HomeMy WebLinkAbout2014-246 RESOLUTION NO. 2014-246
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RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF
2 SAN BERNARDINO REPEALING RESOLUTION NO. 2008-299 AND ADOPTING
THE STATE OF CALIFORNIA RECORDS RENTENTION SCHEDULE.
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4 NOW THEREFORE, BE IT RESOLVED BY THE MAYOR AND COMMON
COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS:
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6 WHEREAS, On February 5, 1996 the Mayor and Common Council of the City of
7 San Bernardino adopted Resolution No. 96-36 which adopted the City Clerk's Office,
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Records and Information Management (RIM) Program, and adopted the Records Retention
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10 Schedule as an attachment to said resolution; and
11 WHEREAS, On April 21, 1997 the Mayor and Common Council of the City of San
12 Bernardino adopted Resolution No.97-106 repealing the Records Retention Schedule set by
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Resolution 96-36, and adopted the 1997 Record Retention Schedule as an attachment to said
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15 Resolution; and
16 WHEREAS, On November 2, 1998 the Mayor and Common Council of the City of
17 San Bernardino adopted Resolution No. 98-310 repealing Resolution 97-106 and adopted the
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Revised 1998 Records Retention Schedule as an attachment to said resolution; and
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20 WHEREAS, On August 4, 2008 the Mayor and Common Council of the City of San
21 Bernardino adopted Resolution No. 2008-299 repealing Resolution 98-310 and adopted the
22 Revised 2008 Records Retention Schedule as an attachment to said resolution; and
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WHEREAS, the City Clerk's Office has established said Records and Information
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25 Management (RIM) Program, and request that the Mayor and Common Council continue its
26 support of said program; and
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1 WHEREAS, the continued objective of the City Clerk's Office, Records and
2 Information Management (RIM) Program is to improve information and records keeping
3 policies and procedures while providing records and information in a timely manner to
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at the lowest practical cost; and
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6 WHEREAS, the City Clerk's Office finds it appropriate to amend the Records
7 Retention Schedule (RRS) at this time; and
8 WHEREAS, the Records and Information Management (RIM) Program
9 demonstrates that the City of San Bernardino City Clerk's Office makes every reasonable
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11 attempt to retain and dispose of its records in accordance with applicable guidelines and
12 good business practices;
13 NOW THEREFORE BE IT RESOLVED BY THE MAYOR AND
14 COMMON COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS:
15 SECTION 1. The Mayor and Common Council of the City of San Bernardino do
16 hereby continue their support of the City Clerk's Office Records and Information
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Management (RIM) Program by repealing Resolution No. 2008-299 and adopting the State
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19 of California Records Retention Schedule attached hereto as Exhibit "A" and incorporated
20 herein.
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2014-246
RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF
1
SAN BERNARDINO REPEALING RESOLUTION NO. 2008-299 AND ADOPTING
2 THE STATE OF CALIFORNIA RECORDS RENTENTION SCHEDULE.
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4 I HEREBY CERTIFY that the foregoing Resolution was duly adopted by the Mayor
5 and Common Council of the City of San Bernardino at a j oint regular meeting thereof,
6 held on the 7th day of July , 2014, by the following vote, to wit:
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Council Members: AYES NAYS ABSTAIN ABSENT
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9 MARQUEZ x
10 BARRIOS x
11 VALDIVIA x
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SHORETT
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NICKEL x
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15 JOHNSON x
16 MULVIHILL x
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18 Georgea Hanna, y Clerk
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The foregoing resolution is hereby approved this 7 day of July , 2014.
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21
L.
22 Virg la M rque , all; Pro Tern
City of Sab Bernardi T
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24 Approved as to form:
GARY D. SAENZ, City Attorney
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26 B .
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WP q a y
.......
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SECRETARY OF STATE
LOCAL GOVERNMENT
RECORDS MANAGEMENT GUIDELINES
SECRETARY OF STATE DEBRA BOWEN
ARCHIVES DIVISION
RECORDS MANAGEMENT
(916) 653-3834
FEBRUARY 2006
EXHIBIT "A"
2014-246
LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES
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
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• 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
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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 0 Street
Sacramento, CA 95814
(916) 653-3834, Fax (916) 653-7134
Imetzer@sos.ca.gov
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT
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+1 Active until new budget approved*
Cost Recovery - Federal Active+7 Active until claim paid then 7 or until audited,
whichever is first*
Cost Recovery - State Active+4 Active until claim paid then 4 or until audited,
whichever is first*
Grants Active+2 Active until end of grant year*
Equipment/Supplies/Space
Inventory Active Active until revised*
Purchase Request/Order Active+4/7 Active 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+2 Active until maintenance complete*
Hardware/Software Active Active until revised/rescinded/superseded*
Documentation
Vehicle Files 2
Personnel
Duty Statements Active Active until revised*
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Employee Records Active+1 Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, Confidential Destruction. (CD)*
Attendance Active+1 Active until employee leaves/terminates. PRA 6254,
IPA 1798.40, CD.*
Travel Active+1 Active 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+4/7 Active 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 4
Authorization
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT '
Forms File Active+1 Active until revised/rescinded/superseded*
Legislation/Regulations/Legal
Bill Analysis 3 PRA 6254
Research Information 3 PRA 6254
Proposed 4 PRA 6254
Legislation/Regulations
Legal Opinions Active+1 Active 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.
A-3
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
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.orq/
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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
NAGARA
48 Howard Street
Albany, NY 12207
1-518-463-8644
http://www.nagara.orq/
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.orq/
CA Secretary of State
Provides records management guidelines for local government agencies through the
California State Archives web site.
California State Archives
1020 0 Street
Sacramento, CA 95814
(916) 653-3834
Imetzer(c�sos.ca.gov
CA Department of General Services — California Records and Information
Management (CaIRIM)
CaIRIM establishes guidelines for state agencies to manage their records programs,
including the management of electronic records and using technology such as imaging.
CaIRIM provides training, Master Service Agreements to streamline the contracting
process for records and imaging technologies and consultation, and other services to
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
help customers establish and maintain effective records programs. CaIRIM 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
•
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
LOCAL GOVERNMENT
RECORDS RETENTION
GUIDELINES
August 1999
City Clerks' Association of California
California State Archives 2002 Version
c-1
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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.
