HomeMy WebLinkAboutResolutions - No. 2019-60RESOLUTION NO. 2019-60
A RESOLUTION OF THE LODI CITY COUNCIL APPROVING
UPDATED RECORDS MANAGEMENT PROGRAM MANUAL AND
AUTHORIZING DESTRUCTION OF CERTAIN CITYWIDE RECORDS
WHEREAS, the City of Lodi first adopted its records management policy in 2007, which
provided a clear understanding of the rules and regulations associated with municipal records
management and adopted the Secretary of States Local Guidelines for Records Retention; and
WHEREAS, the purpose of the updated Records Management Program is threefold:
(1) to streamline the Manual and better define the roles and responsibilities of all departments;
(2) to incorporate the Lodi Police Department's policy and retention schedule for body worn
cameras; and (3) to add departmental schedules for records not currently referenced in the
Secretary of State's guidelines; and
WHEREAS, the updated Manual has been reviewed by the City Attorney and is
attached as Exhibit A; and
WHEREAS, in accordance with Government Code Section 34090, the City Clerk and
City Attorney have filed written consent to the destruction of certain Citywide records as
specifically set forth in the attached inventory marked as Exhibit B, and thereby made a part
hereof.
NOW, THEREFORE, BE IT RESOLVED by the Lodi City Council that:
1 The updated Records Management Program Manual attached hereto as Exhibit A
is hereby approved.
2. The records heretofore identified are no longer required.
3. The Lodi City Council finds that the City Clerk and City Attorney have given
written consent to the destruction of the records inventoried on Exhibit B
attached hereto and the destruction of those records is hereby authorized.
Dated: April 17, 2019
I hereby certify that Resolution No. 2019-60 was passed and adopted by the City
Council of the City of Lodi in a regular meeting held April 17, 2019, by the following vote:
AYES: COUNCIL MEMBERS — Johnson, Kuehne, Mounce, Nakanishi, and
Mayor Chandler
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS — None
ABSTAIN: COUNCIL MEMBERS — None
2019-60
NIFER
ity Clerk
FERRAIOLO
City of Lodi
Records Management
Program Manual
Adopted by Lodi City Council on
April 17, 2019
(Original Adoption: March 7, 2007)
Table of Contents
PURPOSE
Purpose 1
Primary Goal of Program 1
Objectives and Benefits 1
Cost of Operating Without Records Management 2
POLICY
Mandates 3
Definitions 4
Responsibilities 8
Records Destruction Policy 10
FORMS Attachment A
Records Inventory Worksheet Form 1
Records Retention Schedule Form 2
Request to Obtain/Transfer Records From/To Records Center Form 3
Authority to Destroy Obsolete Records Form 4
RETENTION GUIDELINES & SCHEDULES
Secretary of State's Local Guidelines for
Records Retention Attachment B
Lodi Police Department Body Worn Cameras
Policy and Retention Schedule Attachment C
City of Lodi Departmental Retention Schedules Attachment D
Fire FD
APPENDIX Attachment E
Purpose
Purpose
Records should be easily accessible, aid staff in completing their work, and not be
cumbersome. They should not be an impediment to work, but instead facilitate the
efficient operation of the City. The purpose of this records management program (RMP)
is twofold. First, this RMP establishes policies and procedures under a centralized records
management program to control the efficient creation, utilization, maintenance, retention,
preservation, and disposition of City records, based on local, state, and federal statutes
governing public records. Second, program implementation ensures that a responsible
program of records management is practiced. Records creation and disposition will be in
accordance with the law, and in the best interest of the City and its residents. This Manual
is designed to assist City staff and department level records liaisons in the management
of the City's records and to ensure the preservation of records that document the history
of the City.
Primary Goal of Program
The primary goal of the City of Lodi's RMP is to effectively monitor City records and data
and to maintain a more efficient records environment while preserving permanent City
records on legal archival media, eliminating the potential for lost or misplaced records,
and creating a functional records management system. Because records reflect activities
that are constantly changing, the retention requirements for records frequently require
revision as well. Consequently, this Manual and records retention and disposition
schedules often need modification or additions in order to be realistic and effective. There
may be some retention periods and disposition requirements within this schedule that
may change between major reviews of the schedule.
Records management is more than retention, storage, and disposition of records; it
entails all record-keeping requirements and practices that allow an organization to
establish and maintain control over information flow and administrative operations.
Complete records management systems control and manage records throughout their life
cycle, from their creation through active use, inactive storage, and final disposition.
Records retained beyond their value "just in case" only extend the agency's legal liability
in the event of adverse litigation or investigation.
Objectives and Benefits
Objectives of a records management system:
• Develop policies and procedures for records management;
• Conduct a survey or inventory of records in all formats;
• Utilize technology to create, store, and retrieve records;
• Destroy records at the end of their retention period and document destruction;
• Store inactive records in a cost-effective and secure location;
• Identify and preserve vital records;
• Identify and preserve permanent records;
• Develop a disaster preparedness plan to protect and recover records; and
• Implement filing and indexing systems.
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Benefits of a strong RMP include:
• Space savings;
• Reduced expenses for filing equipment;
• Increased efficiency of information retrieval;
• Compliance with records retention requirements;
• Identification and protection of vital records;
• Control over creation of new records; and
• Identification of historical records.
Cost of Operating without Records Management
An organization may find itself in legal trouble when it fails to maintain, misplaces, or
improperly destroys important records. There are many examples of fines and judgments
imposed since the 1980s as a result of failures in records management practices, which
would lead one to conclude that an effective RMP is a money saver.
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This document serves as a guideline for records management operations and procedures
by the City of Lodi. It includes sections designed to assist employees with records
management in their respective departments. New types of records, changes in the laws,
and policy revisions will require that department retention schedules be updated regularly.
The requirement for the City Clerk's Office to present this document to the City Council
on an annual basis to reflect any warranted changes is also included. Electronic records
management and the rapid change in technology will also necessitate an annual update
of this document.
mandates
In addition to established policies on records management, the City is obligated to ensure
it is in compliance with other local, state, and federal mandates that provide direction to
the City regarding record retention.
Federal Government. Numerous steps are taken at all levels to control government
records. Congress and various presidents were instrumental in bringing about legislation
to govern the amount of information collected, provide access to public information,
protect individuals' privacy, establish records management programs at the federal level,
and authorize the appropriate use of records retention and disposition schedules. Both
federal and state case law and rules require parties to preserve documentary, including
electronic, evidence that relates to cases being litigated, or cases for which there is a
reasonable expectation of litigation.
State Government. State governments adopt their own versions of records management
laws. California law states that unless otherwise provided by law, records may be
destroyed after two years (Government Code 34090, et seq.). Government Code
Section 12236(a) states, "The Secretary of State shall establish the Local Government
Records 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."
This was the first step towards the consistent application of records retention for all
local/municipal governments in the State of California. The retention schedules used in
this document were based on those guidelines.
In addition, the California State Legislature passed the California Public Records Act
(CPRA, Government Code Section 6250 et seq.) which was modeled after the federal
Freedom of Information Act (FOIA) and details what government information is and is not
available to the public. In general, most records created and held by the City are subject
to examination by the public, with the exception of specific exemption categories (outlined
in California Government Code Section 6254).
Local Agencies. On the local level, only the City Council can authorize records
destruction. Legal and proper disposal is governed by approved retention schedules to
help determine specific records which may be destroyed and documented with the
required approvals and processes as outlined in the City's rules and regulations and this
Policy. (Note: Duplicates or photocopies of original records no longer needed may be
disposed of at any time as their destruction does not require approval.)
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The City of Lodi has specific obligations concerning its records. As a governmental
agency, much of the City's records are considered "public" records. As such, there is an
obligation to provide the public access to this information upon request. On the other
hand, some of the information is of a confidential nature (e.g. closed session memos,
applicants' financial statements, etc.) and staff must exercise the responsibility to
maintain those records in an appropriate fashion to prevent unlawful disclosure.
Regardless of the situation, staff must be knowledgeable in order to preserve the integrity
of all records in and under their care. (Government Code Section 34090 et seq.)
Definitions
Many of the definitions contained in this RMP are outlined in the Secretary of State's
(SOS) Local Government Records Management Guidelines, pages 4-5 (Attachment A).
Additional definitions not referenced in the Guidelines are provided below:
Active Records
Administrative Records
Archival Records
Refer to SOS Guidelines.
California Public Records Act (CPRA)
The California Public Records Act (California Government Code Section 6250 et seq.)
provides for public access to governmental records, upon request, unless there is a legal
basis not to disclose the records.
Citation(s)
"Citation(s)" listed in the Records Retention Schedules are the legal bases for a minimum
retention period, as required by federal, state, regional, and/or local governmental agencies.
Confidential Records
Because there are many sources of legal authority defining a "Confidential Record," in
general for this policy it is any record not disclosed to the public unless directed by court
order. Examples include, but are not limited to, personnel records, pending litigation or
claims, attorney/client privilege and attorney work product, police reports and investigative
reports, feasibility studies for property acquisition, proprietary information, and public
interest.
Custodian
A person responsible for something valuable: somebody responsible for holding or looking
after valuable property on behalf of an organization or another person.
Databases
"Databases" consist of electronic files and fields or data, which manage and store
information useful to the department or division. "Databases" are modified over time
through the addition, deletion, or modification of data.
Destroy
Destroy means the paper copy may be disposed of by recycling or placing in a trash bin.
Electronic copies may be deleted and then written over at a later date.
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Destroy Securely
To protect their security and confidentiality, some records may be shredded, erased or
otherwise modified to make the records unreadable or by otherwise modifying the
protected information to make it unreadable or undecipherable through any means.
Discovery
Refer to SOS Guidelines.
Duplicate Copy
A record that is a copy of an Official Record if the copy is not within the definition of a
Trusted Copy. In addition to hard copies of Official Records, "Duplicate Copies" also
include, but are not limited to, database backups or other copies of electronic records. Note:
City of Lodi has determined that duplicate copies (and/or photocopies of original records)
no longer needed may be disposed of at any time as their destruction does not require
approval.
Electronic Document Management System
The digital repository for City records.
Electronic Mail (E -Mail)
Messages and communications transmitted over internal and external networks are
considered "Electronic Mail."
