC34090;
CCP 337
Account postings with supporting documents
Taxes, Receivable AU + 3 CCP338
Warrant Register AU + 2 GC 34090.7
ADMINISTRATIVE
SERVICES
Budget Operating
(copies)
S GC34090 Departmental Reference
Budget, Proposed CU + 2 GC34090 Presented to Council
Adopted P GC 34090
FIXED ASSETS
Inventory AU + 4 GC34090; 26
CFR 301 65-
1(F)
Reflects purchase date, cost, account number
Surplus Property
Auction AU + 2 GC34090 Listing of property
Disposal AU + 4 GC34090;
CCP 337
Sealed bid sales of equipment
Vehicle Ownership &
Title
L VC 9900 et
seq.
Title transfers when vehicle sold
LICENSE
Business T + 4 GC34090;
CCP 337
Paid & reports
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-30
FINANCE (CONTINUED)
Record Series Retention Citation Descriptor
PAYROLL
Adjustments AU + 4 GC 34090
29 CFR
516.5 – 516.6
Audit purposes
Employee Time Sheets AU + 6 GC34090; 29
CFR 516.2*
Signed by employee for audit & FEMA Reports
*20 CFR 516.6(1); IRS Reg. 31.6001-1(e)(z); R&T 19530;
LC 1174(d)
PERS Employee
Deduction Reports
T + 4 GC34090;
CAC 22-
1085-2
Record of deductions
(PERS Public Employee Retirement System) *26CFR
31.6001-1;29 CFR 516.5, 516.6, LC 1174(d)
Register P GC34090;
GC37207
Labor costs by employee & program
Salary Records T + 3 GC34090; 29
CFR 516.2
Deduction authorization, beneficiary designations,
unemployment claims, garnishments
PURCHASING
Bids, RFQ’s, RFP’s
Successful
Unsuccessful
AU + 4
AU + 5
CU + 2
GC34090;
CCP 337; *
Requests for Qualifications; Requests for Proposals
regarding goods and services * GC 25105-1; GC 34090
Requisitions
Purchase Orders AU + 4 GC34090;
CCP 337
Original documents
Stores CU + 2 GC34090 Completed forms for ordering
Vendor Register P GC34090 Alpha vendor listing of purchase orders, invoices,
account numbers and check date
REPORTS
Audits P GC 34090
Deferred Compensation T + 5 GC34090; 26
CFR 16001-
1*
Records of employee contributions and city payments
*29 CFR 1627.3(2)
Federal and State Tax AU + 4 GC34090;
29USC 436
*
Forms 1096, 1099, W-4’s and W-2's
*26 CFR 31.6001.1-4; IRS REG 31.6001-1(e)(2);R&T
19530;29 CFR 516.5-516.6
Financial, Annual AU + 7 GC 34090.7
Investment
Transactions
P GC34090;
CCP 337;
GC 53607
Summary of transactions, inventory & earnings report
Labor Distribution AU + 2 GC34090 Costs by employee & program
Meter Reading CU + 2 GC34090
State Controller P GC34090 Controller may destroy after 5 years
Utility Rebates CU + 2 GC34090
TREASURER
Bank Statements AU + 2 FC 3368,
30210; GC
43900 et
seq.
Financing authority
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-31
FINANCE (CONTINUED)
Record Series Retention Citation Descriptor
Bonds
Account
Statements
CL + 10 GC34090;
CCP 337.5
Monthly statement of transactions.