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
DEVELOPMENT1
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
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
ApparatusNehicle 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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
•
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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, PrecinctsNoter 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
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
C-13
2014-246
LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
C-14
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
INDEX
ITEM CATEGORY PAGE
Training Records -Safety Administration C-21
Travel Records Administration C-19
i 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
C-15
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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
C-16
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION
Record Series Retention Citation Descriptor
AUDIT
Annual Financial CL+2 GC34090 Independent auditor analysis
Report
Bonds CL+ 10 GC34090; Final bond documentation
CCP 337.5
Budget P GC34090 Annual operating budget approved by Legislative
Body
Budget Operating S GC34090 Departmental Reference
(copies)
Hearing or Review AU +2 GC34090; Documentation created and or received in connection
OMB A-128 with an audit hearing or review
Reports AU +4 GC34090; Internal and/or external
OMB A-128
Reviews, CU GC34090; Daily,weekly, monthly, quarterly or other summary,
Internal/External GC6250 review,evaluation, log, list,statistics, except a report
Periodic
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 E+ .5 EC 17505; From date of election
Ballots and Envelopes EC 17302
Assisted, Challenged E+ .5 EC 17304 From date of election
Voters List
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 P California Property related fees(Assessment Ballot proceeding)
Prop.218 Constitution
(Assessment Art.XIII
Districts)
Calendar E+2 GC 34090
Canvass P GC 22932; Notifications and Publication of Election; Records
EC 17130; used to compile final election results, including tally
EC 2653 sheets,voting machine tabulation,detailed
breakdown of results; special election results
Certificates of Election T+4 GC 81009(a) Certificates of election; Original reports and
(d) statements
Charter P GC34458-60; Chapter designations by Secretary of State following
Amendments/ GC34090 adoption of voters
Measures
C-17
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Fair Political Practices
Administration/ CU +5 FPPC Opinions
Campaign
Statements and
Conflict of Interest
Campaign P GC81009(b) FPPC Filings
disclosure, Elected (g)
Campaign E+5 GC81009(b) FPPC Filings
disclosure,
Not Elected
Campaign E+7 GC81009 FPPC Filings
disclosure -
Unsuccessful
(all other
committees)
Candidate E+4 Sample ballot retained permanently.
Statements
History P GC 34090 History of elections,sample ballots,certificates of
destruction, other resolutions re: elections
Statement of T+7 GC FPPC Filings
economic interest- 81009(e)
Elected Officials
Statement of E+5 GC FPPC Filings
economic interest- 81009(b)
Not Elected
Lobbyist Registration P EC Statements
81009(b)
Maps, Precincts/Voter E+2 GC 34090;
Information EC 17501;
EC 17301
Nomination Papers
Successful E+4 EC 17100
Unsuccessful E+2 GC
81009(b)
Notifications and E+2 GC 34090 Proof of publication or posting,certification and listing
Publications 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; Elected Officials
29 USC
1113
Petitions .75 EC 17200, From date of filing or election; Initiative, referendum,
17400; GC recall, Charter Amendments
7253.5; EC
14700+GC
3756:8
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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 CU +5 EC 17000 Fire,special or school district
Signature Copy
GENERAL SUBJECT
Administration P GC 34090
Biographies CU +2 GC34090
Classifications and P GC 34090; Includes supplemental Personnel records. Wage rate
Appointments GC 12946; tables 2 years.
29 CFR
516.6(2); 29
CFR 1602.4
Correspondence/ CU +2 GC34090(d) If not attached to agreement or project file
Originating Department
Goals&Objectives CU +2 GC34090 Departmental goals&objectives
Policies&Procedures, S+5 GC34090(d) Retain while current
Departmental
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 T+4 GC34090; Applications, reports,contracts,supporting documents;
Development Block 24 CFR *OMB Cir.A-102,A-110,A-128
Grant and Urban 570.502
Development 24
CFR85.42*
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
C-19
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
HUMAN RESOURCES
Benefit Plan Claims P GC6250 et May include dental,disability,education, health, life and
seq; vision including dependent care and Employee
OMB A-129 Assistance
29 CFR *29 CFR 1637.3; 29 USC 1027; 29 CFR 1627.3; 29 USC
1602.30; 1113
32; Lab Rel
Sec 1174*
Benefit Plan CL+4 GC34090;
Enrollment, Denied OMB A-128
Bond, Personnel T+2 GC34090 Employee Fidelity Bonds
Fidelity
Employee Handbook S+2 GC 34090 General employee information including benefit plans
Employee Programs CL+2 GC 34090; Includes EAP and Recognition
GC 12946
Employee Rights GC12946; May include Arbitration,grievances, union requests,
General Employees T+2 29 CFR sexual harassment and Civil Rights,complaints,
Safety(Police) T+5 1602; 29 disciplinary actions
USC 211
(e); 203(m);
207(g)
Hourly Employees T+6 GC12946; *29 CFR 1627.3, Labor Relations Section 1174
GC34090*
Immigrant lmmigratio I-9's
n
Reform/Co
n-trol Act
1986 Pub. L
99-603
Medical Leave CL+30 FMLA 1993 May include Family leave; certifications; tests;W-4's;
US OSHA; *29 CFR 1602.30.32; 49 CFR 193-9;
29 CFR;
1910.20*
Motor Vehicle Pulls CL+7 GC12946,* *CA 91009; 8 USC 1324(a)
(DMV)
Negotiation P 29 USC Notes, notebooks,correspondence,contracts,and
Sections Memorandums of Agreements
211(c),
203(m),
207(g)
C-20
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Non-Safety Employees T+3 Reference: Non-safety employees may include: Release
29 CFR Authorizations; Certifications; Reassignments; outside
1627.3; employment; commendations disciplinary actions;
CCR Sec terminations; Oaths of Office; evaluations-pre-employee
1174; 29 medicals;fingerprints; identification cards(ID=s)
CFR *1607.4; 29 CFR 655.202; 29 CFR 516.6 et seq;45 CFR
1602.30.32; 1068.6(a)
GC6250 et
seq; 29
CFR; GC
12946,
34090*
Personnel Records CU +2 GC34090; Attendance; evaluations; drafts;worksheets; postings
(copies) GC6250
PERS,Social Security, P 29 CFR EEOC/ADEA
SSI 1627.3(2);
GC 12946,
34090
Recruitment CL+3 Reference: Applications, resumes,alternate lists/logs, indices;
GC12946; ethnicity disclosures; examination materials;
GC6250 et examination answer sheets,job bulletins; eligibility;
seq; electronic database
29 CFR
1602 et seq
• 29 CFR
1607;
29CFR
1627.3
Reports CU +2 GC34090 Employee statistics, benefit activity; liability loss
Safety Employees T+5 Reference: Police,fire,emergency employees may include; Release
29 CFR Authorizations; Certifications Reassignments; outside
16273; CCR employment; commendations disciplinary actions;
Sec 1174; terminations; Oaths of Office; evaluations-pre employee
29 CFR medicals*29 CFR 1602.30.32; 29 CFR 655.202; 29 CFR
1607.4;* 516.6 et seq; 45 CFR 1068.6(a)
Surveys and Studies CU +2 GC 12946, Includes classification,wage rates
34090; 29
CFR
516.6(2); 29
CFR
1602.14
Training Records CU +7 GC6250 et Employee applications,volunteer program training,
Non-Safety seq 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 S+2 GC 34090 Annual mileage reimbursement rates
Reimbursement Rates
C-21
2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
INFORMATION
SERVICES
Internet,World Wide S+2 GC34090 Management/Policies and supporting documentation
Web
Inventory, Information S+2 GC34090 Hardware/Software Inventory logs; systems manuals
Systems
Network Information CU +4 GC34090; Configuration maps and plans
Systems (LAN/WAN) CCP 337.2;
343
Program Files and CU +2 GC34090; Annual backup
Directories CU +(2 GC34090.7 Daily backup
mos.)
