HomeMy WebLinkAbout2015 Records Retention PolicyRECORDS RETENTION
POLICY AND SCHEDULE
PREPARED BY THE
OFFICE OF THE CITY CLERK
CITY OF SAN LUIS OBISPO
FEBRUARY 2015
City of San Luis Obispo Records Retention Policy and Schedule Page 2
CITY OF SAN LUIS OBISPO
POLICY FOR THE PRESERVATION, PROTECTION, RETENTION AND
LEGAL DISPOSITION OF THE CITY’S RECORDS
OVERVIEW OF RECORDS MANAGEMENT
One of the purposes for records management is to ensure that information is available when it is
needed. To do this efficiently and thoroughly, records must be identified, organized, maintained
for the requisite number of years, and then documented when destroyed. Records management
encompasses all the record-keeping requirements that allow an organization to establish and
maintain control over information flow and administrative operations, seeking to control and
manage records through the entirety of their life cycle, from creation to final disposition.
A sound records management program doesn't cost—it pays. It pays by improving customer
service, increasing staff efficiency, allocating scarce resources, and providing a legal foundation
for how an agency conducts its daily mission. It helps identify and justify opportunities for new
technology. Microfilm, optical disk, optical character recognition, workflow, e-mail, and other
related technologies cannot be adequately evaluated and cost-justified without a good records
management program. Other benefits include:
Providing public access to and protecting the public's rights to inspect public records in
accordance with the California Public Records Act;
Preservation of records with long-term or permanent value;
Protection of records vital to City government in the event of a disaster;
Protection of records essential to City government, but which are referenced infrequently;
Demonstration of compliance with legal retention requirements established by federal,
state, and local authorities;
Orderly retirement and destruction of records no longer required by statute to be retained
or needed for reference;
Elimination of duplicate records filed in several departments;
Ensuring proper administration of records not subject to disclosure;
Providing protection in litigation, audits, and other disputes;
Saving space; and
Increased efficiency in information retrieval.
Understanding the importance of a good records management program is to establish policies
and procedures for the efficient and economical management of the creation, utilization,
maintenance, retention, preservation, and disposal of City records, based on federal and state
statutes governing public records. And, further, to ensure that a responsible program of records
management is practiced within the City organization, serving the best interest of the City and its
citizens.
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DEFINITIONS
Public Record
Any writing containing information relating to the conduct of the City’s business prepared,
owned, used, or retained by the City regardless of physical form or characteristics.
Active Record
Records kept in the office and referred to on a regular basis.
Archives
A repository for housing historical records (whether in paper, microfilm, or digital) which should
be protected or preserved.
Disposition
The length of time a record is kept, which may be permanent.
Electronic Mail
E-mail retention is governed by the City's Electronic Mail Policy and is hereby incorporated by
reference. A hard copy of said policy is on file in the City Clerk’s Office.
Historical Record
The retention of records that have enduring value because they reflect significant historical
events or document the history and development of the City.
Inactive Record
Any public record transferred to a records center for storage until disposition is reached.
Non-Record
Materials that are not retained in the normal course of business, such as records that contain no
information of significant or lasting value such as transmittal letters, acknowledgements, and
drafts, rough notes, and calculations created and used in the preparation or analysis of other
documents.
Records Management
The systematic control of the creation, processing, use, protection, storage, and final disposition
of all public records pursuant to federal, state, and local laws and regulations.
Records Retention Schedule
The document identifying the length of time a record is maintained, including disposition.
Transitory Records
Records whose value is comparatively short-lived and should be discarded when they have
fulfilled their purpose for which they were created. Examples: 1) copies of reproduced/printed
material of general information; 2) originals/copies of documents kept solely for tickler,
suspense, or follow-up; 3) preliminary work materials used for preparation of reports, studies,
etc.; 4) duplicates/extra copies of records; and 6) appointment logs/calendars.
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Vital Record
Records contain information essential for the resumption of operation after a disaster or the
reestablishment of the legal and financial status of the organization.
Writing
Any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting
by electronic mail or facsimile, and every other means of recording upon any tangible thing, any
form of communication or representation, including letters, words, pictures, sounds, or symbols,
or combinations thereof, and any record thereby created, regardless of the manner in which t he
record has been stored.
OWNERSHIP OF PUBLIC RECORDS
All public records are the property of the City and shall be delivered by outgoing officials and
employees to their successors. Public records are to be maintained in active file areas or in a
designated records center.
PRIMARY RECORD KEEPING DEPARTMENTS
City Council - The ultimate policies for the keeping, producing, permitting copies, and
management of all public records of the City shall rest with the City Council.
Officers and Employees - Each officer and employee of the City has the duty to protect,
preserve, store, transfer, destroy or otherwise dispose of, use and manage public records in
accordance with applicable federal and state regulations, or such rules as may be approved by the
City Council.