Administration CL + 10 GC34090;
CCP 337.5
Supporting documents
Bonds and
Coupons
CL + 2 GC34090;
53921
Paid/canceled
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-32
PUBLIC SAFETY
Record Series Retention Citation Descriptor
EMERGENCY
MANAGEMENT
Mutual Aid, Strategic
Plans
S + 2 GC34090
FIRE SAFETY
ADMINISTRATION
Books, Fire Code S + 3 GC34090.7
CCP 340.5
Include OPS manuals
General Orders,
Policies/Procedures
S + 2
Inspections, Fire
Prevention
CL + 3 UFC 103.34 Alarm/sprinkler systems, prevention efforts
Investigations,
Evidence Arson
P PC 799 Support prosecution resulting in homicide
Investigations,
Evidence Arson
CL + 6 PC 800 Great bodily harm, inhabited structure or property
Journals, Fire Station CU + 2 GC34090 Activities, personnel, engine company
Permits, Uniform Fire
Code
CL + 2 GC34090
PERSONNEL
Exposure T + 30 29 CFR
1910.1020
Sampling results, collection methodology, background
Exposure T + 1 29 CFR
1910.1020
Laboratory reports and worksheets
Medical T + 30 29 CFR
1910.1020
Medical T + 2 29 CFR
1910.1020; *
Employees less than one year
*GC34090
Training T + 2 GC34090 Certifications/designations
PROPERTY
Apparatus/Vehicle CU + 2 GC34090
CCP 340.5 *
Repair and Maintenance
*8 CAL Code Reg. 3203 (b) (1)
Inventory, Equipment &
Supplies
CU + 2 GC34090
Logs, Fire
Equipment/Gear
CU + 2 GC34090
REPORTS
Incident CL + 3 GC34090
CCP338 *
Dispatch and daily logs
*CCP 340.5
Field, Non-fire and Logs CU + 2 GC34090
Fire, Non-arson and
Logs
CU + 2 GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-33
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Investigations,
Evidence Arson
CL + 3 PC 801; UFC
104.32
Structure
Weed Abatement CL + 2 GC34090 Reports, assessments, resolutions, documentation
HAZARDOUS
MATERIALS
Hazardous Waste
Disposal
CU + 10 CAL OSHA;
40 CFR
122.21
Documentation re handling and disposal of hazardous
waste
Permits, Hazardous
Materials Storage
CU + 2 GC34090 Departments consistently recommend permanent
retention of environmentally sensitive materials.
Programs, Household
Hazardous Waste
S + 2 GC34090
Training Materials S + 2 Cal Code * Standards and Administration
*Reg. 3204(d), et seq.
Underground Storage
Tank
Compliance
Maintenance &
Operation.
P
CU + 2
GC34090a
GC34090
Documents re: storage
Location, installation, removal, remediation
LAW ENFORCEMENT
ADMINISTRATION
Accounting/Cash
Reconciliation
CU + 2
GC34090
Alarm Records CU + 2 GC34090
Claim Files CL + 6 PC 832.5 Claim copy, correspondence, photographs, supporting
documents relative to incidents involving the Police
Department filed by citizens
Department Manual S Changes to manual are recorded in the General Orders
(permanent)
Equipment
Communication
T + 2 GC34090 Retained until termination of equipment use; Manuals,
instructions, procedures
Inventory S + 2 GC34090 Listing of equipment assigned to division, to whom it is
assigned
Reports
Activity
CU + 2 GC34090 Weekly/monthly/quarterly/
annual activity/statistical reports by division. Retain
only one form for retention period
Chemical Emissions CU + 2 GC34090
Survey
Response
Files
CU + 2 GC34090 Surveys, responses, correspondence with other
agencies requesting statistical data
INVESTIGATIONS
Administrative/Internal
CL + 5 PC 832.5
EVC 1045
GC 12946
PC 801.5;
803(c)
VC 2547
Initiated by citizens complaints or internally initiated;
includes complaint, reports, findings
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-34
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Asset Forfeiture
Investigations/
Proceedings
Case File
CL + 2 GC34090
Notifications CU + 2 GC34090 To legal property owner prior to case filing that property
is subject to asset forfeiture proceedings. If case is
filed, notification becomes part of forfeiture case file.