CU + 1 Monthly backup
CU + .5 Weekly backup
Tapes Information CU +2 GC34090 System Generation
Systems
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 CU +2 GC34090 Documentation received, created and/or submitted to
(Master, Subject Files) (d) Council
Appeals, Civil CU+3 CCP
583.320(a)(
3); GC
34090
Applications, Boards, CL+2 GC34090 Not selected
Commissions,
Committees
Applications, Boards, T+5 GC34090; Selected
Commissions, GC40801
Committees
Articles of P GC34090;
Incorporation CCP 337.2
Case Log CL+7 CCP 337.2; From Close of cases listed; Chronological listing of
343 cases
Case Records -(High P GC6254 Significant cases which have importance/or set legal
Profile) precedence. Includes logs,complaints, police reports,
court orders, motions, notes, briefs
Case Records CO+7 42 USC Includes logs,complaints, police reports,court orders,
s1983 motions, notes, briefs,closing statements(unless
minors-3 years after attaining 18)
Contracts and T+5 CCP 337.2, Includes leases,equipment,services or supplies
Agreements 343; *PU7685; 48 CFR:2; GC53066
Excl. Capital B&P7042.5;
Improvement
Incl. Capital P 2.08.110;* Construction
Improvement *GC37090a;4004; H&S 19850
Index,Attorney Case L GC6254 Including notations on activities related to case
C-22
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Legal Advertising CU +4 CCP 343, Includes public notices, legal publications
349 et seq.;
GC 911.2;
GC 34090
Logs,Attorney Service CU +2 GC34090 Service request,summaries of monthly requests
Request
Minutes P GC34090(d) Official minutes and hearing proceedings of governing
; GC36814; body or board,commission or committee
GC40801
Notices, Meeting CU +2 GC Special meetings
34090.7,
54960.1(c)(
1)
Opinions S+2 GC34090; Confidential
GC6254
Ordinances P GC34090(d) Charter amendments; municipal code
40806
Petitions CU + 1 GC50115; Submitted to legislative bodies
GC6253
Resolutions P GC34090(d) Legislative actions
40801
Tapes,AudioNideo CU +3 GC 34090.7 When used for minute preparation and may have
mos. historical value.
MUNICIPAL CLERK
Assessment Districts P GC 34090 Original documentation
Inventory, Records CU +2 GC34090; Inventory of non-current or inactive records holdings
80 OPS and location, indices.Tapes may be recycled.
Atty. Gen.
106
Municipal Code P GC 34090 Supplements included
Public Records CL+2 GC 34090
Request
Records Management CL+2 GC34090 Document includes retrieval,transfers-inactive
Records Management P GC34090 Documentation of final disposition or records
Disposition
Certification
Records Retention S+4 CCP 343
Schedules
POLICIES/
PROCEDURES
General Administrative S+2 GC34090; All city policies and procedures
40801
Policy,Council/ S+2 GC34090 Policies,directives rendered by Council not assigned a
Proclamations resolution or ordinance number
PUBLIC FINANCING
AUTHORITY
Administration P GC 34090
C-23
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED)
Record Series Retention Citation Descriptor
Financial Records P GC 34090,
40802,
53901
Management Reports 2 GC 34090
PUBLIC INFORMATION
Brochures, S+2 GC 34090
publications,
newsletter, bulletins
Calendar, City CU +2 GC 34090
Media Relations CU+2 GC 34090 Includes cable, newspaper, radio,message boards,
presentations.
RISK MANAGEMENT
Accident Reports-City CL+7 29 CFR Reports and related records
Assets 1904.2;29;* *CFR 1904.6
Bonds, Insurance P CCP 337.2; Bonds and insurance policies insuring city property and
343 other assets
Claims, Damage CL+5 GC34090; Paid/Denied
GC25105.5
Incident Reports CL+7 29 CFR Theft,arson,vandalism, property damage or similar
1904.2; 29 occurrence(excluding fire/law enforcement)
CFR 1904.6
Insurance,ACCEL JT P GC34090 (Authority California Cities Excess Liability Insurance) B
Powers Agreement Accreditation/MOU=s/agreement/agendas
Insurance, Certificates P GC34090 Insurance certificates filed separately from contracts,
includes insurance filed by licensees
Insurance, P GC34090 May include liability, property, Certificates of
Liability/Property Participation,deferred, use of facilities
Insurance,Workers P GC6410; Indemnity; PERS -working files-originals with
Compensation 29 CFR Administrator
1910.20
Photographs, CL+2 GC34090
Negatives, Film
Risk Management CL+5 OMB 1220- Federal OSHA Forms; Loss Analysis Report; Safety
Reports 0029; 29 Reports ;Actuarial Studies
CFR1904.4;
GC 34090.
Workers P CCR 14311; Claim Files, Reports, Incidents
Compensation 15400.2; (working files)originals filed with Administrator
CA
Labor Code
110-139.6
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
DEVELOPMENT
Record Series Retention Citation Descriptor
ADMINISTRATION
Benchmark Data CU +2 GC34090d Horizontal,vertical &control
Bids & Proposals CL+2 GC34090d
(Unsuccessful)
Bonds CL+ 10 CCP 337.5 Housing; Industrial Development
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 L GC34090 Mitigation measures; filed with case files
Conditions
Development P CCP337, Infrastructure contracts,franchises. Original
Agreements 337.1(a), maintained for 7 years.