City Attorney - The duty of the City Attorney shall be to review and approve requests to dispose
of records in accordance with the City’s adopted Records Retention Schedule; and to provide
legal guidance to the City Clerk in any review of and amendment to the retention schedule, in
accordance with federal, state and city regulations.
City Clerk - The City Clerk may, for the proper and efficient management of the public records:
1. Develop and circulate instructions and regulations necessary and proper to implement the
Records Retention Schedule.
2. Advise and assist City departments in the preparation of records inventories, retention
periods, and make recommendations to the City Attorney.
3. Maintain archives to protect records of historic nature, which should not be destroyed.
4. In consultation with the City Attorney, revise the Records Retention Schedule and/or
policy as appropriate. (Resolution No. 9174)
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City Department Heads - Each City Department Head shall establish and maintain an active,
continuing program for the economical and efficient management of the public records of that
department. Such program shall, among other things, provide for:
1. Effective controls over the creation, maintenance, and use of public records in the
conduct of business.
2. The maintenance and security of records deemed appropriate for preservation.
3. Segregation and disposal of records of temporary value in accordance with the
established retention schedule and this policy.
HANDLING DOCUMENTS FROM INCEPTION TO DESTRUCTION
Creating Files
Department personnel are advised to begin new files with an eye to the future disposition of the
file being created. For example, by knowing that the information/materials contained within a
new file will be retained for a specific number of years, it would be prudent to create the file on a
calendar year or perhaps fiscal year basis. Planning ahead avoids separating files later when it
comes time for storage and/or destruction. Also, reviewing the department's retention schedule
beforehand can avoid the necessity and time-consuming activity of separating permanent
information/documents from short-term materials prior to time of destruction.
One other suggestion is to ensure some level of consistency in labeling and identifying files
within a department, particularly at the time of creating new ones.
Converting Hard Copy to Electronic Formats
Government Code Section 34090.5 authorizes the conversion of hard copy materials and records
onto other electronic mediums (i.e., burning CDs or DVDs or other format reasonably accepted
within the industry, as may be determined by the City Clerk) as long as the following conditions
are met:
A. The record, paper, or document is photographed, microphotographed, reproduced by
electronically recorded video images, recorded in electronic data processing system,
recorded on optical disk, or any other medium that is a trusted system and that does not
permit additions, deletions, or changes to the original document;
B. The device or method used to reproduce the record, paper, or document reproduces the
original in all details and does not permit additions, deletions, or changes to the original
document images;
C. The reproductions are made accessible for public reference as the original records were;
and
D. A true copy of archival quality of the film, optical disk, or any other medium
reproductions shall be kept in a safe and separate place for security purposes.
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If the above conditions are met, subject to system verification by the City Clerk and City
Attorney, the public official having custody of the records (Department Head) may convert the
hard copy to a permissible electronic format and destroy the hard copy.
The Secretary of State’s Local Government Records Management Guideline, Trustworthy
Electronic Document or Records Preservation Standards, and Association for Information and
Image Management’s Recommended Practice for Analysis, Selection, and Implementation of
Electronic Document Management Systems are on file with the City Clerk’s Office.
Practical Application with Current Technology
In accordance with the Secretary of State’s guidelines on “trustworthy electronic document or
records preservation” the City Clerk, in consultation with the City Attorney, has determined that
documents scanned and electronically stored in JPEG, JBIG, JPEG 2000, TIFF, or PDF-A image
format, retained in a document/library service such as Laserfiche, and the images/documents are
twice duplicated onto a trusted electronic media, such as Archival Grade DVD-R – Said hard
copies may be destroyed. Here is an example how this process might work:
1. Scan a document into Laserfiche.
a. Documents should be stored as JPEG, JBIG, JPEG 2000, TIFF, or PDF-A images.
2. Place the original hard copy (now scanned) in a banker box for pending destruction.
3. Now that several boxes of documents have been scanned and are electronically stored in
Laserfiche
a. Back-up the current Laserfiche volume onto Archival Grade DVD-R.
b. Repeat the process to create a second duplicate copy.
c. Retain one back-up DVD on-site and one back-up DVD off-site.
d. Create a new volume in Laserfiche.
4. Now that the original hard copy has been scanned, stored in Laserfiche, and twice
duplicated onto trusted media – The original hard copy may be destroyed.
DISPOSITION OF PUBLIC RECORDS
At least annually, each Department is responsible for reviewing all records in its custody.
Records that have reached the end of their retention period are to be destroyed pursuant to the
Destruction of Public Records section of this manual. Electronic versions of those records must
also be deleted at the same time.
The City Council, by adopting the Records Retention Schedule, authorizes City Department
Heads to destroy duplicate records less than two years old if the records are no longer required in
accordance with adopted retention schedules.
All original records to be destroyed must be listed. Requests for the destruction of original
records must be approved by the responsible Department Head and the City Attorney prior to
destruction. A Request for Records Destruction/Certificate of Destruction (sample 1) and listing
of documents to be destroyed (sample 2), and copy of the appropriate page(s) from the records
retention schedule shall be filed in the Office of the City Clerk.