Case Books,
Investigative
CL + 2 GC34090 Retained by division until a case is suspended/closed;
transfer to Records Division to be filed with associated
Daily Report (DR) file
Case Files
Homicide
Investigator’s
File
P PC 799
Narcotics (No
arrest, Narcotics Cases)
CL + 2 GC34090 Retained by division until no longer useful for
investigative purposes
Officer Involved
Shootings
CL + 25 GC34090
Court
Daily
Schedule
CU + 1 GC34090.7 Printouts of daily court scheduling
Sign-In Logs CU + 2 GC34090 Logs officers’ names, time in/out for court appearances
Tracking
System Records
CU + 2 GC34090 Database records subpoena number, officer name, case
number, defendant name, district attorney name, court
information disposition
Evidence, Disposition
Forms
Attach to duplicate Property Report, file w/DR in
Records Division
Fingerprint
Applicants Files
T + 2 GC34090 Paperwork authorizing fingerprinting and background
checks for city employment applicants and business
license applicants
Inked/Palm
Cards
AC + 20 Persons booked into detention facility; (Copies
distributed to county, state, federal agencies)
Records
Latents
Approp. PC
Section
1) Retain for applicable case statute of limitation; 2) or
until evidence in case is destroyed; Hard copy and
digitized
Suspect,
Adult/Juvenile
CL Law
Enforcement
Management
Guide by
POST
Adults/juveniles suspected of a crime, taken for
comparison. Destroy after original purpose achieved
Guns, Dealers Record
of Sale
CU + 6 PC 12070 Applicants, Monthly Gun Audits, Applications Denied,
Stolen (DOJ File)
Informant Files T + 10 Legal notifications, identification information, payment
information, activities information
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-35
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Record Series Retention Citation Descriptor
Jail
Daily Logs
CU + 6 GC34090 Daily report of staffing, bookings/releases, transfers,
transportation
Inmate Record Dependent on facility’s classification; see Laws and
Guidelines for Local Detention Facilities by Board of
Corrections (State of California)
Inspection Files CL + 6 Inspections by various agencies
Surveys CL + 2 GC34090 Prepared quarterly, forwarded to State Board of
Corrections
Licenses
Bicycle
CU + 2 GC34090
Bingo, Mace CU + 2 GC34090
Business
License Review Board
Administrative Files
T + 1 GC34090
Duplicate (Pink),
Secondhand
Dealer,
Pawn Brokers
CU + 2 GC34090 Original to licensee, Blue duplicate to DOJ; Pink
duplicate retained by agency; renewals issued annually
by local agency
Logs
Auto Theft
S
Case
Assignment
CU + 1
Daily
Activity
CU + 2 GC34090
Officer CU + 2 GC34090 Daily activity of incidents not reported by use of official
report
Report
Summary
CU + 2 GC34090 Report numbers, type, names, dates retained for
research value
Investigative
(Pre-Arrest)
CL + 10 GC34090 Retained by division until cases are suspended and
closed
Juvenile
Detention
CU + 2 GC34090 Logs document juvenile processing per CYA
Property
Control
CU + 2 GC34090 Logs items coming into and going out of property room
Rap Sheet CL + 2 GC34090 Requests for criminal history
Subpoena CU + 2 GC34090 Subpoenas received/served daily
Pawn Slips/Tickets CU + 3 B & P 21628
Photographs Crime Scene, Registrant/Applicant, Photo file, Accident.
Retain according to practical and functional
association.
Daily Report
(Negatives)
T GC34090 Assigned DR number, retained as form of evidence,
destroyed at same time evidence for associated case is
destroyed
Inmates
(Negatives)
CU + 20 By Prisoner number
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-36
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Registration Files,
Arson, Sex and
Narcotics
Life of
registrant
within juris-
diction
Fingerprint Card, photo, information also forwarded to
DOJ
Arrest/Conviction H&S
Section 11357 (b), (c),
(d), (e) or H&S Section
11360 (b) violations
(Occurring after
January 1, 1996)
2 (Man-
datory
destruc-
tion from
date of
convic-tion
or date of
arrest with
no convic-
tion)
H&S
11361.5
Applicable to convictions occurring after January 1,
1996 or arrests not followed by a conviction occurring
after January 1, 1996; Exception: H&S 11357(e), the
record shall be retained until a juvenile offender attains
the age of 18 years, then destroyed pursuant to 11361.5
Arrest/Conviction
H&S Section 11357(b),
(c), (d), (e) or H&S
Section 11360 (b)
violations (Occurring
before January 1, 1996)
Man-datory
Destruc-
tion
(Upon
notice from
Depart-
ment of
Justice)
H&S 11361.5
(c)
Applicable to convictions occurring prior to January 1,
1996 or arrests not followed by a conviction occurring
prior to January 1, 1996 for violations of H&S Code
11357, 11364, 11365 and 11550
Crime
Felony Crimes
With
Or Without
Arrests
See
descriptor
PC 800
PC 801
Prosecution for an offense punishable by imprisonment
in state prison for eight years or more must commence
within 6 years after offense commission.
Commencement of prosecution defined in PC 804.
