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CC - Item 2H - Records Retention Policy• • ROSEMEAD CITY COUNCIL Iff c_**_f STAFF REPORT TO: THE HONORABLE MAYOR AND CITY COUNCIL FROM: DREW C. LAZZARETTO, CITY MANAGER DATE: AUGUST 8, 2006 SUBJECT: RECORDS RETENTION POLICY SUMMARY In 1999, the California State Legislature added section 12236 to the California Government Code (Attachment C) directing the Secretary of State to establish local government records programs containing guidelines related to municipal records retention efforts. As part of this directive, the Secretary of State, working in conjunction with the California State Archives, City Clerks' Association of California, and the League of California Cities, put together a local government records retention guideline containing a records retention schedule (Attachment B). Staff Recommendation Staff recommends that the City Council approve Resolution No. 2006-15 (Attachment A), adopting a record retention policy for the City of Rosemead and authorizing destruction of useless and obsolete records. ANALYSIS In 1968, the California State Legislature passed the California Public Records Act (PRA), which is modeled after the federal Freedom of Information Act. In general, the PRA requires that all government records remain open to the public, with the exception of 28 exemption categories, and applies to all records maintained by local public agencies. With the exception of the PRA, however, state regulations related to local government records retention and management were never formally codified by the California State Legislature and standard retention periods for various record categories at the municipal level were never prescribed. In 1999, the Legislature clarified this situation by direction the Secretary of State to organize a standard local government records retention guideline. APPROVED FOR CITY COUNCIL AGENDA'. • • City Council Meeting August 8, 2006 Page 2 of 2 Working in conjunction with the City Clerks' Association of California, the League of California Cities, and the California State Archives, the Secretary of State published a standardized local government records retention guideline. That guideline, along with the authorizing resolution establishing a formal record retention policy for the City of Rosemead, has been included (Attachment A and Attachment B) for City Council consideration. PUBLIC NOTICE PROCESS This item has been noticed through the regular agenda notification process. Submitted by: Oliver Chi Director of Administrative Services Attachment A: Resolution 2006-15 Attachment B: Local Government Records Retention Guidelines Attachment C: California Government Code Section 12236 • ATTACHMENT A RESOLUTION NO. 2006-15 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ROSEMEAD, CALIFORNIA, ADOPTING A RECORD RETENTION POLICY FOR THE CITY OF ROSEMEAD AND AUTHORIZING DESTRUCTION OF USELESS AND OBSOLETE RECORDS. WHEREAS, the City Council desires to adopt a Records Retention Policy. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF ROSEMEAD, CALIFORNIA, DOES RESOLVE, DECLARE, DETERMINE AND ORDER AS FOLLOWS: SECTION 1. The Records Retention Policy for the City of Rosemead and included hereto as "Attachment B" is hereby adopted. SECTION 2. Records of the City of Rosemead shall be retained in accordance with the policy. SECTION 3. In accordance with the Records Retention Policy, and with the consent of the City Attorney, useless and obsolete records for each office, department, board, or commission may be destroyed after the expiration of the total retention period set forth in the said policy. PASSED, APPROVED and ADOPTED by the City Council of the City of Rosemead on this 8t' day of August, 2006. Mayor, City of Rosemead ATTEST: City Clerk, City of Rosemead • • ATTACHMENT B LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT LOCAL GOVERNMENT RECORDS RETENTION GUIDELINES August 1999 City Clerks' Association of California California State Archives 2002 Version C-1 • • 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 C-2 ' • • 11.1 TJ F-11 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. C-3 E F J LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C RECORDS RETENTION CLASSIFICATIONS - CITY GOVERNMENT August 1999 Audit Community Services Elections General Subject Grants Human Resources Information Services Legal/Legislative Municipal Clerk Policies & Procedures Public Information Public Financing Authority Risk Management Animal Control* Emergency Management -Fire Safety Administration Personnel Property Reports Hazardous Materials Health & Welfare Law Enforcement Administration Investigations Patrol Services Administration Building Code Enforcement Engineering Environmental Quality Housing Municipal Facilities Planning Property Redevelopment Parks SanitationlSolid