337.15;
GC34090;4
8 CFR
4.703
Development P GC34090a Landscape mediums, parkway landscape
Standards development, public works construction
Drawings, Project Plan CU +2 GC34090d Does not include those usually filed with case or
project
Franchises P GC65864, Including subdivision agreements, contracts for sale
65869.5, or purchase of property, cable,grant of easements
34090* and/pr involving construction of improvements
*CCP 337.2, 343; AC16023
General Subject Files CU +2 GC34090d Internal working files including correspondence
Grants, CL +4 24CFR Project files, contracts, proposals, statements, reports,
Community/Urban 570.502(b) sub-recipient dockets, Environmental review, grant
Development(includes (3); documents, applications, inventory, consolidated plan,
CDBG) 241CFR etc. Includes Section 108 loan guarantee *OMB Cir.
85.42 & A-102 & 128, HUD regulations
OMB Cir.A-
110,Attach.
C;*
Historic Preservation 2 GC34090d . Historic structures & landmarks
Inventory
Incident Files 2 GC34090d Emergency Call Outs
Land Uses, P GC34090a Building or site usage which does not conform to
nonconforming 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
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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; Plans, building, signs, grading, encroachment,
H&S19850; including blueprints and specifications
4003; 4004
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 CL+2 GC34090d Building, engineering, planning
Completed or Denied
Reports CU +2 GC34090 Activity, periodic
Seismic Retrofit P GC34090a Includes Certificates of Compliance
Program
Street Names and P GC34090a Street dedications, closings, address
House Numbers assignment/changes
Studies, Special CL+2 GC34090d Engineering,joint powers, noise,transportation
Projects &Areas
Surveys P GC34090a Recording data and maps
BUILDING
Blueprints, CL+2 GC34090d Submitted by contractors with application for permit
Specifications and builds for Certificate of Occupancy
Certificates L GC34090a Compliance, elevation, occupancy which affect real
property
Construction P GC34090a; New commercial and residential construction,tenant
(Approved) 4003; 4004; improvements room additions, spa, signs, block wall,
H&S 19850, remodel including security bonds
19853
Inspection CL+2 GC34090d Correspondence,fees, appeal requests, reports
Permits P GC34909a; Plans, building, signs, grading, encroachment permits
H&S 19850;
4003;4004
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 CL+2 GC34090 Utilities, abatement, licenses
Recorded P
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Logs CU +2 GC34090d Lien Recovery, citations, complaints
Regulations S +2 GC34090d Includes rules
Reports, Federal and P GC34090a Code enforcement statistics; may contain records
State affecting title to real property or liens thereon
Violations, Building, CL+2 GC34090d Supporting code enforcement activity
Property&Zoning
ENGINEERING
Capital Improvement CL+ 10 CC337.15 Supporting documents including bidders list,
Projects specifications, reports, plans,work orders, schedules,
etc.
Construction Tracking, P CC337.15 Assesses value of real property
Daily
Drawings, Traffic P GC34090a Signs, signing & striping, road construction
Control Plan
Flood Control CL+2 GC34090d Storm Drains
Special Districts P GC34090a Supporting documents re: improvement, lighting,
underground utility; bonds, taxes &construction
Street/Alley CL+2 GC34090d Relinquishment of rights and fee title
(Abandonment/
Vacation)
Traffic Signals CL+2 GC34090d Counts, collisions, accidents
ENVIRONMENTAL
QUALITY
Air Quality(AQMD) CU + 7 CCP Participants/voucher logs,Total Daily Mileage Survey
338(k); (TDM);various local authorities; Commute Alternative
GC34090
Asbestos P GC34090a Documents abatement projects, public buildings
California P GC34090a Exemptions, Environmental Impact Report, Mitigation
Environmental Quality + CEQA monitoring, negative declaration, notices of
Act(CEQA) Guidelines completion and determination, comments, statements
of overriding considerations
Congestion CU +2 GC34090d Ride sharing, trip reduction
Management
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 Includes comprehensive Housing Authority Strategy,
570.502(b)( Meeting Credit Certificate, Housing bond advisory,
3); 24 CFR HOME, In-Lieu Housing Mitigation, Low/Moderate
85.42 & Housing, Rental Housing Assistance
OMB Cir.A-
110,#C
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
DEVELOPMENT(CONTINUED)
Record Series Retention Citation Descriptor
Redevelopment
Budgets P GC 34090, Includes annual audit
40802,
53901
Bond Issues P GC43900 et
seq.
MUNICIPAL FACILITY
Capital Improvements, P 2.083110; Contains records re: Planning, design, construction,
Construction GC34090a; conversion or modification of local government-owned
4004; H&S facilities, structures &systems
19850;
GC34090a
Facility Rentals/Use CU +2 GC34090 Permits, contracts, diagrams, schedules, insurance
binders
Maintenance & CU +2 GC34090d Service requests, invoices, supporting documentation;
Operations buildings, equipment, field engineering, public
facilities including work orders and graffiti removal
PLANNING
Case files, Planning P GC34909a; Pertains to real property. May include blueprints,
and Zoning H&S 19850; drawings, maps, plans, reports, evaluations,
4003;4004 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 P GC34090 Includes sphere of influence
Elements
General Plan
Amendments
Approved CL+2 GC34090
Denied CU +3 GC65103; * *GC50110
Interpretations CU +2 GC34090
Maps, Plans, P GC34090; Zoning, tentative subdivision, parcel, land use map,
Drawings, Exhibits, H&S 19850; aerial photos, specific plans
Photos GC34090.7
PROPERTY
Abandonment P GC34090a Buildings, Condemnation, Demolition
Acquisition/ CL + 10 GC34090a; Supporting documents re: sale, purchase, exchange,
Disposition GC6254 lease or rental of property by City
Disposition
Annexation Case Files P GC34090a Reports, agreements, public notices
Appraisals CL+2 GC34090; Exempt until final acquisition or contract agreement
GC6254(h) obtained
Deeds & Promissory P GC34090a* *24 CFR 570.502(b)(3); 24 CFR 8.42 &OMB Circ. SA-
Notes 110
Maps, City Boundary P GC34090d Recorded maps, surveys, monuments
Lot Split Cases P GC34090
Relocation Files CL+2 GC34090 e.g., Redevelopment
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2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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 Statements, summaries for receipts, disbursements &
CFR 16001-1 reconciliation
Billing Records AU +2 GC34090 Customer name, service address, meter reading, usage,
payments, applications/cancellations
Budget AU +2 GC 34090
Budget adjustments, AU +2 GC34090 Account transfers
journal entries
Checks AU +5 GC34090; Includes payroll, canceled &voided checks
CCP 337
Deposits, Receipts AU +4 GC 34090; Checks, coins, currency
CCP 337
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; Account postings with supporting documents A"
CCP 337
Taxes, Receivable AU +3 CCP338
Warrant Register AU +2 GC 34090.7
ADMINISTRATIVE
SERVICES
Budget Operating S GC34090 Departmental Reference
(copies)
Budget, Proposed CU +2 GC34090 Presented to Council
Adopted P GC 34090
FIXED ASSETS
Inventory AU +4 GC34090; 26 Reflects purchase date, cost, account number
CFR 301 65-
1(F)
Surplus Property
Auction AU +2 GC34090 Listing of property
Disposal AU +4 GC34090; Sealed bid sales of equipment
CCP 337
Vehicle Ownership& L VC 9900 et Title transfers when vehicle sold
Title seq.