Exception: See PC 803 - Tolling/Extension of time
periods; Appeals process and “Three Strikes” also
considerations in assigning retention.
Misdemeanor/
Infractions
CL + 2 GC34090 No arrests, identifiable property or missing persons
(See: Note 1)
Supplemental
Felony Capital Crimes,
Crimes Punishable by
Death, Life
Imprisonment
P PC 799 No statutory limitation for prosecution. Includes
Murder, kidnapping for ransom, treason, procuring
execution by perjury, train wrecking, assault with a
deadly weapon by a life-term prisoner, bombing
resulting in death or bodily injury, making defective war
materials that cause death
Destruction
Guns
P
Narcotics P
Disposition of
Arrest/Court Action
Retention determined by action taken; i.e., recordable
arrest or detention (released no arrest)
False Alarm (Duplicate) CU + 2 GC34090
Non-Criminal
Occurrences
CU + 2 GC34090 Injured or sick persons; missing persons where person
has been returned; traffic collision reports not used as
the basis for criminal charges
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-37
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Property Original Until case
is adjudi-
cated/
disposi-tion
deter-
mined
Copy retained in records case file; Refer to Managing
Property in Law Enforcement Agencies (By POST)
Range Inventory S + 2 GC34090 Quarterly reports of inventories of weapons and
ammunition held by Department Range
Reports
CU + 2 GC34090 Arrest & Citation Register; Arson Offenses; Crimes
Against Senior Citizens; Death in Custody; Domestic
Violence; FBI Include Return A/Supp;
Hate Crime Incidents; Homicide Reports, Supp.;
Officers Killed or Assaulted; Original to FBI - DOJ;
Uniform Crime Reports
Statistical (Crime
Analysis)
CU + 2 GC34090 Internally generated information using activity logs,
citizen calls, current and past crime statistic reports,
finance dept expenditure and budget records; citations,
crime reports, accident reports, permits, receipts.
Reports created for variety of purposes including
increases/decreases in criminal activity; officer
workload, deployment, time usage
Statistical (UCR),
Uniform Crime Reports
Mandatory to DOJ
(LEIC); FBI Include
Return A/Supplement;
Supplementary
Homicide Report; Law
Enforcement Officers
Killed or Assaulted;
Monthly Return of
Arson Offenses Know
to Law Enforcement;
Number of Violent
Crimes Committed
Against Senior Citizens;
Monthly Report of
Domestic violence
Related Calls for
Assistance; Monthly
Arrest and Citation
Register; Monthly Hate
Crimes Incidents; Death
In Custody Reporting.
CU + 2 GC34090 Originals sent to FBI, DOJ
Research Project Files CL + 2 GC34090 May include request forms, background materials, staff
reports, final project reports and supporting data
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-38
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Sealed
Adult Found
Factually Innocent
Manda-tory
Destruc-
tion Upon
and Pursu-
ant to Court
Order
PC 851.8 General provision: Upon petition, records of agency
must be sealed and destroyed in accordance with the
provisions set by court record; exceptions.
Juvenile Manda-tory
Destruc-
tion upon
and pursu-
ant to court
order
WIC 826 (a)
& (b)
WIC 781 (a)
Upon petition, local laws enforcement records within
WIC 826(b) may be destroyed as ordered by the court, if
related probation and juvenile court records have been
destroyed by the probation officer. Records involving
arrests, detention and/or petitioning juvenile before
juvenile court
Subpoenas (Duplicate) CU + 2 GC34090
Tapes
Audio,
Telephone and Radio
Communications
CU + 180
days
GC34090.6 Exception: Recordings used as evidence in a criminal
prosecution or claim filed or litigation or potential
claims and litigation shall be preserved for 100 days
after conclusion of the court action
Surveillance/Se
curity Video (Jail)
CU + 13
mos.
GC34090.6
Use of Force
Supervisory Review
Files
CU + 2 GC34090 Includes review forms, arrest report copies, logs
Warrants
Felony
Recall after
10 years.