Electronic Records
Records that contain information readable by machine or computer, and which may include
information such as text, numbers, graphs, line drawings, pictures, images, video or sound
are considered "Electronic Records."
Freedom of Information Act (FOIA)
The Freedom of Information Act (FOIA), 5 U.S.C. § 552, is a federal freedom of
information law that allows for the full or partial disclosure of previously unreleased
information and documents controlled by the United States government. The Act defines
agency records subject to disclosure, outlines mandatory disclosure procedures, and grants
nine exemptions to the statute.
City records disclosures are managed under the California Public Records Act (CPRA)
which mandates the rules regarding the disclosure of California public records.
Historical Records
Records valuable to future researchers that document accomplishments, changes, and
growth of the City.
Inactive Records
Records that are no longer referenced, nor required to be readily accessible, in the general
conduct of current business. Such records may be stored at an offsite storage location or
within the work area during their required retention period.
Local Government
Refer to SOS Guidelines.
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Media
The physical format in which a record is maintained including, but not limited to, paper,
photographic, micrographic, computer storage, and any other recording or storage method.
Non -Records
Refer to SOS Guidelines.
Official Records
Original record or "Trusted Copy" having the legally recognized and enforceable quality
of any writing containing information related to the conduct of business within the City.
Office of Record
The City department responsible for maintaining a particular record series in accordance
with this Policy and the Records Retention Schedules is considered the "Office of Record."
Offsite Storage
Physically remote facility or site equipped to provide protected storage for magnetic/optical
media, microfilm, and paper records.
Permanent Records
Perpetual Records
Program Records
Public Records
Records
Records Retention Schedule
Retention Period
Refer to SOS Guidelines.
Record Hold
A record hold to suspend operation of the applicable record retention schedule is initiated
when the City receives notice of existing or anticipated litigation in the form of a lawsuit,
governmental claim, administrative claim, preservation of evidence letter, demand letter or
other correspondence or source. The notice may be received by various City departments
including, but not limited to, the Clerk's Office (for governmental claims); Human
Resources (administrative claims); or the City Attorney's Office (lawsuits filed against or
by the City, preservation or demand letters or other correspondence).
Record Lifecycle
The active period, inactive period, and final disposition period are three commonly used
lifecycle terms. The active period will vary according to the record, but is generally
characterized as a record that is used or referred to frequently during the course of business
and should be readily accessible. The inactive period is when the record's regular use
declines or ends; however, the record is still required to be held. The final disposition is
generally the end of the record's life and a final decision is made about the disposition of
a record. This can include the scanning of a record for electronic storage and destruction
of the record.
Record Series
A set of records which, as a whole, are created, stored and maintained together. "Record
Series" are used as a method to organize records by function and/or document type.
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Redaction
The process of removing the sensitive or protected information in a document is called
redaction.
Responsible
• Answerable to somebody -accountable to somebody for an action or for the successful
carrying out of a duty.
• Being to blame for something -being the cause of something, usually something wrong
or disapproved.
• Important -conferring the authority to make decisions independently and requiring
conscientiousness and trustworthiness.
SPAM
Spam is e-mail that is not wanted, consists of mostly advertising, and is often sent to large
numbers of people.
Subpoena
A subpoena is a writ issued by a government agency, most often a court, to compel
testimony by a witness or production of evidence under a penalty for failure to comply.
Transitory Records (Communication)
Communications that are temporary or of a brief duration including, but not limited to,
texts, instant messaging, and voice mail messages.
Trusted Copy
Copy of an originally created record if the copy is created on a Trusted System. "Trusted
Copies" are photographically or electronically generated documents controlled by daily
operational procedures and policies to ensure reasonable expectations of document
integrity, free from physical or electronic additions, subtractions, or other modifications
that would change the content of the original document.
Once a "Trusted Copy" is created, it will replace the original source document, and the
"Trusted Copy" must then be retained as the Official Record in accordance with the
requirements of this Policy and the Records Retention Schedules.
Trusted System
Combination of techniques, policies, and procedures for which there is no plausible
scenario in which a document retrieved from or reproduced by the system could differ
substantially from the document that is originally stored.
Vital Records
Records that are needed to continue or resume basic operations in the event of a disaster.
Writings
"Writing" means any handwriting, typewriting, printing, photo stating, photographing,
photocopying, transmitting by electronic mail or facsimile, and every other means of
recording upon any tangible thing any form of communication or representation, including
letters, words, pictures, sounds, or symbols, or combinations thereof, and any record
thereby created, regardless of the manner in which the record has been stored.
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Responsibilities
Policies and procedures, under the direction of the City Clerk, are hereby established for
the coordination, administration, and implementation of the RMP, under which City
records are retained for administrative, legal, fiscal, historical, and/or research purposes,
and destroyed pursuant to law and the policies and procedures set forth in this Manual.
City Council. The City Council reviews and approves this Policy, the Records Retention
Schedules, and any amendments to either the Policy or the Records Retention
Schedules.
City Manager. The City Manager is responsible for administering this Policy.
City Attorney. The City Attorney is responsible for the following:
• Providing legal review to any proposed amendments to this Policy or the Records
Retention Schedules.
• Providing legal review of changes in the law relating to this Policy and the Records
Retention Schedules.
• Notifying the affected office of record and City Clerk when to suspend the destruction
of records due to pending or potential litigation, discovery requests, or for any other
reason.
• Reviewing all requests for records destruction and exercising discretion to approve or
deny requests for destruction in accordance with this Policy.
• Forwarding all approved requests for destruction to City Clerk.
City Clerk. The City Clerk is responsible for developing, coordinating, and administering
policies and procedures for the implementation of the RMP, and providing guidance to
staff responsible for their respective department records. In addition, the City Clerk is
authorized by the City Council, via adoption of this Policy, to make necessary changes to
the Policy that are administrative or regulatory in nature, which will be enumerated in the
Appendix (Attachment E) and reported to Council in conjunction with the annual records
destruction.
The City Clerk shall on an ongoing and periodic basis:
• Create, maintain, and make available all forms required by the RMP.
• Oversee the development, revision, and maintenance of the Records Retention
Schedule for all City records, including the preparation of any amendments as dictated
by statute, staff, or Council policy.
• Submit proposals for any Retention Schedule amendments to the City Attorney.
• Create an annual report of any changes for presentation to the City Council.
• Maintain a current inventory and index of records transferred for offsite storage and
coordinate the transfers regarding the same.
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• Establish guidelines and coordinate periodic reviews of City records to determine
which records are eligible for destruction in accordance with the Records Retention
Schedule, subject to approval of the Department Head, City Clerk, and City Attorney.
• Coordinate with departments the timely destruction of obsolete records according to
the procedures herein, certify and document destroyed records and ensure that
Certificates of Destruction are permanently kept on file with the office of the City Clerk.
• Oversee the special handling of confidential, historical, and essential records while
ensuring the safety of vital records in the event of a disaster.
• Maintain accurate and timely electronic databases and a uniform filing system of all
legislative actions affecting the creation, utilization, maintenance, retention,
preservation, and disposition of City records in order to efficiently track and retrieve
City records.
• Respond to records requests by City staff in an efficient and timely manner.
• In coordination with the City Attorney, respond to public records requests and
subpoenas in an efficient and timely manner in accordance with law and City policy.
City Departments. Each Department Head is responsible for the following:
• Designating a qualified employee to serve as the department records liaison
("Records Liaison").
• Creation of a reliable and accurate filing system to ensure the efficient maintenance,
retrieval, and disposition of records under his/her control.
• Ensuring that obsolete records under his/her control are destroyed in a timely manner
in accordance with the policies and procedures stated herein.
• Submitting a request for any necessary revisions to the Records Retention Schedule
to the City Clerk, who will in turn review the request and submit a recommendation to
the City Attorney. Upon concurrence, the request shall be included in the annual report
to City Council.
Records Liaisons. Each Records Liaison shall act as the main point of contact within each
department for questions related to records management. Specific responsibilities
include:
• Maintaining and controlling the disposition of department records.
• Serving as liaison to apprise of and bring current any records needs for any newly
created records not shown in the current Records Retention Schedule.
• Conducting inventories and assessments of department records on an annual
basis.
• Overseeing the identification and collection of appropriate records for destruction,
ensuring implementation is in accordance with the RMP and the Records
Retention Schedule in the normal course of business.
• Assisting in monitoring legal mandates related to the unique types of records
maintained by department.
City Employees. All City employees are responsible for ensuring the policies and
procedures established within this Manual are followed.
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Records Destruction Policy
Records Management Program Manual. The City Clerk will distribute the RMP Manual to
all Department Heads. Each Department Head is responsible for ensuring that the
records under his/her control are maintained and disposed of in accordance with the
policies and procedures herein. The Manual shall be reviewed and revised annually to
ensure it meets all legal and administrative requirements. The Manual will supply the
necessary tools for staff to effectively manage, utilize, store, retrieve, and dispose of
records.
Required Forms. The following forms are to be utilized by departments to efficiently and
accurately identify, inventory, transfer to storage, retrieve, and destroy records under
his/her control:
Records Inventory Worksheet: This form is used to collect the inventory and
appraisal information needed to develop retention periods for public records under
the control of each City department. (See Attachment A, Form 1)
Records Retention Schedule: This form governs the mandatory disposition of
City records by indicating the minimum length of time records shall be maintained
in the office and in storage, the maximum preferred time by the department, if
longer, and the time period after which they may be destroyed. (See Attachment A,
Form 2)
Records Retrieval/Transfer Request Form: This form is used for the transfer
and/or retrieval of any record to or from offsite storage. The form shall be prepared
by the requesting department and submitted to the City Clerk or his/her designee.
(See Attachment A, Form 3)
Authority to Destroy Obsolete Records Form: This form is prepared by the
department intending to destroy eligible records. The City Clerk reviews the form
for adherence/compliance with the requesting department's retention schedule
and City policy. The form is then forwarded to the City Attorney for final review and
approval. It is only after all required signatures have been obtained and City
Council approval that the specified records may be destroyed. The original fully -
executed form is permanently retained by the City Clerk's Office.