Waste/ Wastewater Streets/Alleys Utilities Water FINANCE Accounting Administrative Services Fixed Assets License Payroll Purchasing Reports Treasurer Administration Airport Ground Transportation Harbor *Anticipate will be addressed by County Officials C-4 0 • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C ITEM CATEGORY PAGE Abandoned Vehicles Development C-26 Abandonment Development C-28 Abandon mentlVacations Public Works C-43 Accident Reports - City Assets Administration C-24 Accounting/Cash Reconciliation Public Safety C-33 Accounts Payable Finance C-29 Accounts Receivable Finance C-29 Acquisition/Disposition Development C-28 Adjustments Finance C-29 Administration - General Subject Administration C-19 Administration - Public Financing Authority Administration C-23 Administrative/Internal Public Safety C-33 Affidavit Index Administration C-17 Agenda Reports (Master, Subject Files) Administration C-22 Agendas Administration C-22 Agendas, Board Public Works C-42 Agreements Transportation C-47 Air Quality Development C-27 Airport Certification Transportation C-47 Airport Noise Monitoring and Complaint Transportation C-47 Alarm Records Public Safety C-33 Annexation Case Files Development C-28 Annual Financial Report Administration C-17 Apparatus[Vehicle Public Safety C-32 Appeals, Civil Administration C-22 Applications - Aircraft Storage Transportation C-47 Applications - Parking Transportation C-47 Applications - Slip Rentals Transportation C47 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 C-5 i • 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 C-6 0 • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C INDEX ITEM CATEGORY PAGE Citations - Cite and Release Public Safety C-38 Citations - Park i nglTraffic, 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 C-7 i E LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C 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 C43 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 8 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 C-8 11100,10-11 • DIAN 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 C42 Inventory, Equipment - Water Public Works C45 Inventory, Information Systems Administration C-22 Inventory, Records Administration C-23 Inventory, Traffic Control Device Public Works C43 Inventory, Vehicle Ownership and Title Transportation C47 Investigations - Background Public Safety C40 Investigations - Background Hired Public Safety C40 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 C42 Landscaping - Streets/Alleys Public Works C43 C-9 0 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, PrecinctsfVoter 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 C-10 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT INDEX ITEM CATEGORY PAGE Medical Leave Administration C-20 Medical - Personnel Public Safety C-32 Meter Operations Public Works C45 Meter Reading Finance C-30 Minutes Administration C-23 Minutes, Board Public Works C42 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 (LANIWAN) 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 C45 System (NPDES) Permits - Others Public Works C45 Permits Development C-26 Permits Public Works C-43 Permits, Construction Development C-26 Permits, Encroachment Public Works C43 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 C43 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 C-11 u • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT 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 C42 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 C-12 • 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 0 0 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 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT Q ITEM CATEGORY PAGE Training Records - Safety Administration C-21 Travel Records Administration C-19 Underground Public Works C-44 Underground Storage Tank - Public Safety C-33 Maintenance and Operations Underground Storage Tank - Compliance Public Safety C-33 Unsuccessful Grants Administration C-19 Use of Force Supervisory Review Files Public Safety C-38 Utility Rebates Finance C-30 Valve Main Records Public Works C-46 Vehicle Assignment Transportation C-47 Vehicle Ownership & Title Finance C-29 Vehicle - Assignment Reports Public Safety C-39 Vehicle - Down Reports Public Safety C-39 Vehicle Mileage Reimbursement Rates Administration C-21 Vehicle - Repossession/Private Impounds Public Safety C-39 Vehicle - Service Schedules Public Safety C-39 Vendor Register Finance C-30 Vests, Bulletproof Letters Public Safety C-39 Violations, Drinking Water Public Works C-46 Violations, Building, Property & Zoning Development C-27 Volunteer Card Files Public Safety C-41 Voter Affidavits Administration C-19 Voter Registration Signature Copy Administration C-19 Warrant Register Finance C-29 Warrants - Felony Public Safety C-38 Warrants - Misdemeanor Criminal Public Safety C-38 Warrants - Parking Public Safety C-39 Warrants - Served Public Safety C-38 Warrants - Traffic Public Safety C-39 Warrants - Unserved (Local) Public Safety C-38 Weapons, Database Public Safety C-39 Weed Abatement Public Safety C-33 Weigh Scales Public Works C-44 Workers Compensation Administration C-24 C-15 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C LEGEND Records Retention AC =Active AU =Audit CU =Current Year E = Election P =Permanent T = Termination AD =Adoption CL = Closed/Completion DOB =Date of Birth L = Life S =Supersede CITATIONS B&P - Business and Professions CAC - California Administrative Code H&S - Health & Safety HUD - Housing and Urban Development CCP - Code of Civil Procedure CCR - Code of California Regulations CEQA - California Environmental Quality Act CFR -Code of Federal Regulations EC - Election Code FMLA - Family & Medical Leave Act, 1993 GC - Government Code OSHA - Occupational Safety & Health Act PC - Penal Code POST- Police Officers Standards Training UFC - Uniform Fire Code USC - United States Code WIC - Welfare & Institutions Code C-16 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT Cl 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, Internal/External CU GC34090; GC6250 Daily, weekly, monthly, quarterly or other summary, review, evaluation, log, list, statistics, except a report Periodic COMMUNITY SERVICES Libraries CU + 2 GC 34090 Books, art, gifts, donations, exhibits, theatre, music, s ecial 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 b court order Ballots P California Property related fees (Assessment Ballot proceeding) Prop. 218 Constitution (Assessment Districts Art. XIII 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 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C AnMINISTRATION (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 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, PrecinctsNoter 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 C-18 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C AIIMINURTRATI(IIN /CONTINUED) Record Series Retention Citation Descriptor Precinct Records E + .5 EC 17503 From date of election: Precinct official material; declaration of intention, precinct board member applications, orders appointing members of precinct boards and designating polling places Includes notice of appointment of office and record of service Roster (Of Voters) E + 5 EC 17300 From date of election; Initiative, referendum recall, general municipal election Charter Amendments Voter Affidavits CL + 5 EC 17000 Voter Registration Signature Co CU + 5 EC 17000 Fire, special or school district GENERAL SUBJECT Administration P GC 34090 Biographies CU + 2 GC34090 Classifications and Appointments P GC 34090; GC 12946; 29 CFR 516.6(2); 29 CFR 1602.4 Includes supplemental Personnel records. Wage rate tables 2 years. Correspondence/ Originating Department CU + 2 GC34090(d) If not attached to agreement or project file Goals & Objectives CU + 2 GC34090 Departmental goals & objectives Policies & Procedures, Departmental S+5 GC34090(d) Retain while current Promotional Marketing External CU + 7 Internal 2 Reports Departmental CU + 2 GC34090 S eciallor 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; postallmailing services, other internal resources Travel Records CU + 2 GC34090 GRANTS Community Development Block Grant and Urban Development T+4 GC34090; 24 CFR 570.502 24 CFR85.42* Applications, reports, contracts, supporting documents; *OMB Cir. A-102, A-110, A-128 Federal and State CL + 5 GC34090 Refer to rant application close-out procedure Financial Records CL + 5 GC34090 Refer to rant application close-out procedure Unsuccessful CL + 2 GC34090 Applications not entitled C-19 • 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT 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 General Employees T+2 GC12946; 29 CFR May include Arbitration, grievances, union requests, sexual harassment and Civil Rights, complaints, Safety (Police) T + 5 1602; 29 disciplinary actions USC 211 (e); 203(m); 207 Hourly Employees T+6 GC12946; *29 CFR 1627.3, Labor Relations Section 1174 GC34090* Immigrant Immigratio 1-9's n ReformlCo 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) DM Negotiation P 29 USC Notes, notebooks, correspondence, contracts, and Sections Memorandums of Agreements 211(c), 203(m), 207 C-20 • i LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C AnmINIRTRATION (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 EEOCIADEA 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 activit ; 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 se q; 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-Safe se class training materials, internships; Personnel (by name) T+7 GC34090 Paperwork