LICENSE
Business T+4 GC34090; Paid & reports
CCP 337
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
FINANCE (CONTINUED)
Record Series Retention Citation Descriptor
PAYROLL
Adjustments AU +4 GC 34090 Audit purposes
29 CFR
516.5-516.6
Employee Time Sheets AU + 6 GC34090; 29 Signed by employee for audit&FEMA Reports
CFR 516.2* *20 CFR 516.6(1); IRS Reg. 31.6001-1(e)(z); R&T 19530;
LC 1174(d)
PERS Employee T+4 GC34090; Record of deductions
Deduction Reports CAC 22- (PERS Public Employee Retirement System) *26CFR
1085-2 31.6001-1;29 CFR 516.5, 516.6, LC 1174(d)
Register P GC34090; Labor costs by employee& program
GC37207
Salary Records T+3 GC34090; 29 Deduction authorization, beneficiary designations,
CFR 516.2 unemployment claims, garnishments
PURCHASING
Bids, RFQ's, RFP's AU +4 GC34090; Requests for Qualifications; Requests for Proposals
Successful AU +5 CCP 337; * regarding goods and services *GC 25105-1; GC 34090
Unsuccessful CU +2
Requisitions
Purchase Orders AU +4 GC34090; Original documents
CCP 337
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 Records of employee contributions and city payments
CFR 16001- *29 CFR 1627.3(2)
1*
Federal and State Tax AU +4 GC34090; Forms 1096, 1099,W-4's and W-2's
29USC 436 *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 P GC34090; Summary of transactions, inventory&earnings report
Transactions CCP 337;
GC 53607
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, Financing authority
30210; GC
43900 et
seq.
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
FINANCE (CONTINUED)
Record Series Retention Citation Descriptor
Bonds
Account CL + 10 GC34090; Monthly statement of transactions.
Statements CCP 337.5
Administration CL+ 10 GC34090; Supporting documents
CCP 337.5
Bonds and CL +2 GC34090; Paid/canceled
Coupons 53921
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY
Record Series I Retention I Citation I Descriptor
EMERGENCY
MANAGEMENT
Mutual Aid, Strategic S +2 GC34090
Plans
FIRE SAFETY
ADMINISTRATION
Books, Fire Code S +3 GC34090.7 Include OPS manuals
CCP 340.5
General Orders, S +2
Policies/Procedures
Inspections, Fire CL+ 3 UFC 103.34 Alarm/sprinkler systems, prevention efforts
Prevention
Investigations, P PC 799 Support prosecution resulting in homicide
Evidence Arson
Investigations, CL+6 PC 800 Great bodily harm, inhabited structure or property
Evidence Arson
Journals, Fire Station CU +2 GC34090 Activities, personnel, engine company
Permits, Uniform Fire CL+2 GC34090
Code
PERSONNEL
Exposure T+30 29 CFR Sampling results, collection methodology, background
1910.1020
Exposure T+ 1 29 CFR Laboratory reports and worksheets
1910.1020
Medical T+ 30 29 CFR
1910.1020
Medical T+2 29 CFR Employees less than one year
1910.1020; * *GC34090
Training T+2 GC34090 Certifications/designations
PROPERTY
ApparatusNehicle CU +2 GC34090 Repair and Maintenance
CCP 340.5* *8 CAL Code Reg. 3203(b) (1)
Inventory, Equipment& CU +2 GC34090
Supplies
Logs, Fire CU +2 GC34090
Equipment/Gear
REPORTS
Incident CL+ 3 GC34090 Dispatch and daily logs
CCP338* *CCP 340.5
Field, Non-fire and Logs CU +2 GC34090
Fire, Non-arson and CU +2 GC34090
Logs
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Investigations, CL+3 PC 801; UFC Structure
Evidence Arson 104.32
Weed Abatement CL+2 GC34090 Reports,assessments, resolutions, documentation
HAZARDOUS
MATERIALS
Hazardous Waste CU + 10 CAL OSHA; Documentation re handling and disposal of hazardous
Disposal 40 CFR waste
122.21
Permits, Hazardous CU +2 GC34090 Departments consistently recommend permanent
Materials Storage retention of environmentally sensitive materials.
Programs, Household S +2 GC34090
Hazardous Waste
Training Materials S +2 Cal Code* Standards and Administration
*Reg. 3204(d), et seq.
Underground Storage
Tank P GC34090a Documents re: storage
Compliance CU +2 GC34090 Location, installation, removal, remediation
Maintenance &
Operation.