As provided by Government Code Section 34090, with approval of the City Council by
resolution, upon the request of the Department Head, and with the written consent of the
City Clerk and City Attorney, the records identified in the respective department Records
Retention Schedule are authorized to be destroyed in accordance with the retention
periods and the policies and procedures set forth in this Manual. The approved City
Council resolution authorizes staff to destroy the identified records.
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The Office of the City Clerk shall be responsible for scheduling and coordinating with all
City departments the destruction of records on an annual basis. Initially, and on an
ongoing basis, the appropriate forms will be provided to all City departments to facilitate
documentation of records identified for destruction. Each Records Liaison will identify and
separate those records and complete the "Authority to Destroy Obsolete Records" form,
obtain the Department Head's signature and forward it to the City Clerk's Office. After the
authorizing signatures are obtained and Council approval, the Records Liaison will be
notified that the subject records may be properly disposed of.
It is required that the Department Head, City Clerk, and City Attorney authorize
and sign each completed "Authority to Destroy Obsolete Records" form prior to
any records being destroyed. Note: Duplicates or photocopies of original
records no longer needed may be disposed of at any time as their destruction does not
require approval.
IMPORTANT: All "Authority to Destroy Obsolete Records" requests must be carefully
scrutinized by all signatory staff in order to determine whether any records listed are
involved in litigation or if there is an administrative and/or operational requirement which
may require a temporary extension of the retention period.
Records approved for destruction that are deemed to be confidential in nature shall be
shredded. All other records shall be removed from their locations and recycled or
otherwise securely disposed of pursuant to City procedures. The City Clerk shall certify
the destruction of records and maintain a permanent record of all destroyed records and
destruction certifications.
EXCEPTIONS: Notwithstanding the provisions identified above regarding the disposition
of records, in accordance with Government Code Section 34090, the City is not
authorized to destroy permanent records, which include, but are not limited to, the
following:
• Records affecting the title of real property or liens thereon.
• Court records.
• Records required to be kept by statute.
• (Original) Records less than two years old.
• Minutes, resolutions, or ordinances of the City Council and the City's boards,
committees, or commissions.
• Records relevant to cases that are in litigation or those the City has reason to believe
will be litigated.
Procedures for Annual Records Purge. Each year, the Records Liaison shall conduct a
survey and purge of records upon receiving the corresponding memo from the City Clerk.
Records should either be destroyed or destroyed securely as specified in the retention
schedule. Records that are destroyed securely must either be shredded by a City
employee or destroyed by a third party specializing in secure records destruction.
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Records Liaisons shall:
• Identify records that are past their retention period.
• Inventory records utilizing Form 1 (Records Inventory Worksheet) and/or Form 2
(Records Retention Schedule), if necessary, and prepare Form 4 (Authority to Destroy
Obsolete Records), sign as preparer of the form, and obtain Department Head
signature.
• Submit Form 4 (along with Forms 1 and/or 2, if prepared) to the City Clerk for further
processing and to confirm consistency with the Retention Schedule.
• Following review and approval of the form(s) by the City Clerk and City Attorney,
prepare the records for destruction and/or transfer by placing them in a records
storage box or other receptacle. Label the box according to the pertinent retention
period and department name and/or as instructed.
• Following Council approval and notification by City Clerk, coordinate destruction of
department records in the manner specified in the City's Records Retention Schedule
and sign the Destruction Certificate in the City Clerk's Office.
Public Records Requests. Each Department Head is responsible for ensuring that a
request for public records is processed according to the procedures pursuant to the Public
Records Act (Government Code Section 6250, et seq.) and pursuant to City policies and
procedures. When a request for information is unclear and/or vague, the information is
not readily ascertainable, or may be confidential, City Attorney guidance shall be sought
as soon as practicable after the request is received to ensure timely processing of the
request.
The California Public Records Act was enacted because "access to information
concerning the conduct of the people's business is a fundamental and necessary right of
every person in this state." The Act is also mindful of the right to privacy. Therefore, it is
critical that the City protect citizens' rights to privacy and comply with laws protecting the
same. If a record is a public record, and if it is not specifically exempt from disclosure, it
is available for inspection for any member of the public. It is the City's policy to fully comply
with the California Public Records Act.
Vital Records Protection. Vital records contain information necessary for the City to
resume operations after a disaster. Each Department Head is responsible for identifying
the vital records under his/her control and ensuring that the vital records are maintained
according to the City's Emergency Operation Plan.
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ATTACHMENT A
Forms
City of Lodi
RECORDS INVENTORY WORKSHEET
Department: Location (building, suite, etc.) Inventoried by:
Record Series Title(s)
Description of Record Series (content, purpose, created by, Form No., etc.)
Check Media Form of Record Series:
❑ Paper ❑ CD ❑ Floppy ❑ Microfilm ❑ Tape
❑ Journal ❑ Other (specify):
Range/Dates of Records (beginning and end):
Original or Duplicate (check one and complete):
❑ Original, list location(s) of duplicates:
❑ Duplicate, list location(s) of originals:
List Other Departments/Divisions/Agencies Who Receive Copies:
Describe Value of Record Series and Utilization (i.e. historical, legal, fiscal, administration, vital,
confidential, etc.)
Department Retention (amount of time record series retained by department):
Name of Contact Person and Extension for Record Series:
Miscellaneous Department Comments:
Appraisal Comments by City Clerk:
Date: Signature:
Attachment A — Form 1 (Records Inventory Worksheet)
City of Lodi
RECORDS RETENTION SCHEDULE
DEPARTMENT:
Record Series Title
Legal Retention
Staff Recommended
Retention
Citation
Description
Attachment A — Form 2 (Records Retention Schedule Form)
City of Lodi
REQUEST TO OBTAIN/TRANSFER RECORDS
FROM/TO RECORDS CENTER
Check one: Date:
❑ Obtain
❑ Transfer
Employee: Ext.
Department:
If Requesting Record:
File Reference:
(i.e. name, subject, number, address, date range, etc.)
Description:
(i.e. warrant ledgers, citations, payroll, CUPs, etc.)
Media Type: ❑ Paper ❑ CD ❑ Floppy ❑ Microfilm ❑ Tape
❑ Journal ❑ Other (specify):
Box No. Date Range: Expected Return Date:
Purpose of Request (explain briefly):
If Transferring Record:
No. of Boxes: Retention Period (From/To):
Requesting Employee's Signature:
City Clerk's Staff Signature:
This form is intended to be used by City personnel for the transfer of records to or from City Records Center
by requesting department. It is imperative that the above form is completed accurately and completely in
order to maintain order and flawlessly manage all records retained in the Records Center.
INSTRUCTIONS FOR COMPLETING THIS FORM:
1. Fill in DATE of request, EMPLOYEE NAME, and TELEPHONE EXTENSION.
2. Fill out DEPARTMENT name such as City Attorney, City Clerk, Community Development, etc.
3. FILE REFERENCE means the method by which the record is accessed: name, number, date, etc.
4. DESCRIPTION refers to the kind of record: warrant ledgers, citations, accts. payable, payroll, etc.
5. MEDIA TYPE refers to form of record: file folder, box, journal, ledger, CD, microfilm, etc.
6. DATE RANGE includes the beginning and ending dates of records requested.
7. EXPECTED RETURN DATE: must be during City Hall normal operating hours.
8. PURPOSE OF REQUEST: Explain the purpose of borrowing/transferring said records.
Attachment A — Form 3 (Request to Obtain/Transfer Records)
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the City's Records Management
Program Policy and Procedures and with applicable federal and state laws as set forth in the City of Lodi
Retention Schedules. In accordance with the City's Records Management Program, with the consent of the
Department Head, and upon written approval of the City Clerk and City Attorney, these records will be properly
destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives. Documents involved in
litigation or pending audit will not be destroyed.
Department:
Date:
Total No. of Pages:
Proposed Destruction
Division:
Prepared By:
Signature:
Record Series Title
(Including Statutory Reference and Retention)
Dates of Records
(From and To)
Storage Location
Box No.
Department Head:
Date:
City Clerk: Date:
Consent is hereby given to destroy the above -listed records:
*City Attorney: Date:
Destruction Completed By:
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation
ATTACHMENT B
Secretary of State's
Local Guidelines for
Records Retention
SECRETARY OF STATE
LOCAL GOVERNMENT
RECORDS MANAGEMENT GUIDELINES
SECRETARY OF STATE DEBRA BOWEN
ARCHIVES DIVISION
RECORDS MANAGEMENT
(916) 653-3834
FEBRUARY 2006
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
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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LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
Program to be administered by the State Archives to establish guidelines for local
government retention and to provide archival support to local agencies in this state."
These guidelines are an initial attempt to provide some standards and structure to the
local government records management effort. Other attempts at standardization include
the California City Clerks Association's 1998 list of common local government records
and recommended retention periods. The goal of the State Archives in compliance with
GC 12236 is to consolidate information resources and provide local government with a
single source for archival and records management support and guidance.
Authority 2-1020
• California Public Records Act (Government Code, Section 6250 et seq.)
• Government Code, Section 12236
Definitions 2-1030
• Active Records — As a measure of activity for records that are referred to at least
once a month per cubic foot of records. Also — As a retention period for a Perpetual
Record that remains "active" until some event occurs to change its status, at which
time it has fulfilled its function. (See also Perpetual Record)
• Administrative Records — Records commonly found in all offices and typically
retained only for short time periods — less than five years. Examples include subject,
chronological, budget, and policy files.
• Archival Records - Records with enduring value because they reflect significant
historical events, document the history and development of an agency, or provide
valuable research data.
• Discovery — The pretrial disclosure of pertinent facts or documents by one or both
parties to a civil action or proceeding. Anything requested during discovery must be
disclosed if it exists — even non -records and records that should have been
destroyed earlier. Discovery effectively freezes selected holdings until released by
opposing attorney or the court.
• Local Government — Government Code, Section 6252 states: "'Local Agency'
includes a county; city, whether general law or chartered; city and county; school
district; municipal corporation; district; political subdivision; or any board,
commission or agency thereof; other local public agency; or nonprofit entities that
are legislative bodies of a local agency pursuant to subdivisions (c) and (d) of
Government Code, Section 54952."
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LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
• 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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LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
Records Management
Principles
2-2000
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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LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
• 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.
7
LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
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".