documenting officers internal and external training Safety CU + 2 GC34090 Certifications/desi nations Vehicle Mileage S+2 GC 34090 Annual mileage reimbursement rates Reimbursement Rates C-21 • • 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 importancelor 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 ears 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; Im rovement 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 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C nnnnwiRTRATION (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) 40806 Charter amendments; municipal code Petitions CU + 1 GC50115; Submitted to legislative bodies GC6253 Resolutions P GC34090(d) Legislative actions 40801 Tapes, AudiolVideo CU + 3 mos. GC 34090.7 When used for minute preparation and may have historical value. MUNICIPAL CLERK Assessment Districts P GC 34090 Original documentation Inventory, Records CU + 2 GC34090; 80 OPS Inventory of non-current or inactive records holdings 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 ~J 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, publications, newsletter, bulletins S+2 GC 34090 Calendar, City CU + 2 GC 34090 Media Relations CU + 2 GC 34090 Includes cable, newspaper, radio, message boards, presentations. RISK MANAGEMENT Accident Reports - City Assets CL + 7 29 CFR 1904.2. 29•* Reports and related records * CFR 1904.6 Bonds, Insurance P CCP 337.2; 343 Bonds and insurance policies insuring city property and other assets Claims, Damage CL + 5 GC34090; GC25105.5 Paid/Denied Incident Reports CL + 7 29 CFR 1904.2; 29 CFR 1904.6 Theft, arson, vandalism, property damage or similar occurrence (excluding fire/law enforcement) Insurance, ACCEL JT Powers Agreement P GC34090 (Authority California Cities Excess Liability Insurance) B Accreditation/ MOU=s/agreement/agendas Insurance, Certificates P GC34090 Insurance certificates filed separately from contracts, includes insurance filed by licensees Insurance, Liability/Property P GC34090 May include liability, property, Certificates of Insurance, Workers Compensation P GC641 0; 29 CFR 1910.20 Indemnity; PERS - working files - originals with Administrator Photographs, Negatives, Film C Risk Management Reports CL+5 OMB 1220- 0029;29 GC 34090 Federal OSHA Forms; Loss Analysis Report; Safety Reports ; Actuarial Studies Workers Compensation P CCR 14311; 15400.2; Labor Code 110-139. Claim Files, Reports, Incidents (working files) originals filed with Administrator 0 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C nFVFI r)PMFAIT 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 ins ection, building activity, daily, plan check, utility C-25 nFVFI r)PMFNT(r'r)NTINHED) 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 C-26 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C nFVFLOPMENT(CONTINUED) Record Series Retention Citation Descriptor Los CU + 2 GC34090d Lien Recove citations complaints Regulations S+2 GC34090d Includes rules Reports, Federal and State P GC34090a Code enforcement statistics; may contain records affecting title to real property liens thereon Violations, Building, Property Zonin CL + 2 GC34090d Supporting code enforcement activity ENGINEERING Capital Improvement Projects CL + 10 CC337.15 Supporting documents including bidders list, specifications, reports, plans, work orders, schedules, etc. Construction Tracking, Dail P CC337.15 Assesses value of real property Drawings, Traffic Control Plan P GC34090a Signs, signing & striping, road construction Flood Control CL + 2 GC34090d Storm Drains Special Districts P GC34090a Supporting documents re: improvement, lighting, underground utilit ; bonds taxes & construction Street/Alley (Abandonment/ Vacation CL + 2 GC34090d Relinquishment of rights and fee title Traffic Signals CL + 2 GC34090d Counts collisions accidents ENVIRONMENTAL QUALITY Air Quality (AQMD) CU + 7 CCP 338(k); GC34090 Participants/voucher logs, Total Daily Mileage Survey (TDM); various local authorities; Commute Alternative Asbestos P GC34090a Documents abatement projects, public buildings California Environmental Quality Act (CEQA) P GC34090a + CEQA Guidelines Exemptions, Environmental Impact Report, Mitigation monitoring, negative declaration, notices of completion and determination, comments, statements of overriding considerations Congestion Management CU + 2 GC34090d Ride sharing, trip reduction Environmental Review CL + 2 GC34090d Correspondence, consultants issues conservation Pest Control CU + 2 GC34090d Pesticide applications, inspections & sampling, documents Soil CL + 2 GC34090d Analysis, construction recommendations Soil Reports P GC34090d Final Reports HOUSING Bonds CL + 4 CCP 337 Revenue Bond Documentation Programs CL + 3 24 CFR 570.502(b)( 3); 24 CFR 85.42 & OMB Cir. A- 110, #C Includes comprehensive Housing Authority Strategy, Meeting Credit Certificate, Housing bond advisory, HOME, In-Lieu Housing Mitigation, Low/Moderate Housing, Rental Housing Assistance C-27 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C nFVFI OPMFNT(CONTINUED) Record Series Retention Citation Descriptor Redevelopment Budgets P GC 34090, Includes annual audit 40802, 53901 Bond Issues P GC43900 et se q. 