Excep-tion:
Murder/
Escape
Recommended by the California Law Enforcement
Warrant Officer’s Association
Misdemeanor
Criminal
Recall after
5 years
Recommended by the California Law Enforcement
Warrant Officer’s Association
Served CU Includes Warrant Service Information Card, alpha index
card
Unserved
(Local)
Until
served,
recalled or
purged
PATROL
Cards
Dispatch
CU + 2 GC34090
Field Interview CL + 2 GC34090
Citations
11357(e),
Juvenile
CL + 2 11361.5 H&S
11357b H&S,
11357c H&S, 11360b
H&S Violations
CL + 2 11361.5
H&S*
*CA Admin Code, Chapter 1, Title II, Sec. 708
Cite and
Release
CL + 2 GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-39
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
California
Vehicle Code
Infractions (Duplicates)
CU + 90
days
GC34090 Original is forwarded to court.
Parking/Traffic,
Duplicates
CU + 2 GC34090.7 Originals are forwarded to court after agency
processing; includes citations electronically created
Transmittals CU + 2 GC34090 Listing of citations forwarded to court, filed for
reference
Equipment
Radio Logs
(Communication)
CU + 2 GC34090 Documents problems, malfunctions, resolution to
provide equipment performance history
General Orders P
Patrol Requests
(Correspondenc
e)
CU + 2 GC34090 From citizens for patrol presence
Radar Calibration
Records
T + 2 GC34090 Documentation of Radar instruments retained during
use/ownership
Reports
Accident
CL + 2 GC34090 Non-Jury
Traffic Collision
Fatalities
P
Vehicle
Assignment
Reports
S Record of assignments
Down Reports CU + 1 Printouts reporting which vehicles are down for repair,
maintenance, etc.
Repossession/P
rivate Impounds
CU + 2 GC34090
Service
Schedules
S GC34090
Vests, Bulletproof
Letters
CU + 2 GC34090 Authorization to purchase
Warrants
Parking
Recall after
1 year
Recommended by the California Law Enforcement
Warrant Officer’s Association
Traffic Recall after
5 years
Recommended by the California Law Enforcement
Warrant Officer’s Association
Weapons, Database P Departmentally-owned weapons, personal weapons,
alternate weapons, secondary handguns; produces
inventory reports
SERVICES
Chemicals/Film
Inventories
S
Equipment
Inventory/Sign-
out Cards- Photo
Lab
T
Operations Files
- Photo Lab
T Retain until equipment no longer owned/used by
department; Manuals, instructions, procedures for
use/operations of photographic equipment
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-40
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Grievance Files CL + 2 GC34090 Grievance filed by employees, supporting
documentation
Investigations,
Background
CL + 2 GC34090 Non hired
Background
Hired
P Include original reports re: PC 832.5 investigations
Parades & Special
Events File
CL + 2 GC34090 Reports, memos, correspondence, scripts, supplier
information, assignments, deployments, supporting
documentation
Permits
Alcoholic
Beverage Control
License
L + 2 GC34090 Approval process
Concealed
Weapons
CL + 2 GC34090
Photographs
Personnel
S + 2 GC34090
Negative Log CU + 2 GC34090
Negatives, Misc. CU + 2 GC34090 Not case-related (Public relations, promotions, events,
ceremonies, staff photos)
Press Releases CU + 2 GC34090
Press, Video Programs
(Community Relations)
CU + 2 GC34090 Collection of videos of programs and events; outside
press coverage of department
Property Files CU + 2 GC34090 Original reports and supplemental documentation (Lost,
Found, Safekeeping)
Property, Pawn
Broker/Secondhand
CU + 2 GC34090 Sales, slips. Dealer required to file duplicate with
agency
Reports
Dealer of Gun
Sales, Duplicate
CU + 6
mos.
GC34090.7 Original maintained by DOJ. Dealer required to file
duplicate with agency
Restraining Orders,
Emergency Protective
Orders, Temporary
Restraining Orders,
Legal Stipulations,
Orders After Hearing
CU
(See
descriptor)
Destroy after law enforcement actions described in PC
273.5, 273.6, 646.9, 12028.5, 13700 and Family Code
Sections 6380-6383 are fulfilled and effective date of
restraining order has expired.
Rosters (Divisional) S + 2 GC34090 Personnel assigned to division.