8
LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
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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LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
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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LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
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
11
• _ • :\11 \ -: •:A 1 '►_ 1 \ 1
■ 1A
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
Documentation
Active
Active until revised/rescinded/superseded*
Vehicle Files
2
Personnel
Duty Statements
Active
Active until revised*
A-1
• _ • :►14 \ -: •C• 1 '►_ 1 \ 1
■ 1A
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 -El
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/+417 if subject to
audit*
Emergency Preparedness
Active
Active until revised*
Public Hearings
5
Health/Safety
3
Plans and Goals
Active
Active until revised/rescinded/superseded/Complete*
Records Management
Records Retention Schedule
Active
Active until revised*
Records Transfer List (STD 71)
Active
Active until disposal of records*
Records Destruction
Authorization
4
A-2
ATTACHMENT A
LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
Forms File
Active+1
Active until revised/rescinded/superseded*
Legislation/Regulations/Legal
Bill Analysis
3
PRA 6254
Research Information
3
PRA 6254
Proposed
Legislation/Regulations
4
PRA 6254
Legal Opinions
Active+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
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.orq/
ARMA International — Association of Records Managers and Administrators.
The mission of ARMA International is to provide education, research, and networking
opportunities to information professionals, to enable them to use their skills and
experience to leverage the value of records, information, and knowledge as corporate
assets and as contributors to organizational success. ARMA has a network of local
chapters that provide educational opportunities for members and non-members alike.
ARMA International
4200 Somerset Dr., #215
Prairie Village, KS 66208
1-800-422-2762
http://www.arma.org/
NAGARA — National Association of Government Archives and Records Administrators.
NAGARA is an association dedicated to the improvement of federal, state, and local
government records and information management. Their goal is to promote the
availability of our documentary legacy by improving the quality of records and
information management at all levels of government
B-1
LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT B
NAGARA
48 Howard Street
Albany, NY 12207
1-518-463-8644
http://www.nagara.org/
NARA — National Archives and Records Administration
Major source for national archives and records management issues and policies.
Develops standard Record Retention Schedules for federal agencies.
National Archives and Records Administration
700 Pennsylvania Avenue, NW
Washington, D.C. 20408
1-800-234-8861
http://www.archives.qov/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 O Street
Sacramento, CA 95814
(916) 653-3834
Imetzer@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
B-2
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
B-3
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
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
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.
C-3
LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
RECORDS RETENTION CLASSIFICATIONS — CITY GOVERNMENT
August 1999
ADMINISTRATION
Audit
Community Services
Elections
General Subject
Grants
Human Resources
Information Services
Legal/Legislative
Municipal Clerk
Policies & Procedures
Public Information
Public Financing Authority
Risk Management
DEVELOPMENT
Administration
Building
Code Enforcement
Engineering
Environmental Quality
Housing
Municipal Facilities
Planning
Property
Redevelopment
FINANCE
Accounting
Administrative Services
Fixed Assets
License
Payroll
Purchasing
Reports
Treasurer
PUBLIC SAFETY!
Animal Control*
Emergency Management
Fire Safety
Administration
Personnel
Property
Reports
Hazardous Materials
Health & Welfare
Law Enforcement
Administration
Investigations
Patrol
Services
PUBLIC WORKS
Parks
Sanitation/Solid Waste/
Wastewater
Streets/Alleys
Utilities
Water
TRANSPORTATION
Administration
Airport
Ground Transportation
Harbor
*Anticipate will be addressed by County Officials
C-4
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
Apparatus/Vehicle Public Safety C-32
Appeals, Civil Administration C-22
Applications - Aircraft Storage Transportation C-47
Applications - Parking Transportation C-47
Applications - Slip Rentals Transportation C-47
Applications - Special Events Transportation C-47
Applications Finance C-29
Applications, Absentee Ballots Administration C-17
Applications, Boards, Commissions, Committees Administration C-22
Appraisals Development C-28
Acquisition/Disposition Development C-28
Arrest/Conviction Public Safety C-36
Articles of Incorporation Administration C-22
Asbestos Development C-27
Assessment Districts Administration C-23
Assessment Districts Finance C-29
Asset Forfeiture - Investigations/Proceedings Case File Public Safety C-34
Asset Forfeiture - Notifications Public Safety C-34
Assisted, Challenged Voters List Administration C-17
Audits Finance C-30
Auto for Hire Transportation C-48
Ballots Administration C-17
Ballots — Prop. 218 Administration C-17
Bank Reconciliation Finance C-29
Bank Statements Finance C-30
Benchmark Data Development C-25
Benefit Plan Claims Administration C-20
Benefit Plan Enrollment, Denied Administration C-20
C-5
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
INDEX
ITEM
Bids & Proposals (Unsuccessful)
Bids, RFQ's, RFP's
Billing Records
Billing/Customer Records
Biographies
Blueprints, Specifications
Bond, Personnel Fidelity
Bonds - Administration
Bonds - Security
Bonds - Development
Bonds - Account Statements
Bonds - Bonds and Coupons
Bonds
Bonds
Bonds, Insurance
Books, Fire Code
Brochures, publications, newsletter, bulletins
Budget adjustments, journal entries
Budget Operating (copies)
Budget Operating (copies)
Budget
Budget, Accounting
Budget, Adopted
Budget, Proposed
Business License
Calendar
Calendar, City
California Environmental Quality Act (CEQA)
Canvass
Capital Improvement Projects
Capital Improvements, Construction
Cards - Dispatch
Cards - Field Interview
Case Books, Investigative
Case Files - Homicide Investigator's File
Case Files - Narcotics (No arrest, Narcotics Cases)
Case Files - Officer Involved Shootings
Case Files
Case Files, Planning and Zoning
Case Log
Case Records - (High Profile)
Case Records - (Routine)
Certificates (Building)
Certificates (Planning)
Certificates of Election
Charter - Amendments/Measures
Checks
Chemicals/Film Inventories
Citations - 11357(e), Juvenile
Citations - 11357b H&S, 11357c H&S,
11360b H&S Violations
Citations - California Vehicle Code Infractions (Duplicates)
C-6
CATEGORY PAGE
Development
Finance
Finance
Public Works
Administration
Development
Administration
Finance
Development
Development
Finance
Finance
Administration
Development
Administration
Public Safety
Administration
Finance
Administration
Finance
Administration
Finance
Finance
Finance
Finance
Administration
Administration
Development
Administration
Development
Development
Public Safety
Public Safety
Public Safety
Public Safety
Public Safety
Public Safety
Development
Development
Administration
Administration
Administration
Development
Development
Administration
Administration
Finance
Public Safety
Public Safety
Public Safety
C-25
C-30
C-29
C-44
C-19
C-26
C-20
C-31
C-25
C-25
C-31
C-31
C-17
C-27
C-24
C-32
C-24
C-29
C-17
C-29
C-17
C-29
C-29
C-29
C-29
C-17
C-24
C-27
C-17
C-27
C-28
C-38
C-38
C-34
C-34
C-34
C-34
C-26
C-28
C-22
C-22
C-22
C-26
C-28
C-17
C-17
C-29
C-39
C-38
C-38
Public Safety C-39
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
INDEX
ITEM
Citations - Cite and Release
Citations - Parking/Traffic, Duplicates
Citations - Transmittals
Claim Files
Claims, Damage
Classifications and Appointments
Closures
Code Books
Collections/Landfill
Community Development Block Grant and
Urban Development
CATEGORY PAGE
Public Safety C-38
Public Safety C-39
Public Safety C-39
Public Safety C-33
Administration C-24
Administration C-19
Public Works C-43
Development C-25
Public Works C-42
Administration C-19
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
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
INDEX
ITEM
Equipment - Operations Files - Photo Lab
Equipment - Radio Logs (Communication)
Evidence, Disposition Forms
Exposure - Personnel
Facilities (Sanitation/Solid Waste/Wastewater)
Facilities (Utilities)
Facility Rentals/Use
Fair Political Practices - Administration, Statements
Fair Political Practices - Campaign disclosure, elected
Fair Political Practices - Campaign disclosure, not elected
Fair Political Practices - Campaign disclosure, unsuccessful
Fair Political Practices - Candidate Statements
Fair Political Practices - History
Fair Political Practices - Statement of Economic Interest,
Elected
Fair Political Practices - Statement of Economic Interest,
not elected
False Alarm (Duplicate)
Federal and State Grants
Field Books
Field, Non -fire and Logs
Financial, Annual
Financial Records - Grants
Financial Records, Public Financial Authority
Fingerprint - Applicants Files
Fingerprint - Inked/Palm Cards
Fingerprint - Records Latent
Fingerprint - Suspect, Adult/Juvenile
Fire, Non -arson and Logs
Flood Control - Drainage Facilities
Flood Control - Flood Zones
Flood Control - Insurance Programs
Flood Control - Polices/Procedures
Flood Control - Reports/Studies
Flood Control
Flood Records
Franchises
Fueling
Gas & Electric Rates
General Administrative
General Orders
General Orders, Policies/Procedures
General Plan Amendments - Approved
General Plan Amendments - Denied
General Plan and Elements
General Subject Files
Goals & Objectives
Grants - Parks (refer to Admin.)
Grants - Street/Alleys (see Admin.)
Grants — Water (see Admin.)