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 C-28 • 0 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 onnections disconnects registers, service Assessment Districts P GC 34090 on information; Original documentation files nici al clerk r Bank Reconciliation AU + 5 GC34090; 26 CFR 16001-1 summaries for receipts, disbursements & Statements, liation Billing Records AU + 2 GC34090 Customer name, service address, meter reading, usage, payments, a licationsicancellations Budget AU + 2 GC 34090 Budget adjustments, journal entries AU + 2 GC34090 Account transfers Checks AU + 5 GC34090; CCP 337 Includes payroll, canceled & voided checks Deposits, Receipts AU + 4 GC 34090; CCP 337 Checks, coins, currency Invoices AU + 2 GC34090 Copies sent for fees owed, billing, related documents Journals Utility Billing CU + 2 GC34090 Billin including month) activity Ledger, General P GC34090; ' ' CCP 337 Voucher AU + 4 GC34090; CCP 337 Account postings with supporting documents Taxes, Receivable AU + 3 CCP338 Warrant Register AU + 2 GC 34090.7 ADMINISTRATIVE SERVICES Budget Operating (copies) S GC34090 Departmental Reference Budget, Pro osed CU + 2 GC34090 Presented to Council Adopted P GC 34090 FIXED ASSETS Inventory AU + 4 GC34090; 26 CFR 301 65- 1F Reflects purchase date, cost, account number Surplus Property AU + 2 GC34090 Listing of property AU + 4 GC34090; CCP 337 Sealed bid sales of equipment Vehicle Ownership & Title L VC 9900 et se g. Title transfers when vehicle sold LICENSE Business T + 4 GC34090; CCP 337 Paid & reports C-29 • L LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT G FINANC:F MONTINUEDI Record Series Retention Citation Descriptor PAYROLL Adjustments AU + 4 GC 34090 29 CFR 516.5 - 516.6 Audit purposes Employee Time Sheets AU + 6 GC34090; 29 CFR 516.2* Signed by employee for audit & FEMA Reports *20 CFR 516.6(1); IRS Reg. 31.6001-1(e)(z); R&T 19530; LC 1174(d) PERS Employee Deduction Reports T+4 GC34090; CAC 22- 1085-2 Record of deductions (PERS Public Employee Retirement System) *26CFR 31.6001-1.29 CFR 516.5, 516.6 LC 1174(d) Register P GC34090; GC 37207 Labor costs by employee & program Salary Records T+3 GC34090; 29 CFR 516.2 Deduction authorization, beneficiary designations, unemployment claims garnishments PURCHASING Bids, RFQ's, RFP's Successful Unsuccessful AU + 4 AU + 5 CU + 2 GC34090; CCP 337; * Requests for Qualifications; Requests for Proposals regarding goods and services * GC 25105-1; GC 34090 Requisitions Purchase Orders AU + 4 GC34090; CCP 337 Original documents Stores CU + 2 GC34090 Completed forms for ordering Vendor Register P GC34090 Alpha vendor listing of purchase orders, invoices, account numbers and check date REPORTS Audits P GC 34090 Deferred Compensation T + 5 GC34090; 26 CFR 16001- 1* Records of employee contributions and city payments *29 CFR 1627.3(2) Federal and State Tax AU + 4 GC34090; 29USC 436 * Forms 1096, 1099, W-4's and W-2's *26 CFR 31.6001.1-4; IRS REG 31.6001-1(e)(2);R&T 19530;29 CFR 516.5-516.6 Financial, Annual AU + 7 GC 34090.7 Investment Transactions P GC34090; CCP 337; GC 53607 Summary of transactions, inventory & earnings report Labor Distribution AU + 2 GC34090 Costs b employee & program Meter Reading CU + 2 GC34090 State Controller P GC34090 Controller may destroy after 5 ears Utility Rebates CU + 2 GC34090 TREASURER Bank Statements AU + 2 FC 3368, 30210; GC 43900 et se g. Financing authority C-30 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C FINANCE (CONTINUED) - - - - Record Series Retention Citation Descriptor Bonds Account Statements CL + 10 GC34090; CCP 337.5 Monthly statement of transactions. Administration CL + 10 GC34090; CCP 337.5 Supporting documents Bonds and Coupons CL + 2 GC34090; 53921 Paid/canceled C-31 • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY Record Series Retention Citation Descriptor EMERGENCY MANAGEMENT Mutual Aid, Strategic Plans S+2 GC34090 FIRE SAFETY ADMINISTRATION Books, Fire Code S+3 GC34090.7 CCP 340.5 Include OPS manuals General Orders, Policies/Procedures S+2 Inspections, Fire Prevention CL + 3 UFC 103.34 Alarm/sprinkler systems, prevention efforts Investigations, Evidence Arson P PC 799 Support prosecution resulting in homicide Investigations, Evidence Arson CL + 6 PC 800 Great bodily harm, inhabited structure or property Journals Fire Station CU + 2 GC34090 Activities personnel, engine company Permits, Uniform Fire Code CL + 2 GC34090 PERSONNEL Exposure T + 30 29 CFR 