Schedules
Daily
CU + 2
GC34090
Schedules of Officers on duty
Watch
Assignment/
Timekeeping
Records
CU + 2 GC34090
Speaker Requests CU + 2 GC34090 Community and business requests for public
appearances, speakers
Tests, Densitometer
Results (Photo Lab)
T + 2 GC34090 Daily tests of development chemicals/processes for
quality control.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-41
PUBLIC SAFETY (CONTINUED)
Record Series Retention Citation Descriptor
Training
Bulletins
P
Event Files CU + 2 GC34090 Correspondence, brochures, promotional materials, info
on speakers, guests, supporting documents
Lesson Plans,
Range
CL + 15 Scope, content, time period of courses
Personnel (by
name)
T + 7 GC34090 Paperwork documenting officers’ internal and external
training
Schedules,
Range
CU + 2 GC34090 Daily, weekly, monthly schedules of training events at
range
Volunteer Card Files T + 2 GC34090 Volunteers’ identification, contact information
Note 1: The destruction of felony, misdemeanor and infraction Crime/Supplemental Reports is
permitted providing:
1. They do not relate to an unadjudicated arrest except for H&S 11357 or H&S 11360
violations;
2. They do not relate to unserved warrants;
3. They do not involve identifiable items which have not been recovered;
4. They do not relate to PC 290, PC 457.1, or H&S 11590 registrants;
5. They do not relate to violations listed in PC Sections 799 and 800;
6. The cases are not presently involved in either a civil or criminal litigation.
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-42
PUBLIC WORKS
Record Series Retention Citation Descriptor
PARKS
Agendas, Board CU + 2 GC34090
Grants (refer to Admin.)
Inventory, Equipment AU + 2 GC34090 Warranties, purchase orders
Landscape CU + 2 GC34090 Drawings, contracts, complaints, specifications,
photos, reports
Maintenance/
Operations
C + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints
Maps P GC34090 Irrigation, plot plans
Minutes, Board P GC34090
Photographs S + 2 GC34090
Plans, Proposed CU + 2 GC34090 Future plans, new sites, expansions
Policies and
Procedures
S + 2 GC34090 Includes rules and regulations
Railroad Right-of-way CL + 3 36 CFR
64.11
Land acquisitions, correspondence, improvements,
statutory records
Reports
Accident CL + 2 GC34090 Patrons, employees
Others CL + 2 GC34090
Studies CL + 2 GC34090 Future sites, expansions
Resolutions, Board P GC34090
Schedules, Class &
Events
CU + 2 GC34090 Enrollment, liability releases, evaluations, attendance,
flyers
SANITATION/ SOLID
WASTE/
WASTEWATER
Collections/Landfill CU + 2 GC34090 Daily records, usage
Facilities CU + 2 GC34090 Correspondence, maps, patron list
History, Sanitation P GC34090 Where City-owned
Incineration Plants,
Sludge
CU + 2 40 CFR
61.54
Sludge, sampling, charging rate to measure mercury
content
Incinerator Operations,
Treatment Plant
CU + 2 40 CFR
60.153
Gas flow through wet scrubbing, oxygen content of
exhaust gas, sludge rate, temperatures, fuel flow, total
solids and volatile solids
Maintenance and
Operations
CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints
Maps, Septic Tank P GC34090 Location maps
Rates CU + 2 GC34090
Recycling Programs S + 2 GC34090
Regulations S + 2 GC34090 Includes legislation
Reports
Studies CL + 2 GC34090
Tonnage CU + 2 GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-43
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
STREETS/ALLEYS
Abandonment/
Vacations
P GC34090
Closures P GC34090
Easements,
Dedications, Rights-of-
Way
P GC34090
Field Books P GC34090
Grants (see Admin.)