LAW ENFORCEMENT
ADMINISTRATION
Accounting/Cash CU +2 GC34090
Reconciliation
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 T+2 GC34090 Retained until termination of equipment use; Manuals,
Communication instructions, procedures
Inventory S +2 GC34090 Listing of equipment assigned to division,to whom it is
assigned
Reports CU +2 GC34090 Weekly/monthly/quarterly/
Activity annual activity/statistical reports by division. Retain
only one form for retention period
Chemical Emissions CU +2 GC34090
Survey CU +2 GC34090 Surveys, responses, correspondence with other
Response agencies requesting statistical data
Files
INVESTIGATIONS
Administrative/Internal CL+5 PC 832.5 Initiated by citizens complaints or internally initiated;
EVC 1045 includes complaint, reports,findings
GC 12946
PC 801.5;
803(c)
VC 2547
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Asset Forfeiture CL+2 GC34090
Investigations/
Proceedings
Case File
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, CL+2 GC34090 Retained by division until a case is suspended/closed;
Investigative transfer to Records Division to be filed with associated
Daily Report(DR)file
Case Files P PC 799
Homicide
Investigator's
File
Narcotics (No CL+2 GC34090 Retained by division until no longer useful for
arrest, Narcotics Cases) investigative purposes
Officer Involved CL+25 GC34090
Shootings
Court CU + 1 GC34090.7 Printouts of daily court scheduling
Daily
Schedule
Sign-In Logs CU +2 GC34090 Logs officers' names, time in/out for court appearances
Tracking - CU +2 GC34090 Database records subpoena number, officer name, case
System Records number, defendant name, district attorney name, court
information disposition
Evidence, Disposition Attach to duplicate Property Report,file w/DR in
Forms Records Division
Fingerprint T+2 GC34090 Paperwork authorizing fingerprinting and background
Applicants Files checks for city employment applicants and business
license applicants
Inked/Palm AC +20 Persons booked into detention facility; (Copies
Cards distributed to county, state,federal agencies)
Records Approp. PC 1) Retain for applicable case statute of limitation; 2) or
Latents Section until evidence in case is destroyed; Hard copy and
digitized
Suspect, CL Law Adults/juveniles suspected of a crime,taken for
Adult/Juvenile Enforcement comparison. Destroy after original purpose achieved
Management
Guide by
POST
Guns, Dealers Record CU +6 PC 12070 Applicants, Monthly Gun Audits,Applications Denied,
of Sale Stolen (DOJ File)
Informant Files T+ 10 Legal notifications, identification information, payment
information, activities information
•
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Record Series Retention Citation Descriptor
Jail CU + 6 GC34090 Daily report of staffing, bookings/releases,transfers,
Daily Logs 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 CU +2 GC34090
Bicycle
Bingo, Mace CU +2 GC34090
Business T+ 1 GC34090
License Review Board
Administrative Files
Duplicate(Pink), CU +2 GC34090 Original to licensee, Blue duplicate to DOJ; Pink
duplicate retained by agency; renewals issued annually
Secondhand by local agency
Dealer,
Pawn Brokers
Logs S
Auto Theft
Case CU + 1
Assignment
Daily CU +2 GC34090
Activity
Officer CU +2 GC34090 Daily activity of incidents not reported by use of official
report
Report CU +2 GC34090 Report numbers, type, names, dates retained for
Summary research value
Investigative CL+ 10 GC34090 Retained by division until cases are suspended and
(Pre-Arrest) closed
Juvenile CU +2 GC34090 Logs document juvenile processing per CYA
Detention
Property CU +2 GC34090 Logs items coming into and going out of property room
Control
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 T GC34090 Assigned DR number, retained as form of evidence,
(Negatives) destroyed at same time evidence for associated case is
destroyed
Inmates CU +20 By Prisoner number
(Negatives)
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Registration Files, Life of Fingerprint Card, photo, information also forwarded to
Arson, Sex and registrant DOJ
Narcotics within juris-
diction
Arrest/Conviction H&S 2 (Man- H&S Applicable to convictions occurring after January 1,
Section 11357 (b), (c), datory 11361.5 1996 or arrests not followed by a conviction occurring
(d), (e)or H&S Section destruc- after January 1, 1996; Exception: H&S 11357(e), the
11360 (b)violations tion from record shall be retained until a juvenile offender attains
(Occurring after date of the age of 18 years,then destroyed pursuant to 11361.5
January 1, 1996) convic-tion
or date of
arrest with
no convic-
tion)
Arrest/Conviction Man-datory H&S 11361.5 Applicable to convictions occurring prior to January 1,
H&S Section 11357(b), Destruc- (c) 1996 or arrests not followed by a conviction occurring
(c), (d), (e) or H&S . tion prior to January 1, 1996 for violations of H&S Code
Section 11360 (b) (Upon 11357, 11364, 11365 and 11550
violations (Occurring notice from
before January 1, 1996) Depart-
ment of
Justice)
Crime See PC 800 Prosecution for an offense punishable by imprisonment
Felony Crimes descriptor PC 801 in state prison for eight years or more must commence
With within 6 years after offense commission.
Or Without Commencement of prosecution defined in PC 804.
Arrests Exception: See PC 803 -Tolling/Extension of time
periods; Appeals process and "Three Strikes" also
considerations in assigning retention.
Misdemeanor/ CL+2 GC34090 No arrests, identifiable property or missing persons
Infractions - (See: Note 1)
Supplemental P PC 799 No statutory limitation for prosecution. Includes
Felony Capital Crimes, Murder, kidnapping for ransom, treason, procuring
Crimes Punishable by execution by perjury,train wrecking, assault with a
Death, Life deadly weapon by a life-term prisoner, bombing
Imprisonment resulting in death or bodily injury, making defective war
materials that cause death
Destruction P
Guns
Narcotics P
Disposition of Retention determined by action taken; i.e., recordable
Arrest/Court Action arrest or detention (released no arrest)
False Alarm (Duplicate) CU +2 GC34090
Non-Criminal CU +2 GC34090 Injured or sick persons; missing persons where person
Occurrences has been returned; traffic collision reports not used as
the basis for criminal charges
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Property Original Until case Copy retained in records case file; Refer to Managing
is adjudi- Property in Law Enforcement Agencies(By POST)
cated/
disposi-tion
deter-
mined
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 CU +2 GC34090 Internally generated information using activity logs,
Analysis) 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), CU +2 GC34090 Originals sent to FBI, DOJ
Uniform Crime Reports
Mandatory to DOJ
(LEIC); FBI Include
Return A/Supplement;
Supplementary
Homicide Report; Law
Enforcement Officers
Killed or Assaulted;
Monthly Return'
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.
Research Project Files CL+2 GC34090 May include request forms, background materials, staff
reports,final project reports and supporting data
• C-37
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LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Sealed Manda-tory PC 851.8 General provision: Upon petition, records of agency
Adult Found Destruc- must be sealed and destroyed in accordance with the
Factually Innocent tion Upon provisions set by court record; exceptions.
and Pursu-
ant to Court
Order
Juvenile Manda-tory WIC 826(a) Upon petition, local laws enforcement records within
Destruc- & (b) WIC 826(b) may be destroyed as ordered by the court, if
tion upon WIC 781 (a) related probation and juvenile court records have been
and pursu- destroyed by the probation officer. Records involving
ant to court arrests, detention and/or petitioning juvenile before
order juvenile court
Subpoenas (Duplicate) CU +2 GC34090
Tapes CU + 180 GC34090.6 Exception: Recordings used as evidence in a criminal
Audio, days prosecution or claim filed or litigation or potential
Telephone and Radio claims and litigation shall be preserved for 100 days
Communications after conclusion of the court action
Surveillance/Se CU + 13 GC34090.6
curity Video (Jail) mos.