Grants, Community/Urban Development (includes CDBG)
Grievance Files
C-8
CATEGORY
Public Safety
Public Safety
Public Safety
Public Safety
Public Works
Public Works
Development
Administration
Administration
Administration
Administration
Administration
Administration
Administration
Administration
Public Safety
Administration
Public Works
Public Safety
Finance
Administration
Administration
Public Safety
Public Safety
Public Safety
Public Safety
Public Safety
Public Works
Public Works
Public Works
Public Works
Public Works
Development
Development
Development
Transportation
Public Works
Administration
Public Safety
Public Safety
Development
Development
Development
Development
Administration
Public Works
Public Works
Public Works
Development
Public Safety
PAGE
C-39
C-39
C-34
C-32
C-42
C-44
C-28
C-18
C-18
C-18
C-18
C-18
C-18
C-18
C-18
C-36
C-19
C-43
C-32
C-30
C-19
C-24
C-34
C-34
C-34
C-34
C-32
C-44
C-44
C-44
C-45
C-45
C-27
C-28
C-25
C-47
C-44
C-23
C-39
C-32
C-28
C-28
C-28
C-25
C-19
C-42
C-43
C-45
C-25
C-40
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
C-9
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, Precincts/Voter Information Administration C-18
Maps, Septic Tank Public Works C-42
Master Plans - Streets/Alleys Public Works C-43
Master Plans - Water Public Works C-45
Master Plans, Annual Development C-26
Media Relations Administration C-24
C-10
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
C-11
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
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
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
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
INDEX
ITEM
Training Records Safety
Travel Records
Underground
Underground Storage Tank -
Maintenance and Operations
CATEGORY PAGE
Administration C-21
Administration C-19
Public Works C-44
Public Safety C-33
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
LOCAL GOVERNMENT - RECORDS MANAGEMENT GUIDELINES
ATTACHMENT C
AC = Active
AU = Audit
CU = Current Year
E = Election
P = Permanent
T = Termination
LEGEND
Records Retention
AD = Adoption
CL = Closed/Completion
DOB = Date of Birth
L = Life
S = Supersede
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
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION
Record Series
Retention
Citation
Descriptor
AUDIT
Annual Financial
Report
CL + 2
GC34090
Independent auditor analysis
Bonds
CL + 10
GC34090;
CCP 337.5
Final bond documentation
Budget
P
GC34090
Annual operating budget approved by Legislative
Body
Budget Operating
(copies)
S
GC34090
Departmental Reference
Hearing or Review
AU + 2
GC34090;
OMB A-128
Documentation created and or received in connection
with an audit hearing or review
Reports
AU + 4
GC34090;
OMB A-128
Internal and/or external
Reviews,
Internal/External
Periodic
CU
GC34090;
GC6250
Daily, weekly, monthly, quarterly or other summary,
review, evaluation, log, list, statistics, except a report
COMMUNITY
SERVICES
Libraries
CU + 2
GC 34090
Books, art, gifts, donations, exhibits, theatre, music,
special events, etc.
Plaques
P
Historic value
Sports Organization
S + 2
ELECTIONS
Affidavit Index
CL + 5
EC 17001
Applications, Absentee
Ballots and Envelopes
E + .5
EC 17505;
EC 17302
From date of election
Assisted, Challenged
Voters List
E + .5
EC 17304
From date of election
Ballots
E + .5
EC 17302
From date of election; ballots submitted to
precincts/City Clerk that were not used - unless
contested (EC 17302(c)) retention by court order
Ballots
Prop. 218
(Assessment
Districts)
P
California
Constitution
Art. XIII
Property related fees (Assessment Ballot proceeding)
Calendar
E + 2
GC 34090
Canvass
P
GC 22932;
EC 17130;
EC 2653
Notifications and Publication of Election; Records
used to compile final election results, including tally
sheets, voting machine tabulation, detailed
breakdown of results; special election results
Certificates of Election
T + 4
GC 81009(a)
(d)
Certificates of election; Original reports and
statements
Charter
Amendments/
Measures
P
GC34458-60;
GC34090
Chapter designations by Secretary of State following
adoption of voters
C-17
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED
Record Series
Retention
Citation
Descriptor
Fair Political Practices
Administration/
Campaign
Statements and
Conflict of Interest
CU + 5
FPPC Opinions
Campaign
disclosure, Elected
P
GC81009(b)
(g)
FPPC Filings
Campaign
disclosure,
Not Elected
E + 5
GC81009(b)
FPPC Filings
Campaign
disclosure -
Unsuccessful
(all other
committees)
E + 7
GC81009
FPPC Filings
Candidate
Statements
E + 4
Sample ballot retained permanently.
History
P
GC 34090
History of elections, sample ballots, certificates of
destruction, other resolutions re: elections
Statement of
economic interest -
Elected Officials
T + 7
GC
81009(e)
FPPC Filings
Statement of
economic interest -
Not Elected
E + 5
GC
81009(b)
FPPC Filings
Lobbyist Registration
P
EC
81009(b)
Statements
Maps, Precincts/Voter
Information
E + 2
GC 34090;
EC 17501;
EC 17301
Nomination Papers
Successful
Unsuccessful
E + 4
E + 2
EC 17100
GC
81009(b)
Notifications and
Publications
E + 2
GC 34090
Proof of publication or posting, certification and listing
of notice of posting; copy of newspaper notice and
certification of offices to be voted for at forthcoming
election
Oaths of Office
T + 6
GC34090;
29 USC
1113
Elected Officials
Petitions
.75
EC 17200,
17400; GC
7253.5; EC
14700 + GC
3756:8
From date of filing or election; Initiative, referendum,
recall, Charter Amendments
C-18
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
Signature Copy
CU + 5
EC 17000
Fire, special or school district
GENERAL SUBJECT
Administration
P
GC 34090
Biographies
CU + 2
GC34090
Classifications and
Appointments
P
GC 34090;
GC 12946;
29 CFR
516.6(2); 29
CFR 1602.4
Includes supplemental Personnel records. Wage rate
tables 2 years.
Correspondence/
Originating Department
CU + 2
GC34090(d)
If not attached to agreement or project file
Goals & Objectives
CU + 2
GC34090
Departmental goals & objectives
Policies & Procedures,
Departmental
S + 5
GC34090(d)
Retain while current
Promotional Marketing
External
CU + 7
Internal
2
Reports
Departmental
CU + 2
GC34090
Special/or final summary, review or evaluation
Staff
CU + 2
GC34090
Non -agenda related, includes supporting
documentation
Special Projects
CU + 2
GC34090
Support Services
CU + 2
GC34090
Reproduction; printing; postal/mailing services, other
internal resources
Travel Records
CU + 2
GC34090
GRANTS
Community
Development Block
Grant and Urban
Development
T + 4
GC34090;
24 CFR
570.502
24
CFR85.42*
Applications, reports, contracts, supporting documents;
*OMB Cir. A-102, A-110, A-128
Federal and State
CL + 5
GC34090
Refer to grant application close-out procedure
Financial Records
CL + 5
GC34090
Refer to grant application close-out procedure
Unsuccessful
CL + 2
GC34090
Applications not entitled
C-19
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED
Record Series
Retention
Citation
Descriptor
HUMAN RESOURCES
Benefit Plan Claims
P
GC6250 et
seq;
OMB A-129
29 CFR
1602.30;
32; Lab Rel
Sec 1174*
May include dental, disability, education, health, life and
vision including dependent care and Employee
Assistance
*29 CFR 1637.3; 29 USC 1027; 29 CFR 1627.3; 29 USC
1113
Benefit Plan
Enrollment, Denied
CL + 4
GC34090;
OMB A-128
Bond, Personnel
Fidelity
T + 2
GC34090
Employee Fidelity Bonds
Employee Handbook
S + 2
GC 34090
General employee information including benefit plans
Employee Programs
CL + 2
GC 34090;
GC 12946
Includes EAP and Recognition
Employee Rights
General Employees
Safety (Police)
T + 2
T + 5
GC12946;
29 CFR
1602; 29
USC 211
(e); 203(m);
207(g)
May include Arbitration, grievances, union requests,
sexual harassment and Civil Rights, complaints,
disciplinary actions
Hourly Employees
T + 6
GC12946;
GC34090*
*29 CFR 1627.3, Labor Relations Section 1174
Immigrant
Immigratio
n
Reform/Co
n-trol Act
1986 Pub. L
99-603
I -9's
Medical Leave
CL + 30
FMLA 1993
US OSHA;
29 CFR;
1910.20*
May include Family leave; certifications; tests; W -4's;
*29 CFR 1602.30.32; 49 CFR 193-9;
Motor Vehicle Pulls
(DMV)
CL + 7
GC12946, *
*CA 91009; 8 USC 1324 (a)
Negotiation
P
29 USC
Sections
211(c),
203(m),
207(g)
Notes, notebooks, correspondence, contracts, and
Memorandums of Agreements
C-20
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED
Record Series
Retention
Citation
Descriptor
Non -Safety Employees
T + 3
Reference:
29 CFR
1627.3;
CCR Sec
1174; 29
CFR
1602.30.32;
GC6250 et
seq; 29
CFR; GC
12946,
34090*
Non -safety employees may include: Release
Authorizations; Certifications; Reassignments; outside
employment; commendations disciplinary actions;
terminations; Oaths of Office; evaluations -pre-employee
medicals; fingerprints; identification cards (ID=s)
*1607.4; 29 CFR 655.202; 29 CFR 516.6 et seq; 45 CFR
1068.6(a)
Personnel Records
(copies)
CU + 2
GC34090;
GC6250
Attendance; evaluations; drafts; worksheets; postings
PERS, Social Security,
SSI
P
29 CFR
1627.3(2);
GC 12946,
34090
EEOC/ADEA
Recruitment
CL + 3
Reference:
GCI2946;
GC6250 et
seq;
29 CFR
1602 et seq
29 CFR
1607;
29CFR
1627.3
Applications, resumes, alternate lists/logs, indices;
ethnicity disclosures; examination materials;
examination answer sheets, job bulletins; eligibility;
electronic database
Reports
CU + 2
GC34090
Employee statistics, benefit activity; liability loss
Safety Employees
T + 5
Reference:
29 CFR
16273; CCR
Sec 1174;
29 CFR
1607.4; *
Police, fire, emergency employees may include; Release
Authorizations; Certifications Reassignments; outside
employment; commendations disciplinary actions;
terminations; Oaths of Office; evaluations -pre employee
medicals *29 CFR 1602.30.32; 29 CFR 655.202; 29 CFR
516.6 et seq; 45 CFR 1068.6(a)
Surveys and Studies
CU + 2
GC 12946,
34090; 29
CFR
516.6(2); 29
CFR
1602.14
Includes classification, wage rates
Training Records
Non -Safety
CU + 7
GC6250 et
seq
Employee applications, volunteer program training,
class training materials, internships;
Personnel (by name)
T + 7
GC34090
Paperwork documenting officers internal and external
training
Safety
CU + 2
GC34090
Certifications/designations
Vehicle Mileage
Reimbursement Rates
S + 2
GC 34090
Annual mileage reimbursement rates
C-21
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED
Record Series
Retention
Citation
Descriptor
INFORMATION
SERVICES
Internet, World Wide
Web
S + 2
GC34090
Management/Policies and supporting documentation
Inventory, Information
Systems
S + 2
GC34090
Hardware/Software Inventory logs; systems manuals
Network Information
Systems (LAN/WAN)
CU + 4
GC34090;
CCP 337.2;
343
Configuration maps and plans
Program Files and
Directories
CU + 2
CU + (2
mos.)