1910.1020 Sampling results, collection methodology, background Exposure T+1 29 CFR 1910.1020 Laboratory reports and worksheets Medical T + 30 29 CFR 1910.1020 Medical T+2 29 CFR 1910.1020• * Employees less than one year *GC34090 Training T+2 GC34090 Certifications/desi nations PROPERTY Apparatus[Vehicle CU + 2 GC34090 CCP 340.5 * Repair and Maintenance *8 CAL Code Reg. 3203 b 1 Inventory, Equipment & Supplies CU + 2 GC34090 Logs, Fire Equipment/Gear CU + 2 GC34090 REPORTS Incident CL + 3 GC34090 CCP338 * Dispatch and daily logs *CCP 340.5 Field, Non-fire and Lo s CU + 2 GC34090 Fire, Non-arson and Lo s CU + 2 GC34090 C-32 0 0 LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C, PHIRLIC SAFETY (CONTINUED) Record Series Retention Citation 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 environmental) sensitive materials. Programs, Household S+2 GC34090 Hazardous Waste Training Materials S+2 Cal Code ` Standards and Administration *Reg. 3204(d), et se g. 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 b 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 C-33 • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PHRLIC SAFETY (CONTINUED) Record Series Retention Citation Descri for 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 art 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 Dail 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 Los CU + 2 GC34090 Logs officers' names, time in/out for court appearance 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 C-34 • w LOCAL GOVERNMENT- RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PI IRI IC: SAFFTY MONTINUEDI Record Series Retention Citation Descriptor Record Series Retention Citation Descriptor Jail CU + 6 GC34090 Daily report of staffing, bookings/releases, transfers, Dail Los 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 b 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 bylocalagency 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 Summa 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, Reg istrant/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 N atives C-35 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC SAFETY CONTINUED Record Series Retention Citation 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 char es C-36 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PI IRI IC: SAFETY (CONTINUED) Record Series Retention Citation Descri for 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 b 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 of Arson Offenses Know to Law Enforcement; Number of Violent Crimes Committed Against Senior Citizens; Monthly Report of Domestic violence Related Calls for Assistance; Monthly Arrest and Citation Register; Monthly Hate Crimes Incidents; Death In Custody Reporting. Research Project Files CL + 2 GC34090 May include request forms, background materials, staff re orts final ro"ect re orts and supporting data C-37 • i LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PI IPH Ir SaFFTY WONTINUEM -Record Series Retention Citation 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 curit 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 ears 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 HBS, 11360b H&S" H&S Violations Cite and CL + 2 GC34090 Release C-38 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PIIRLIC SAFETY (CONTINUED) Record Series Retention Citation Descri for 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 rocessin ; 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 (Correspondent 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, Bulletproof CU + 2 GC34090 Authorization to purchase Letters Warrants Recall after Recommended by the California Law Enforcement Parkin 1 year Warrant Officer's Association Traffic Recall after Recommended by the California Law Enforcement 5 ears 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 I use/operations of photographic equipment C-39 • 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PH RI Ir__ SAFFTY (CONTINUED) . Record Series Retention Citation Descri for Grievance Files CL + 2 GC34090 Grievance filed by employees, supporting documentation Investigations, CL + 2 GC34090 Non hired Back round 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 Lo 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 Hearin Rosters Divisional S+2 GC34090 Personnel assigned to division. Schedules CU + 2 GC34090 Schedules of Officers on duty Dail 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. C-40 • 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C,' PIIRI I[: SAFETY (CONTINUED) Record Series Retention Citation Descri for Training Bulletins P Event Files CU + 2 GC34090 Correspondence, brochures, promotional materials, info on speakers, guests, supporting documents Lesson Plans, Range CL + 15 Scope, content, time