Use of Force CU +2 GC34090 Includes review forms, arrest report copies, logs
Supervisory Review
Files
Warrants Recall after Recommended by the California Law Enforcement
Felony 10 years. Warrant Officer's Association
Excep-tion:
Murder/
Escape
Misdemeanor Recall after Recommended by the California Law Enforcement
Criminal 5 years Warrant Officer's Association
Served CU Includes Warrant Service Information Card, alpha index
card
Unserved Until
(Local) served,
recalled or
purged
PATROL
Cards CU +2 GC34090
Dispatch
Field Interview CL +2 GC34090
Citations CL+2 11361.5 H&S
11357(e),
Juvenile
11357b H&S, CL+2 11361.5 *CA Admin Code, Chapter 1,Title II, Sec. 708
11357c H&S, 11360b H&S*
H&S Violations
Cite and CL+2 GC34090
Release
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention j Citation I Descriptor
California CU +90 GC34090 Original is forwarded to court.
Vehicle Code days
Infractions (Duplicates)
Parking/Traffic, CU +2 GC34090.7 Originals are forwarded to court after agency
Duplicates processing; includes citations electronically created
Transmittals CU +2 GC34090 Listing of citations forwarded to court,filed for
reference
Equipment CU +2 GC34090 Documents problems, malfunctions, resolution to
Radio Logs provide equipment performance history
(Communication)
General Orders P
Patrol Requests CU +2 GC34090 From citizens for patrol presence
(Correspondenc
e)
Radar Calibration T+2 GC34090 Documentation of Radar instruments retained during
Records use/ownership
Reports CL+2 GC34090 Non-Jury
Accident
Traffic Collision P
Fatalities
Vehicle S Record of assignments
Assignment
Reports
Down Reports CU + 1 Printouts reporting which vehicles are down for repair,
maintenance, etc.
Repossession/P CU +2 GC34090
rivate Impounds
Service S GC34090
Schedules
Vests, Bulletprecf CU +2 GC34090 Authorization to purchase
Letters
Warrants Recall after Recommended by the California Law Enforcement
Parking 1 year Warrant Officer's Association
Traffic Recall after Recommended by the California Law Enforcement
5 years Warrant Officer's Association
Weapons, Database P Departmentally-owned weapons, personal weapons,
alternate weapons, secondary handguns; produces
inventory reports
SERVICES
Chemicals/Film S
Inventories
Equipment T
Inventory/Sign-
out Cards-Photo
Lab
Operations Files T Retain until equipment no longer owned/used by
- Photo Lab department; Manuals, instructions, procedures for
use/operations of photographic equipment
..
C-39
•
2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
. PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Grievance Files CL+2 GC34090 Grievance filed by employees, supporting
documentation
Investigations, CL+2 GC34090 Non hired
Background
Background P Include original reports re: PC 832.5 investigations
Hired
Parades &Special CL+2 GC34090 Reports, memos, correspondence, scripts, supplier
Events File information, assignments, deployments, supporting
documentation
Permits L+2 GC34090 Approval process
Alcoholic
Beverage Control
License
Concealed CL +2 GC34090
Weapons
Photographs S +2 GC34090
Personnel
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 CU +2 GC34090 Collection of videos of programs and events; outside
(Community Relations) press coverage of department
Property Files :_ CU +2 GC34090 Original reports and supplemental documentation (Lost,
Found, Safekeeping)
Property, Pawn CU +2 GC34090 Sales, slips. Dealer required to file duplicate with
Broker/Secondhand agency
Reports CU + 6 GC34090.7 Original maintained by DOJ. Dealer required to file
Dealer of Gun mos. duplicate with agency
Sales, Duplicate-.
Restraining Orders, CU Destroy after law enforcement actions described in PC
Emergency Protective (See 273.5, 273.6, 646.9, 12028.5, 13700 and Family Code
Orders, Temporary descriptor) Sections 6380-6383 are fulfilled and effective date of
Restraining Orders, restraining order has expired.
Legal Stipulations,
Orders After Hearing
Rosters (Divisional) S +2 GC34090 Personnel assigned to division.
• Schedules CU +2 GC34090 Schedules of Officers on duty
Daily
Watch CU +2 GC34090
Assignment/
Timekeeping
• Records
. Speaker Requests CU +2 GC34090 Community and business requests for public
appearances, speakers
Tests, Densitometer T+2 GC34090 Daily tests of development chemicals/processes for
Results (Photo Lab) quality control.
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LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED)
Record Series I Retention I Citation I Descriptor
Training P
Bulletins
Event Files CU +2 GC34090 Correspondence, brochures, promotional materials, info
on speakers,guests, supporting documents
Lesson Plans, CL+ 15 Scope, content,time period of courses
Range
Personnel (by T+7 GC34090 Paperwork documenting officers' internal and external
name) training
Schedules, CU +2 GC34090 Daily,weekly, monthly schedules of training events at
Range 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.
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2014-246
LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
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/ C +2 GC34090 Includes work orders, inspection, repairs, cleaning,
Operations 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 S +2 GC34090 Includes rules and regulations
Procedures '
Railroad Right-of-way CL+3 36 CFR Land acquisitions, correspondence, improvements,
64.11 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 & CU +2 GC34090 Enrollment, liability releases, evaluations, attendance,
Events 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, CU +2 40 CFR Sludge, sampling, charging rate to measure mercury
Sludge 61.54 content
Incinerator Operations, CU +2 40 CFR Gas flow through wet scrubbing, oxygen content of
Treatment Plant 60.153 exhaust gas, sludge rate,temperatures,fuel flow,total
solids and volatile solids
Maintenance and CU +2 GC34090 Includes work orders, inspection, repairs, cleaning,
Operations 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
C-42
•
2014-246
LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
STREETS/ALLEYS
Abandonment/ P GC34090
Vacations
Closures P GC34090
Easements, P GC34090
Dedications, Rights-of-
Way
Field Books P GC34090
Grants (see Admin.)