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Note: Once authority has been received to destroy records, all forms of that record must be
destroyed (or deleted): paper, microfilm/fiche, electronic format.
This section does not authorize the destruction of the following original records:
A. Records affecting the title to real property or liens thereon;
B. Records required to be kept by statute;
C. Records less than two years old; or
D. Minutes, ordinances, or resolutions of the City Council or of a City Advisory
Body.
The City has identified that shredding and recycling the paper produced from the destruction of
these records is the most appropriate method of disposal. Accordingly, although the specific
method used for destruction shall be at the discretion of the Department Head, it shall reflect a
method of destruction that recycles any paper products and avoids the use of sanitary landfill
sites.
RECORDS RETENTION CODES
A/E After expiration
AU Audit
CU Current
CL Closed/Completed
D/R Destroy when no longer relevant
E After Election
P Permanent
S Superceded
T Termination
AUTHORIZING CODE CITATIONS
CCP Code of Civil Procedure
CCR Code of California Regulations
CFR Code of Federal Regulations
EC Election Code
GC California Government Code
PC Penal Code
SLOMC San Luis Obispo Municipal Code
USC United States Code
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SAMPLE 1 – Records Destruction
MEMORANDUM
DATE XX/XX/XX
TO: Department Head
City Attorney
FROM: Dept. Records Coordinator
SUBJECT: REQUEST FOR RECORDS DESTRUCTION
On April 24, 2001, the City Council adopted Resolution No. 9174 establishing a Records
Retention Policy and Schedule. In accordance wit h that policy and schedule, certain records have
been identified as eligible for destruction. A listing of those records and relevant sections from
the records retention schedule are attached.
Provide general information about the request: (Example: 15 boxes of records exceeding the
retention requirements and, as such, are being prepared for destruction. The method of
destruction will be via recycling.)
Please sign below indicating your approval for the destruction of the attached listing of records.
___________________________________ __________________________________
Department Head City Attorney
CERTIFICATE OF DESTRUCTION
I, (employee name), do hereby certify that the records listed on the attached were properly
disposed of on (date).
___________________________________
Original: City Clerk’s Office
Copy: Department
Attachments:
1. List of records to be destroyed
2. Relevant sections of the records retention schedule
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SAMPLE 1- Records Destruction List
RECORD FOR DESTRUCTION
FINANCE STORAGE ROOM
TO BE DESTROYED MARCH 2015
DEPT/DIV
CREATION
YEAR
DESTROY
YEAR
DESCRIPTION
Accounting 2000 2005 Receipt Journals, Budget Amendments
Accounting 2001 2006 Receipt Journals, Budget Amendments
Accounting 2002 2007 Receipt Journals, Budget Amendments
Accounting 2003 2008 Receipt Journals, Budget Amendments
Accounting 2004 2009 Receipt Journals, Budget Amendments
Accounting 2000 2010 Receipt Journals, Budget Amendments
Admin 2000 2010 Department Policies
Admin 2000 2010 City Manager Reports
Admin 2000 2010 Staff Meeting Notes
Admin 2000 2010 In House Committees
AP 2003 2006 General Correspondence
AP 2004 2007 General Correspondence
AP 2005 2008 General Correspondence
AP 2006 2009 General Correspondence
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SAMPLE 2 – Conversion to Electronic Records
MEMORANDUM
DATE XX/XX/XX
TO: City Clerk
City Attorney
FROM: Dept. Records Coordinator
SUBJECT: CONVERSION OF HARD COPY TO ELECTRONIC RECORDS
In accordance with the City’s Records Retention Policy, certain records have been identified as
being eligible for conversion from hard copy to electronic copy and will be maintained with a
trusted system as described in the Secretary of State Guidelines for Trustworthy Electronic
Document or Records Preservation Standards.
Record Titles to be eligible for electronic retention:
Example:
Payroll
Payroll Charges
Payroll Reports
Time Sheets
Please sign below indicating that the record titles are appropriate for electronic retention and the
retention system meets the requirements of the records retention policy.
Department Head City Attorney City Clerk
Original: City Clerk’s Office
Copy: Department
City of San Luis Obispo Records Retention Policy and Schedule Page 11
SAMPLE 3 – Addition to Retention Schedule
MEMORANDUM
DATE XX/XX/XX
TO: City Clerk
City Attorney
FROM: Dept. Records Coordinator
SUBJECT: ADDITION TO RECORDS RETENTION SCHEDULE
In accordance with federal, state, and local regulations the following records titles should be
incorporated into the City’s Records Retention Schedule.
Record Series Record Title Retention
Period
Dept.
Responsible
Code Section/
Remarks
100 Action Update 2 Administration GC34090
Please sign below indicating your approval for the addition of the above listed records titles.
Department Head City Attorney City Clerk
Original: City Clerk’s Office
Copy: Department