Intersection Records CU + 2 GC34090 Includes correspondence, volume counts, accident
history
Inventory, Traffic
Control Device
S + 2 GC34090 Signs, lights
Landscaping CU + 2 GC34090 Plants, tree maintenance, work orders
Lighting CU + 2 GC34090 Maintenance, work orders
Maintenance/
Operations
CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints, signals, striping
Maps P GC34090 Fire hydrants, lighting districts, wheel chair ramps,
storm drains, streets, sidewalks, sewers
Master Plans CU + 2 GC34090 Copies
Parking
Lots CU + 2 GC34090
Regulations S + 2 GC34090
Reports/Studies CL + 2 GC34090
Permits
Encroachment P GC34090
Improvement CL + 2 GC34090 May include curbs, sidewalks; Applications for
excavation, fill, alterations
Oversize
Load
CL + 2 GC34090
Parking CL + 2 GC34090 Residential
Paving CL + 2 GC34090
Use
(Temporary)
CU + 2 GC34090 Includes Special Events
Photographs S + 2 GC34090 Includes aerials
Plans, Capital
Improvement, Projects
P GC34090 Streets, curbs, gutters, sidewalks, storm drains
Policies and
Procedures
S + 2 GC34090 Includes rules, regulations, standards
Naming and
numbering
P GC34090
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-44
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Speed Limits S + 2 GC34090
Programs
Federal Aid
Urban
CL + 23 CFR 633
(a) & (c)
Traffic Safety S + 2 GC34090 Drivers Education, Pedestrian Safety, Bicycle Lanes
Reports
Bridges &
Overpasses
L GC34090 Life of structure
Inspection CU + 2 GC34090 Includes intersection, sidewalks. Bridges and
Overpasses, keep life of structure
Studies CL + 2 GC34090 Traffic volume, accident history, requests, statistics,
drawings supporting traffic devices
Traffic Count CL + 2 GC34090 Evaluation of traffic volume
Vehicle
Accident
CL + 2 GC34090
Routes, School Bus &
Truck
S + 2 GC34090 Truck routes, access ramps, rest areas
Signage L + 2 GC34090 Log books, index register cards, inventory lists,
records of traffic signs
Traffic Signals L Logs, drawings, wiring diagrams, codes, circuit
numbers, installation records, testing and
maintenance.
Weigh Scales S + 2 GC34090
UTILITIES
Facilities T + 2 GC34090 If city owned
Gas & Electric Rates S + 2 GC34090
Underground P GC34090 GC4003, GC4004; H&S 19850
WATER
Billing/Customer
Records
CU + 2 GC34090 Billings, correspondence, complaints
Connection Records P GC34090 Maps, water line connections
Flood Control
Drainage
Facilities
P GC34090 Includes dams, lakes, basins, creeks
Flood Zones P GC34090 Includes flood maps
Insurance
Programs
S + 2 GC34090 Includes copies of policies, rules, programs
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-45
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Policies/
Procedures
S + 2 GC34090 Rules and Regulations
Reports/
Studies
CL + 2 GC34090
Grants (see Admin.)
Inventory, Equipment CU + 2 GC34090
Locations P GC34090 Mains, valves, hydrants, wells
Maintenance and
Operations
CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning,
reports, complaints
Service CU + 2 GC34090 Includes work orders, entry cards, manholes, service
to property owners
Well & Pumping CU + 2 GC34090 Times operational, power used and quantity
Maps P GC34090 Line location; easements
Master Plans CU + 2 GC34090 Copies
Meter Operations CU + 2 GC34090 Reader reports, orders, tests Maintenance Reports
Permits
National
Pollutant
Discharge
Elimination
System
NPDES)
P 40 CFR
122.28
Municipalities of 100,000/more, compliance with Clean
Water Act re: pollutants
Others CU + 2 GC34090 May depend on terms of state or federal agency
Policies and
Procedures
S + 2 GC34090 Includes rules and regulations
Rates S + 2 GC34090
Reclamation CU + 5 40 CFR
122.41
Daily operations including sewage flow, grit removal,
chlorine usage, lab analysis results, etc.
Reports
Conservation CU + 2 GC34090
Consumption CU + 2 GC34090
Corrosion
Control
CU + 12 40 CFR
141.91
Compliance documentation
Discharge
Monitoring
CU + 5 40 CFR
122.41
Average amount of pollution discharged into waters of
municipality.