Intersection Records CU +2 GC34090 Includes correspondence,volume counts, accident
history
Inventory, Traffic S +2 GC34090 Signs, lights
Control Device
Landscaping CU +2 GC34090 Plants,tree maintenance,work orders
Lighting CU +2 GC34090 Maintenance,work orders
Maintenance/ CU +2 GC34090 Includes work orders, inspection, repairs, cleaning,
Operations 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 CL+2 GC34090
Load
Parking CL+2 GC34090 Residential
Paving CL+2 GC34090
Use CU +2 GC34090 Includes Special Events
(Temporary)
Photographs S +2 GC34090 Includes aerials
Plans, Capital P GC34090 Streets, curbs, gutters, sidewalks, storm drains
Improvement,Projects
Policies and S +2 GC34090 Includes rules, regulations, standards
Procedures
, Naming and P GC34090
numbering
C-43
2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Speed Limits S+2 GC34090
Programs
Federal Aid CL+ 23 CFR 633
Urban (a) &(c)
Traffic Safety S +2 GC34090 Drivers Education, Pedestrian Safety, Bicycle Lanes
Reports
Bridges & L GC34090 Life of structure
Overpasses
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 CL+2 GC34090
Accident
Routes, School Rus & S +2 GC34090 Truck routes, access ramps, rest areas
Truck
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 CU +2 GC34090 Billings, correspondence, complaints
Records
Connection Records P GC34090 Maps,water line connections
Flood Control
Drainage P GC34090 Includes dams, lakes, basins, creeks
Facilities
Flood Zones P GC34090 Includes flood maps
Insurance S +2 GC34090 Includes copies of policies, rules, programs
Programs
•
C-44
2014-246
LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Policies/ S +2 GC34090 Rules and Regulations
Procedures
Reports/ CL+2 GC34090
Studies
Grants (see Admin.)
Inventory, Equipment CU +2 GC34090
Locations P GC34090 Mains,valves, hydrants,wells
Maintenance and CU +2 GC34090 Includes work orders, inspection, repairs, cleaning,
Operations 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 P 40 CFR Municipalities of 100,000/more, compliance with Clean
Pollutant 122.28 Water Act re: pollutants
Discharge
Elimination
System
NPDES
Others CU +2 GC34090 May depend on terms of state or federal agency
Policies and S +2 GC34090 Includes rules and regulations
Procedures
Rates S +2 GC34090
Reclamation CU + 5 40 CFR Daily operations including sewage flow, grit removal,
122.41 chlorine usage, lab analysis results, etc.
Reports
Conservation CU +2 GC34090
Consumption CU +2 GC34090
Corrosion CU + 12 40 CFR Compliance documentation
Control 141.91
Discharge CU + 5 40 CFR Average amount of pollution discharged into waters of
Monitoring 122.41 municipality.
Drinking CU + 10 40 CFR
Water 141.33
Corrections .
Hydrograph P GC34090 Daily flow of streams
r Lead CU + 12 40 CFR Compliance documentation
• Service Line 141.91
•
C-45
2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC WORKS (CONTINUES)
Record Series Retention Citation Descriptor
Public CU + 12 40 CFR Compliance documentation
Education 141.91
Quality CU + 12 40 CFR Compliance documentation
Parameters 141.91
Sanitary CU + 10 40 CFR Statistics, reports, correspondence
Surveys 141.33
Source CU + 12 40 CFR Compliance documentation, e.g. lead &copper
Water 141.91
State CU + 12 40 CFR Compliance documentation
Certification 141.91
Variances, CU +5 40 CFR
Water System 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 CU + 10 40 CFR Statistics, reports, correspondence
Sanitary 141.33
Tests
Bacteriological CU + 5 40 CFR Compliance records include location, date, method
Analysis 141.33 and results; corrections, analysis of bacterial content
Chemical CU + 10 40 CFR Compliance records include location, date, method
Analysis 141.33 used and results; corrections,analysis of chemical
content
Quality CU + 12 40 CFR Compliance documentation including sampling data,
141.91 analysis, reports, surveys, documents,evaluation,
schedules,valves, etc.
Valve Main Records- P GC34090
Violations, Drinking CU +3 40 CFR Retention applies to each violation
Water 141.33
C-46
2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
TRANSPORTATION
Record Series Retention Citation Descriptor
ADMINISTRATION
Agreements T+4 CCP 337 Including concessionaire, slip rental,facility storage
Applications T+2 GC34090 Payment invoices, inventory listings, billing correspondence
Aircraft Storage and other related documents
Parking
Slip Rentals
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 CU + 10 CAL Documentation re: the handling and disposal of hazardous
Disposal OSHA; waste
40 CFR
122.21
Inventory, Equipment L+2 Includes vehicles, aircraft,vessels and related documents re
Parts &Supplies repairs
Inventory, Vehicle L+2 Owners manual,warranty documents, Department of Motor
Ownership and Title 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/ L+2 GC34090 Related to requests for service and work orders for fuel,
Operations vehicle and equipment maintenance and repairs
Report,Accident CU +2 GC34090 Memos and working documents
(Copies)
Vehicle Assignment CU +2 GC34090 Log books, request forms, lists
AIRPORT
Airport Certification P 14 CFR Federal Aviation Administration (FAA) required manuals
139.207b&
171.13-
171.213
Airport Noise CU + 10 Correspondence, studies, memos, reports, log books,
Monitoring and documents related to assessment of noise levels at airports
Complaint and resolution of complaints
Inspection, Runway CU + 10 Maintenance including Inspection reports,work orders and
related records
Inspection, Safety Self CU +2 CFR Safety inspection and related document include reviews and
139.327 analysis of all aspects of airport operation
Maintenance, FAA P 14 CFR Forms and reports required by FAA including Forms FAA-
171.13 - 198, -418, -6030-1, -6790-4
171.213
C-47
2014-246
LOCAL GOVERNMENT-RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
TRANSPORTATION (CONTINUED)
Record Series Retention Citation Descriptor
Reports
Accident and CL+8 Accidents, injuries, property damages, general conditions re
Incident pilot and aircraft
(Aircraft)
Airport P Annual and special reports to federal and state regulatory
Operational agencies.
(Regulatory)
Airport CU +2 Logs, statistical summaries; administrative records
Operational
(Administrative)
NOTAM (Notice CU + 3 Reports re: conditions affecting airport
to Airmen) maintenance/operations
GROUND
TRANSPORTATION
Auto for Hire T+4 GC34090 License, permits for Taxicabs, shuttles, etc
HARBOR
Registers, Transient AU + 3 Reservation applications, receipts, and index registers
Vessel Reservation 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
C-48
2014-246
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