period of courses Personnel (by name T + 7 GC34090 Paperwork documenting officers' internal and external training Schedules, Range CU + 2 GC34090 Daily, weekly, monthly schedules of training events at range ,Volunteer Card Files T + 2 GC34090 Volunteers' identification, contact information Note 1: The destruction of felony, misdemeanor and infraction Crime/Supplemental Reports is permitted providing: 1. They do not relate to an unadjudicated arrest except for H&S 11357 or H&S 11360 I 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. C-41 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/ Operations C+2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints Maps P GC34090 Irrigation, plot plans Minutes, Board P GC34090 Photographs S+2 GC34090 Plans, Proposed CU + 2 GC34090 Future plans, new sites, expansions Policies and Procedures S+2 GC34090 Includes rules and regulations Railroad Right-of-way CL + 3 36 CFR 64.11 Land acquisitions, correspondence, improvements, statutory records Reports Accident CL + 2 GC34090 Patrons, employees Others CL + 2 GC34090 Studies CL + 2 GC34090 Future sites, expansions Resolutions, Board P GC34090 Schedules, Class & Events CU + 2 GC34090 Enrollment, liability releases, evaluations, attendance, flyers SANITATION/ SOLID WASTE/ WASTEWATER Collections/Landfill CU + 2 GC34090 Dail records, usage Facilities CU + 2 GC34090 Correspondence, maps, patron list History, Sanitation P GC34090 Where City-owned Incineration Plants, Sludge CU + 2 40 CFR 61.54 Sludge, sampling, charging rate to measure mercury content Incinerator Operations, Treatment Plant CU + 2 40 CFR 60.153 Gas flow through wet scrubbing, oxygen content of exhaust gas, sludge rate, temperatures, fuel flow, total solids and volatile solids Maintenance and Operations CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints Maps, Septic Tank P GC34090 Location maps Rates CU + 2 GC34090 Recycling Programs S+2 GC34090 Regulations S+2 GC34090 Includes legislation Reports Studies CL + 2 GC34090 Tonnage CU + 2 GC34090 C-42 0 LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC WORKS (CONTINUES) Record Series Retention Citation Descriptor STREETS/ALLEYS Abandonment/ Vacations P GC34090 Closures P GC34090 Easements, Dedications, Rights-of- Way P GC34090 Field Books P GC34090 Grants (see Admin.) Intersection Records CU + 2 GC34090 Includes correspondence, volume counts, accident history Inventory, Traffic Control Device S+2 GC34090 Signs, lights Landscaping CU + 2 GC34090 Plants, tree maintenance, work orders Lighting CU + 2 GC34090 Maintenance, work orders Maintenance/ Operations CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints, signals, striping Maps P GC34090 Fire hydrants, lighting districts, wheel chair ramps, storm drains, streets, sidewalks, sewers Master Plans CU + 2 GC34090 Copies Parking Lots CU + 2 GC34090 Regulations S+2 GC34090 Reports/Studies CL + 2 GC34090 Permits Encroachment P GC34090 Improvement CL + 2 GC34090 May include curbs, sidewalks; Applications for excavation, fill, alterations Oversize Load CL + 2 GC34090 Parking CL + 2 GC34090 Residential Paving CL + 2 GC34090 Use (Temporary) CU + 2 GC34090 Includes Special Events Photographs S+2 GC34090 Includes aerials Plans, Capital Improvement, Projects P GC34090 Streets, curbs, gutters, sidewalks, storm drains Policies and Procedures S+2 GC34090 Includes rules, regulations, standards Naming and numbering P GC34090 C-43 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C PUBLIC WORKS (CONTINUES) Record Series Retention Citation Descriptor Speed Limits S+2 GC34090 Programs Federal Aid Urban CL + 23 CFR 633 (a) & (c) Traffic Safety S+2 GC34090 Drivers Education, Pedestrian Safety, Bicycle Lanes Reports Bridges & Overpasses L GC34090 Life of structure Inspection CU + 2 GC34090 Includes intersection, sidewalks. Bridges and Overpasses, keep life of structure Studies CL + 2 GC34090 Traffic volume, accident history, requests, statistics, drawings supporting traffic devices Traffic Count CL + 2 GC34090 Evaluation of traffic volume Vehicle Accident CL + 2 GC34090 Routes, School Bus & Truck S+2 GC34090 Truck routes, access ramps, rest areas Signage L + 2 GC34090 Log books, index register cards, inventory lists, records of traffic signs Traffic Signals L Logs, drawings, wiring diagrams, codes, circuit numbers, installation records, testing and maintenance. Weigh Scales S+2 GC34090 UTILITIES Facilities T+2 GC34090 If city owned Gas & Electric Rates S+2 GC34090 Underground P GC34090 GC4003, GC4004; H&S 19850 WATER Billing/Customer Records CU + 2 GC34090 Billings, correspondence, complaints Connection Records P GC34090 Maps, water line connections Flood Control Drainage Facilities P GC34090 Includes dams, lakes, basins, creeks Flood Zones P GC34090 Includes flood maps Insurance Programs S+2 GC34090 Includes