CU + 1
CU + .5
GC34090;
GC34090.7
Annual backup
Daily backup
Monthly backup
Weekly backup
Tapes Information
Systems
CU + 2
GC34090
System Generation
LEGAL/ LEGISLATIVE
Agendas
CU + 2
GC34090
Original agendas and special meeting notices, including
certificates of posting, original summaries, original
communications and action agendas for Council,
Boards and Commissions
Agenda Reports
(Master, Subject Files)
CU + 2
GC34090
(d)
Documentation received, created and/or submitted to
Council
Appeals, Civil
CU + 3
CCP
583.320(a)(
3); GC
34090
Applications, Boards,
Commissions,
Committees
CL + 2
GC34090
Not selected
Applications, Boards,
Commissions,
Committees
T + 5
GC34090;
GC40801
Selected
Articles of
Incorporation
P
GC34090;
CCP 337.2
Case Log
CL + 7
CCP 337.2;
343
From Close of cases listed; Chronological listing of
cases
Case Records - (High
Profile)
P
GC6254
Significant cases which have importance/or set legal
precedence. Includes logs, complaints, police reports,
court orders, motions, notes, briefs
Case Records
CO + 7
42 USC
s1983
Includes logs, complaints, police reports, court orders,
motions, notes, briefs, closing statements (unless
minors - 3 years after attaining 18)
Contracts and
Agreements
Excl. Capital
Improvement
T + 5
CCP 337.2,
343;
B&P7042.5;
*
Includes leases, equipment, services or supplies
*PU7685; 48 CFR:2; GC53066
Incl. Capital
Improvement
P
2.08.110;*
Construction
*GC37090a; 4004; H&S 19850
Index, Attorney Case
L
GC6254
Including notations on activities related to case
C-22
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
ADMINISTRATION (CONTINUED
Record Series
Retention
Citation
Descriptor
Legal Advertising
CU + 4
CCP 343,
349 et seq.;
GC 911.2;
GC 34090
Includes public notices, legal publications
Logs, Attorney Service
Request
CU + 2
GC34090
Service request, summaries of monthly requests
Minutes
P
GC34090(d)
; GC36814;
GC40801
Official minutes and hearing proceedings of governing
body or board, commission or committee
Notices, Meeting
CU + 2
GC
34090.7,
54960.1(c)(
1)
Special meetings
Opinions
S + 2
GC34090;
GC6254
Confidential
Ordinances
P
GC34090(d)
40806
Charter amendments; municipal code
Petitions
CU + 1
GC50115;
GC6253
Submitted to legislative bodies
Resolutions
P
GC34090(d)
40801
Legislative actions
Tapes, Audio/Video
CU + 3
mos.
GC 34090.7
When used for minute preparation and may have
historical value.
MUNICIPAL CLERK
Assessment Districts
P
GC 34090
Original documentation
Inventory, Records
CU + 2
GC34090;
80 OPS
Atty. Gen.
106
Inventory of non-current or inactive records holdings
and location, indices. Tapes may be recycled.
Municipal Code
P
GC 34090
Supplements included
Public Records
Request
CL + 2
GC 34090
Records Management
CL + 2
GC34090
Document includes retrieval, transfers - inactive
Records Management
Disposition
Certification
P
GC34090
Documentation of final disposition or records
Records Retention
Schedules
S + 4
CCP 343
POLICIES/
PROCEDURES
General Administrative
S + 2
GC34090;
40801
All city policies and procedures
Policy, Council/
Proclamations
S + 2
GC34090
Policies, directives rendered by Council not assigned a
resolution or ordinance number
PUBLIC FINANCING
AUTHORITY
Administration
P
GC 34090
C-23
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
Participation, deferred, use of facilities
Insurance, Workers
Compensation
P
GC6410;
29 CFR
1910.20
Indemnity; PERS - working files - originals with
Administrator
Photographs,
Negatives, Film
CL + 2
GC34090
Risk Management
Reports
CL + 5
OMB 1220-
0029; 29
CFR1904.4;
GC 34090
Federal OSHA Forms; Loss Analysis Report; Safety
Reports ; Actuarial Studies
Workers
Compensation
P
CCR 14311;
15400.2;
CA
Labor Code
110-139.6
Claim Files, Reports, Incidents
(working files) originals filed with Administrator
C-24
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
DEVELOPMENT
Record Series
Retention
Citation
Descriptor
ADMINISTRATION
Benchmark Data
CU + 2
GC34090d
Horizontal, vertical & control
Bids & Proposals
(Unsuccessful)
CL + 2
GC34090d
Bonds
Development
CL + 10
CCP 337.5
Housing; Industrial Development
Security
CL + 2
GC34090
Documentation created and or received in connection
with the performance of work/services for the city, or
for parcel maps and subdivision work
Code Books
P
GC34090e
National Electrical Code, Uniform Building, Fire,
Mechanical, Plumbing & Supplements
Contractor
CU + 2
GC34090d
Current listing
Correspondence
CU + 2
GC34090d
Working documentation
Development
Conditions
L
GC34090
Mitigation measures; filed with case files
Development
Agreements
P
CCP337,
337.1(a),
337.15;
GC34090;4
8 CFR
4.703
Infrastructure contracts, franchises. Original
maintained for 7 years.
Development
Standards
P
GC34090a
Landscape mediums, parkway landscape
development, public works construction
Drawings, Project Plan
CU + 2
GC34090d
Does not include those usually filed with case or
project
Franchises
P
GC65864,
65869.5,
34090*
Including subdivision agreements, contracts for sale
or purchase of property, cable, grant of easements
and/pr involving construction of improvements
*CCP 337.2, 343; AC16023
General Subject Files
CU + 2
GC34090d
Internal working files including correspondence
Grants,
Community/Urban
Development (includes
CDBG)
CL + 4
24CFR
570.502(b)
(3);
241CFR
85.42 &
OMB Cir. A-
110, Attach.
C; *
Project files, contracts, proposals, statements, reports,
sub -recipient dockets, Environmental review, grant
documents, applications, inventory, consolidated plan,
etc. Includes Section 108 loan guarantee *OMB Cir.
A-102 & 128, HUD regulations
Historic Preservation
Inventory
2
GC34090d
Historic structures & landmarks
Incident Files
2
GC34090d
Emergency Call Outs
Land Uses,
nonconforming
P
GC34090a
Building or site usage which does not conform to
current standards
Logs
CU + 5
Logs, registers or similar records listing permits,
certificates of occupancy issued; may include
inspection, building activity, daily, plan check, utility
C-25
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;
H&S19850;
4003; 4004
Plans, building, signs, grading, encroachment,
including blueprints and specifications
Permits, Other
CL + 2
GC34090d
Alterations, encroachment, excavations, road, street
sidewalks & curb alterations, transportation,
swimming pool drainage, temporary uses, etc.
Photographs
S + 2
GC34090d
Aerial photographs
Projects, Not
Completed or Denied
CL + 2
GC34090d
Building, engineering, planning
Reports
CU + 2
GC34090
Activity, periodic
Seismic Retrofit
Program
P
GC34090a
Includes Certificates of Compliance
Street Names and
House Numbers
P
GC34090a
Street dedications, closings, address
assignment/changes
Studies, Special
Projects & Areas
CL + 2
GC34090d
Engineering, joint powers, noise, transportation
Surveys
P
GC34090a
Recording data and maps
BUILDING
Blueprints,
Specifications
CL + 2
GC34090d
Submitted by contractors with application for permit
and builds for Certificate of Occupancy
Certificates
L
GC34090a
Compliance, elevation, occupancy which affect real
property
Construction
(Approved)
P
GC34090a;
4003; 4004;
H&S 19850,
19853
New commercial and residential construction, tenant
improvements room additions, spa, signs, block wall,
remodel including security bonds
Inspection
CL + 2
GC34090d
Correspondence, fees, appeal requests, reports
Permits
P
GC34909a;
H&S 19850;
4003;4004
Plans, building, signs, grading, encroachment permits
Signs (Temporary)
S + 2
GC34090d
Home occupations, off -premise signs
CODE ENFORCEMENT
Abandoned Vehicles
CL + 2
GC34090d
Case Files
CL + 2
GC34090d
Building, housing and mobile home code violation
records including inspections; public nuisance
rubbish and weed abatement, vehicle abatement,
citations, massage parlor permits, general
Liens & Releases,
Supporting
Recorded
CL + 2
P
GC34090
Utilities, abatement, licenses
C-26
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
State
P
GC34090a
Code enforcement statistics; may contain records
affecting title to real property or liens thereon
Violations, Building,
Property & Zoning
CL + 2
GC34090d
Supporting code enforcement activity
ENGINEERING
Capital Improvement
Projects
CL + 10
CC337.15
Supporting documents including bidders list,
specifications, reports, plans, work orders, schedules,
etc.
Construction Tracking,
Daily
P
CC337.15
Assesses value of real property
Drawings, Traffic
Control Plan
P
GC34090a
Signs, signing & striping, road construction
Flood Control
CL + 2
GC34090d
Storm Drains
Special Districts
P
GC34090a
Supporting documents re: improvement, lighting,
underground utility; bonds, taxes & construction
Street/Alley
(Abandonment/
Vacation)
CL + 2
GC34090d
Relinquishment of rights and fee title
Traffic Signals
CL + 2
GC34090d
Counts, collisions, accidents
ENVIRONMENTAL
QUALITY
Air Quality (AQMD)
CU + 7
CCP
338(k);
GC34090
Participants/voucher logs, Total Daily Mileage Survey
(TDM); various local authorities; Commute Alternative
Asbestos
P
GC34090a
Documents abatement projects, public buildings
California
Environmental Quality
Act (CEQA)
P
GC34090a
+ CEQA
Guidelines
Exemptions, Environmental Impact Report, Mitigation
monitoring, negative declaration, notices of
completion and determination, comments, statements
of overriding considerations
Congestion
Management
CU + 2
GC34090d
Ride sharing, trip reduction
Environmental Review
CL + 2
GC34090d
Correspondence, consultants, issues, conservation
Pest Control
CU + 2
GC34090d
Pesticide applications, inspections & sampling,
documents
Soil
CL + 2
GC34090d
Analysis, construction recommendations
Soil Reports
P
GC34090d
Final Reports
HOUSING
Bonds
CL + 4
CCP 337
Revenue Bond Documentation
Programs
CL + 3
24 CFR
570.502(b)(
3); 24 CFR
85.42 &
OMB Cir. A-
110, #C
Includes comprehensive Housing Authority Strategy,
Meeting Credit Certificate, Housing bond advisory,
HOME, In -Lieu Housing Mitigation, Low/Moderate
Housing, Rental Housing Assistance
C-27
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
DEVELOPMENT( CONTINUED
Record Series
Retention
Citation
Descriptor
Redevelopment
Budgets
Bond Issues
P
P
GC 34090,
40802,
53901
GC43900 et
seq.