Drinking
Water
Corrections
CU + 10 40 CFR
141.33
Hydrograph P GC34090 Daily flow of streams
Lead
Service Line
CU + 12 40 CFR
141.91
Compliance documentation
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-46
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Public
Education
CU + 12 40 CFR
141.91
Compliance documentation
Quality
Parameters
CU + 12 40 CFR
141.91
Compliance documentation
Sanitary
Surveys
CU + 10 40 CFR
141.33
Statistics, reports, correspondence
Source
Water
CU + 12 40 CFR
141.91
Compliance documentation, e.g. lead & copper
State
Certification
CU + 12 40 CFR
141.91
Compliance documentation
Variances,
Water System
CU + 5 40 CFR
141.33
Well Level CU + 2 GC34090
Sources CU + 2 GC34090 May include wells, rivers, lakes, districts
Surveyor Field Notes P GC34090 Notes preparatory to maps of water installations
Surveys, Water System
Sanitary
CU + 10 40 CFR
141.33
Statistics, reports, correspondence
Tests
Bacteriological
Analysis
CU + 5 40 CFR
141.33
Compliance records include location, date, method
and results; corrections, analysis of bacterial content
Chemical
Analysis
CU + 10 40 CFR
141.33
Compliance records include location, date, method
used and results; corrections, analysis of chemical
content
Quality CU + 12 40 CFR
141.91
Compliance documentation including sampling data,
analysis, reports, surveys, documents, evaluation,
schedules, valves, etc.
Valve Main Records P GC34090
Violations, Drinking
Water
CU + 3 40 CFR
141.33
Retention applies to each violation
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-47
TRANSPORTATION
Record Series Retention Citation Descriptor
ADMINISTRATION
Agreements T + 4 CCP 337 Including concessionaire, slip rental, facility storage
Applications
Aircraft Storage
Parking
Slip Rentals
T + 2 GC34090 Payment invoices, inventory listings, billing correspondence
and other related documents
Special Events CU + 2 GC34090 Permits, correspondence, related documents re use of
rights of way
Fueling AU + 3 CCP 337 Meter readings, fuel consumption reports, invoices, receipts
and records pertaining to refueling operations
Hazardous Waste
Disposal
CU + 10 CAL
OSHA;
40 CFR
122.21
Documentation re: the handling and disposal of hazardous
waste
Inventory, Equipment
Parts & Supplies
L + 2 Includes vehicles, aircraft, vessels and related documents re
repairs
Inventory, Vehicle
Ownership and Title
L + 2 Owners manual, warranty documents, Department of Motor
Vehicle title and registration, and related documents
Licenses, Permits CU + 2 Forms, related documentation re: licenses and permits
required by federal and state agencies
Maintenance/
Operations
L + 2 GC34090 Related to requests for service and work orders for fuel,
vehicle and equipment maintenance and repairs
Report, Accident
(Copies)
CU + 2 GC34090 Memos and working documents
Vehicle Assignment CU + 2 GC34090 Log books, request forms, lists
AIRPORT
Airport Certification P 14 CFR
139.207b &
171.13-
171.213
Federal Aviation Administration (FAA) required manuals
Airport Noise
Monitoring and
Complaint
CU + 10 Correspondence, studies, memos, reports, log books,
documents related to assessment of noise levels at airports
and resolution of complaints
Inspection, Runway CU + 10 Maintenance including Inspection reports, work orders and
related records
Inspection, Safety Self CU + 2 CFR
139.327
Safety inspection and related document include reviews and
analysis of all aspects of airport operation
Maintenance, FAA P 14 CFR
171.13 -
171.213
Forms and reports required by FAA including Forms FAA-
198, -418, -6030-1, -6790-4
LOCAL GOVERNMENT – RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
C-48
TRANSPORTATION (CONTINUED)
Record Series Retention Citation Descriptor
Reports
Accident and
Incident
(Aircraft)
CL + 8 Accidents, injuries, property damages, general conditions re
pilot and aircraft
Airport
Operational
(Regulatory)
P Annual and special reports to federal and state regulatory
agencies.
Airport
Operational
(Administrative)
CU + 2 Logs, statistical summaries; administrative records
NOTAM (Notice
to Airmen)
CU + 3 Reports re: conditions affecting airport
maintenance/operations
GROUND
TRANSPORTATION
Auto for Hire T + 4 GC34090 License, permits for Taxicabs, shuttles, etc
HARBOR
Registers, Transient
Vessel Reservation
AU + 3 Reservation applications, receipts, and index registers
relating to boats in transit, temporarily moored
Slip Rental Index CU + 5 Annual and periodic reports of slip renters
Slip Rental Permits CL + 2 Applications, statement of rental conditions, vessel
inspection check sheets, copy of DMV registration, boat
owner information, and other documents re: dock slip
spaces
Slip Rental Waiting List CU + 2
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