copies of policies, rules, programs C-44 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C P1 1R1 IC WORKS (CONTINUES) Record Series Retention Citation Descriptor Policies/ Procedures S+2 GC34090 Rules and Regulations Reports/ Studies CL + 2 GC34090 Grants (see Admin.) Inventory, Equipment CU + 2 GC34090 Locations P GC34090 Mains, valves, hydrants, wells Maintenance and Operations CU + 2 GC34090 Includes work orders, inspection, repairs, cleaning, reports, complaints Service CU + 2 GC34090 Includes work orders, entry cards, manholes, service to property owners Well & Pumping CU + 2 GC34090 Times operational, power used and quantity Maps P GC34090 Line location; easements Master Plans CU + 2 GC34090 Copies Meter Operations CU + 2 GC34090 Reader reports, orders, tests Maintenance Reports Permits National Pollutant Discharge Elimination System NPDES) P 40 CFR 122.28 Municipalities of 100,000/more, compliance with Clean Water Act re: pollutants Others CU + 2 GC34090 May depend on terms of state or federal agency Policies and Procedures S+2 GC34090 Includes rules and regulations Rates S+2 GC34090 Reclamation CU + 5 40 CFR 122.41 Daily operations including sewage flow, grit removal, chlorine usage, lab analysis results, etc. Reports Conservation CU + 2 GC34090 Consumption CU + 2 GC34090 Corrosion Control CU + 12 40 CFR 141.91 Compliance documentation Discharge Monitoring Cu + 5 40 CFR 122.41 Average amount of pollution discharged into waters of municipality. Drinking Water Corrections CU + 10 40 CFR 141.33 Hydrograph P GC34090 Daily flow of streams L Lead Service Line CU + 12 40 CFR 141.91 Compliance documentation C-45 • • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT 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 0 • LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT 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 LOCAL GOVERNMENT -RECORDS MANAGEMENT GUIDELINES ATTACHMENT C TRANSPORTATION (CONTINUED) Record Series Retention Citation Descriptor Reports Accident and Incident (Aircraft) CL + 8 Accidents, injuries, property damages, general conditions re pilot and aircraft j Airport Operational (Regulatory) P Annual and special reports to federal and state regulatory agencies. Airport Operational (Administrative) CU + 2 Logs, statistical summaries; administrative records NOTAM (Notice to Airmen) CU + 3 Reports re: conditions affecting airport maintenance/operations GROUND TRANSPORTATION Auto for Hire T+4 GC34090 License, permits for Taxicabs, shuttles, etc HARBOR Registers, Transient Vessel Reservation AU + 3 Reservation applications, receipts, and index registers relating to boats in transit, temporarily moored Slip Rental Index CU + 5 Annual and periodic reports of slip renters Slip Rental Permits CL + 2 Applications, statement of rental conditions, vessel inspection check sheets, copy of DMV registration, boat owner information, and other documents re: dock slip spaces Slip Rental Waiting List CU + 2 C-48 WAIS Document Retrieval 0 Page I of 1 12236. (a) The Secretary of State shall establish the Local Government Records Program to be administered by the State Archives to establish guidelines for local government records retention and to ATTACHMM C provide archival support to local agencies in this state. (b) The Secretary of State shall establish, publish, update, and maintain on a permanent basis guidelines for local government records retention. The Secretary of State may consult with appropriate professional organizations representing city, county, and special district records administrators regarding the establishment of these guidelines. (c) The program shall be primarily responsible for the performance of the following functions: (1) Publish the guidelines developed pursuant to subdivision (b) in paper form initially and on the Internet web site for the Secretary of State. (2) Monitor and review changes in state laws and administrative regulations that pertain to local government records retention. (3) Monitor practices and procedures in records administration that have bearing on local government records retention and management. (4) Update published guidelines on a current and timely basis as changes occur. (5) Make supporting information about state laws and administrative regulations that pertain to local government records retention available to local government agencies. (6) Function as the liaison for the state Archives with appropriate professional organizations. (7) Maintain communication with individual local government agencies. (8) Consult and provide information and advice to local government agencies on archival practices. (9) Consult and provide information and advice to local government agencies on history and heritage. http://www.leginfo.ca.gov/cgi-binlwaisgate?WAISdocID=54535311281+2+0+0& WAI Saction=retr... 8/2/2006