Includes annual audit
MUNICIPAL FACILITY
Capital Improvements,
Construction
P
2.083110;
GC34090a;
4004; H&S
19850;
GC34090a
Contains records re: Planning, design, construction,
conversion or modification of local government-owned
facilities, structures & systems
Facility Rentals/Use
CU + 2
GC34090
Permits, contracts, diagrams, schedules, insurance
binders
Maintenance &
Operations
CU + 2
GC34090d
Service requests, invoices, supporting documentation;
buildings, equipment, field engineering, public
facilities including work orders and graffiti removal
PLANNING
Case files, Planning
and Zoning
P
GC34909a;
H&S 19850;
4003;4004
Pertains to real property. May include blueprints,
drawings, maps, plans, reports, evaluations,
correspondence, uses, permits, variances, studies,
appeals, compliance certificates, lot line adjustments
or other planning -related matters brought before
legislative body
Certificates
L
GC34090
Retain during life of structure
Flood Records
CU + 2
GC34090
General Plan and
Elements
P
GC34090
Includes sphere of influence
General Plan
Amendments
Approved
Denied
CL + 2
CU + 3
GC34090
GC65103; *
* GC50110
Interpretations
CU + 2
GC34090
Maps, Plans,
Drawings, Exhibits,
Photos
P
GC34090;
H&S 19850;
GC34090.7
Zoning, tentative subdivision, parcel, land use map,
aerial photos, specific plans
PROPERTY
Abandonment
P
GC34090a
Buildings, Condemnation, Demolition
Acquisition/
Disposition
Disposition
CL + 10
GC34090a;
GC6254
Supporting documents re: sale, purchase, exchange,
lease or rental of property by City
Annexation Case Files
P
GC34090a
Reports, agreements, public notices
Appraisals
CL + 2
GC34090;
GC6254(h)
Exempt until final acquisition or contract agreement
obtained
Deeds & Promissory
Notes
P
GC34090a *
* 24 CFR 570.502(b)(3); 24 CFR 8.42 & OMB Circ. SA -
110
Maps, City Boundary
P
GC34090d
Recorded maps, surveys, monuments
Lot Split Cases
P
GC34090
Relocation Files
CL + 2
GC34090
e.g., Redevelopment
C-28
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
CFR 16001-1
Statements, summaries for receipts, disbursements &
reconciliation
Billing Records
AU + 2
GC34090
Customer name, service address, meter reading, usage,
payments, applications/cancellations
Budget
AU + 2
GC 34090
Budget adjustments,
journal entries
AU + 2
GC34090
Account transfers
Checks
AU + 5
GC34090;
CCP 337
Includes payroll, canceled & voided checks
Deposits, Receipts
AU + 4
GC 34090;
CCP 337
Checks, coins, currency
Invoices
AU + 2
GC34090
Copies sent for fees owed, billing, related documents
Journals
Utility Billing
CU + 2
GC34090
Billing including monthly activity
Ledger, General
P
GC34090; *
* CCP 337
Voucher
AU + 4
GC34090;
CCP 337
Account postings with supporting documents
Taxes, Receivable
AU + 3
CCP338
Warrant Register
AU + 2
GC 34090.7
ADMINISTRATIVE
SERVICES
Budget Operating
(copies)
S
GC34090
Departmental Reference
Budget, Proposed
CU + 2
GC34090
Presented to Council
Adopted
P
GC 34090
FIXED ASSETS
Inventory
AU + 4
GC34090; 26
CFR 301 65-
1(F)
Reflects purchase date, cost, account number
Surplus Property
Auction
AU + 2
GC34090
Listing of property
Disposal
AU + 4
GC34090;
CCP 337
Sealed bid sales of equipment
Vehicle Ownership &
Title
L
VC 9900 et
seq.
Title transfers when vehicle sold
LICENSE
Business
T + 4
GC34090;
CCP 337
Paid & reports
C-29
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
FINANCE (CONTINUED
Record Series
Retention
Citation
Descriptor
PAYROLL
Adjustments
AU + 4
GC 34090
29 CFR
516.5 — 516.6
Audit purposes
Employee Time Sheets
AU + 6
GC34090; 29
CFR 516.2*
Signed by employee for audit & FEMA Reports
*20 CFR 516.6(1); IRS Reg. 31.6001-1(e)(z); R&T 19530;
LC 1174(d)
PERS Employee
Deduction Reports
T + 4
GC34090;
CAC 22-
1085-2
Record of deductions
(PERS Public Employee Retirement System) *26CFR
31.6001-1;29 CFR 516.5, 516.6, LC 1174(d)
Register
P
GC34090;
GC37207
Labor costs by employee & program
Salary Records
T + 3
GC34090; 29
CFR 516.2
Deduction authorization, beneficiary designations,
unemployment claims, garnishments
PURCHASING
Bids, RFQ's, RFP's
Successful
Unsuccessful
AU + 4
AU + 5
CU + 2
GC34090;
CCP 337; *
Requests for Qualifications; Requests for Proposals
regarding goods and services * GC 25105-1; GC 34090
Requisitions
Purchase Orders
AU + 4
GC34090;
CCP 337
Original documents
Stores
CU + 2
GC34090
Completed forms for ordering
Vendor Register
P
GC34090
Alpha vendor listing of purchase orders, invoices,
account numbers and check date
REPORTS
Audits
P
GC 34090
Deferred Compensation
T + 5
GC34090; 26
CFR 16001-
1*
Records of employee contributions and city payments
*29 CFR 1627.3(2)
Federal and State Tax
AU + 4
GC34090;
29USC 436
*
Forms 1096, 1099, W -4's and W -Ts
*26 CFR 31.6001.1-4; IRS REG 31.6001-1(e)(2);R&T
19530;29 CFR 516.5-516.6
Financial, Annual
AU + 7
GC 34090.7
Investment
Transactions
P
GC34090;
CCP 337;
GC 53607
Summary of transactions, inventory & earnings report
Labor Distribution
AU + 2
GC34090
Costs by employee & program
Meter Reading
CU + 2
GC34090
State Controller
P
GC34090
Controller may destroy after 5 years
Utility Rebates
CU + 2
GC34090
TREASURER
Bank Statements
AU + 2
FC 3368,
30210; GC
43900 et
seq.
Financing authority
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 Include OPS manuals
CCP 340.5
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 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
Apparatus/Vehicle
CU + 2
GC34090 Repair and Maintenance
CCP 340.5 * *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 Dispatch and daily logs
CCP338 * *CCP 340.5
Field, Non -fire and Logs
CU + 2
GC34090
Fire, Non -arson and
Logs
CU + 2
GC34090
C-32
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Investigations,
Evidence Arson
CL + 3
PC 801; UFC
104.32
Structure
Weed Abatement
CL + 2
GC34090
Reports, assessments, resolutions, documentation
HAZARDOUS
MATERIALS
Hazardous Waste
Disposal
CU + 10
CAL OSHA;
40 CFR
122.21
Documentation re handling and disposal of hazardous
waste
Permits, Hazardous
Materials Storage
CU + 2
GC34090
Departments consistently recommend permanent
retention of environmentally sensitive materials.
Programs, Household
Hazardous Waste
S + 2
GC34090
Training Materials
S + 2
Cal Code *
Standards and Administration
*Reg. 3204(d), et seq.
Underground Storage
Tank
Compliance
Maintenance &
Operation.
P
CU + 2
GC34090a
GC34090
Documents re: storage
Location, installation, removal, remediation
LAW ENFORCEMENT
ADMINISTRATION
Accounting/Cash
Reconciliation
CU + 2
GC34090
Alarm Records
CU + 2
GC34090
Claim Files
CL + 6
PC 832.5
Claim copy, correspondence, photographs, supporting
documents relative to incidents involving the Police
Department filed by citizens
Department Manual
S
Changes to manual are recorded in the General Orders
(permanent)
Equipment
Communication
T + 2
GC34090
Retained until termination of equipment use; Manuals,
instructions, procedures
Inventory
S + 2
GC34090
Listing of equipment assigned to division, to whom it is
assigned
Reports
Activity
CU + 2
GC34090
Weekly/monthly/quarterly/
annual activity/statistical reports by division. Retain
only one form for retention period
Chemical Emissions
CU + 2
GC34090
Survey
Response
Files
CU + 2
GC34090
Surveys, responses, correspondence with other
agencies requesting statistical data
INVESTIGATIONS
Administrative/Internal
CL + 5
PC 832.5
EVC 1045
GC 12946
PC 801.5;
803(c)
VC 2547
Initiated by citizens complaints or internally initiated;
includes complaint, reports, findings
C-33
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Asset Forfeiture
Investigations/
Proceedings
Case File
CL + 2
GC34090
Notifications
CU + 2
GC34090
To legal property owner prior to case filing that property
is subject to asset forfeiture proceedings. If case is
filed, notification becomes part of forfeiture case file.
Case Books,
Investigative
CL + 2
GC34090
Retained by division until a case is suspended/closed;
transfer to Records Division to be filed with associated
Daily Report (DR) file
Case Files
Homicide
Investigator's
File
P
PC 799
Narcotics (No
arrest, Narcotics Cases)
CL + 2
GC34090
Retained by division until no longer useful for
investigative purposes
Officer Involved
Shootings
CL + 25
GC34090
Court
Daily
Schedule
CU + 1
GC34090.7
Printouts of daily court scheduling
Sign -In Logs
CU + 2
GC34090
Logs officers' names, time in/out for court appearances
Tracking
System Records
CU + 2
GC34090
Database records subpoena number, officer name, case
number, defendant name, district attorney name, court
information disposition
Evidence, Disposition
Forms
Attach to duplicate Property Report, file w/DR in
Records Division
Fingerprint
Applicants Files
T + 2
GC34090
Paperwork authorizing fingerprinting and background
checks for city employment applicants and business
license applicants
Inked/Palm
Cards
AC + 20
Persons booked into detention facility; (Copies
distributed to county, state, federal agencies)
Records
Latents
Approp. PC
Section
1) Retain for applicable case statute of limitation; 2) or
until evidence in case is destroyed; Hard copy and
digitized
Suspect,
Adult/Juvenile
CL
Law
Enforcement
Management
Guide by
POST
Adults/juveniles suspected of a crime, taken for
comparison. Destroy after original purpose achieved
Guns, Dealers Record
of Sale
CU + 6
PC 12070
Applicants, Monthly Gun Audits, Applications Denied,
Stolen (DOJ File)
Informant Files
T + 10
Legal notifications, identification information, payment
information, activities information
C-34
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Record Series
Retention
Citation
Descriptor
Jail
Daily Logs
CU + 6
GC34090
Daily report of staffing, bookings/releases, transfers,
transportation
Inmate Record
Dependent on facility's classification; see Laws and
Guidelines for Local Detention Facilities by Board of
Corrections (State of California)
Inspection Files
CL + 6
Inspections by various agencies
Surveys
CL + 2
GC34090
Prepared quarterly, forwarded to State Board of
Corrections
Licenses
Bicycle
CU + 2
GC34090
Bingo, Mace
CU + 2
GC34090
Business
License Review Board
Administrative Files
T + 1
GC34090
Duplicate (Pink),
Secondhand
Dealer,
Pawn Brokers
CU + 2
GC34090
Original to licensee, Blue duplicate to DOJ; Pink
duplicate retained by agency; renewals issued annually
by local agency
Logs
Auto Theft
S
Case
Assignment
CU + 1
Daily
Activity
CU + 2
GC34090
Officer
CU + 2
GC34090
Daily activity of incidents not reported by use of official
report
Report
Summary
CU + 2
GC34090
Report numbers, type, names, dates retained for
research value
Investigative
(Pre -Arrest)
CL + 10
GC34090
Retained by division until cases are suspended and
closed
Juvenile
Detention
CU + 2
GC34090
Logs document juvenile processing per CYA
Property
Control
CU + 2
GC34090
Logs items coming into and going out of property room
Rap Sheet
CL + 2
GC34090
Requests for criminal history
Subpoena
CU + 2
GC34090
Subpoenas received/served daily
Pawn Slips/Tickets
CU + 3
B & P 21628
Photographs
Crime Scene, Registrant/Applicant, Photo file, Accident.
Retain according to practical and functional
association.
Daily Report
(Negatives)
T
GC34090
Assigned DR number, retained as form of evidence,
destroyed at same time evidence for associated case is
destroyed
Inmates
(Negatives)
CU + 20
By Prisoner number
C-35
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Registration Files,
Arson, Sex and
Narcotics
Life of
registrant
within juris-
diction
Fingerprint Card, photo, information also forwarded to
DOJ
Arrest/Conviction H&S
Section 11357 (b), (c),
(d), (e) or H&S Section
11360 (b) violations
(Occurring after
January 1, 1996)
2 (Man-
datory
destruc-
tion from
date of
convic-tion
or date of
arrest with
no convic-
tion)
H&S
11361.5
Applicable to convictions occurring after January 1,
1996 or arrests not followed by a conviction occurring
after January 1, 1996; Exception: H&S 11357(e), the
record shall be retained until a juvenile offender attains
the age of 18 years, then destroyed pursuant to 11361.5
Arrest/Conviction
H&S Section 11357(b),
(c), (d), (e) or H&S
Section 11360 (b)
violations (Occurring
before January 1, 1996)
Man-datory
Destruc-
tion
(Upon
notice from
Depart-
ment of
Justice)
H&S 11361.5
(c)
Applicable to convictions occurring prior to January 1,
1996 or arrests not followed by a conviction occurring
prior to January 1, 1996 for violations of H&S Code
11357, 11364, 11365 and 11550
Crime
Felony Crimes
With
Or Without
Arrests
See
descriptor
PC 800
PC 801
Prosecution for an offense punishable by imprisonment
in state prison for eight years or more must commence
within 6 years after offense commission.
Commencement of prosecution defined in PC 804.
Exception: See PC 803 - Tolling/Extension of time
periods; Appeals process and "Three Strikes" also
considerations in assigning retention.
Misdemeanor/
Infractions
CL + 2
GC34090
No arrests, identifiable property or missing persons
(See: Note 1)
Supplemental
Felony Capital Crimes,
Crimes Punishable by
Death, Life
Imprisonment
P
PC 799
No statutory limitation for prosecution. Includes
Murder, kidnapping for ransom, treason, procuring
execution by perjury, train wrecking, assault with a
deadly weapon by a life -term prisoner, bombing
resulting in death or bodily injury, making defective war
materials that cause death
Destruction
Guns
P
Narcotics
P
Disposition of
Arrest/Court Action
Retention determined by action taken; i.e., recordable
arrest or detention (released no arrest)
False Alarm (Duplicate)
CU + 2
GC34090
Non -Criminal
Occurrences
CU + 2
GC34090
Injured or sick persons; missing persons where person
has been returned; traffic collision reports not used as
the basis for criminal charges
C-36
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Property Original
Until case
is adjudi-
cated/
disposi-tion
deter-
mined
Copy retained in records case file; Refer to Managing
Property in Law Enforcement Agencies (By POST)
Range Inventory
S + 2
GC34090
Quarterly reports of inventories of weapons and
ammunition held by Department Range
Reports
CU + 2
GC34090
Arrest & Citation Register; Arson Offenses; Crimes
Against Senior Citizens; Death in Custody; Domestic
Violence; FBI Include Return A/Supp;
Hate Crime Incidents; Homicide Reports, Supp.;
Officers Killed or Assaulted; Original to FBI - DOJ;
Uniform Crime Reports
Statistical (Crime
Analysis)
CU + 2
GC34090
Internally generated information using activity logs,
citizen calls, current and past crime statistic reports,
finance dept expenditure and budget records; citations,
crime reports, accident reports, permits, receipts.
Reports created for variety of purposes including
increases/decreases in criminal activity; officer
workload, deployment, time usage
Statistical (UCR),
Uniform Crime Reports
Mandatory to DOJ
(LEIC); FBI Include
Return A/Supplement;
Supplementary
Homicide Report; Law
Enforcement Officers
Killed or Assaulted;
Monthly Return of
Arson Offenses Know
to Law Enforcement;
Number of Violent
Crimes Committed
Against Senior Citizens;
Monthly Report of
Domestic violence
Related Calls for
Assistance; Monthly
Arrest and Citation
Register; Monthly Hate
Crimes Incidents; Death
In Custody Reporting.
CU + 2
GC34090
Originals sent to FBI, DOJ
Research Project Files
CL + 2
GC34090
May include request forms, background materials, staff
reports, final project reports and supporting data
C-37
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Sealed
Adult Found
Factually Innocent
Manda-tory
Destruc-
tion Upon
and Pursu-
ant to Court
Order
PC 851.8
General provision: Upon petition, records of agency
must be sealed and destroyed in accordance with the
provisions set by court record; exceptions.
Juvenile
Manda-tory
Destruc-
tion upon
and pursu-
ant to court
order
WIC 826 (a)
& (b)
WIC 781 (a)
Upon petition, local laws enforcement records within
WIC 826(b) may be destroyed as ordered by the court, if
related probation and juvenile court records have been
destroyed by the probation officer. Records involving
arrests, detention and/or petitioning juvenile before
juvenile court
Subpoenas (Duplicate)
CU + 2
GC34090
Tapes
Audio,
Telephone and Radio
Communications
CU + 180
days
GC34090.6
Exception: Recordings used as evidence in a criminal
prosecution or claim filed or litigation or potential
claims and litigation shall be preserved for 100 days
after conclusion of the court action
Surveillance/Se
curity Video (Jail)
CU + 13
mos.
GC34090.6
Use of Force
Supervisory Review
Files
CU + 2
GC34090
Includes review forms, arrest report copies, logs
Warrants
Recall after
10 years.
Excep-tion:
Murder/
Escape
Recommended by the California Law Enforcement
Warrant Officer's Association
Felony
Misdemeanor
Criminal
Recall after
5 years
Recommended by the California Law Enforcement
Warrant Officer's Association
Served
CU
Includes Warrant Service Information Card, alpha index
card
Unserved
(Local)
Until
served,
recalled or
purged
PATROL
Cards
Dispatch
CU + 2
GC34090
Field Interview
CL + 2
GC34090
Citations
11357(e),
Juvenile
CL + 2
11361.5 H&S
11357b H&S,
11357c H&S, 11360b
H&S Violations
CL + 2
11361.5
H&S*
*CA Admin Code, Chapter 1, Title II, Sec. 708
Cite and
Release
CL + 2
GC34090
C-38
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
California
Vehicle Code
Infractions (Duplicates)
CU + 90
days
GC34090
Original is forwarded to court.
Parking/Traffic,
Duplicates
CU + 2
GC34090.7
Originals are forwarded to court after agency
processing; includes citations electronically created
Transmittals
CU + 2
GC34090
Listing of citations forwarded to court, filed for
reference
Equipment
Radio Logs
(Communication)
CU + 2
GC34090
Documents problems, malfunctions, resolution to
provide equipment performance history
General Orders
P
Patrol Requests
(Correspondenc
e)
CU + 2
GC34090
From citizens for patrol presence
Radar Calibration
Records
T + 2
GC34090
Documentation of Radar instruments retained during
use/ownership
Reports
Accident
CL + 2
GC34090
Non -Jury
Traffic Collision
Fatalities
P
Vehicle
Assignment
Reports
S
Record of assignments
Down Reports
CU + 1
Printouts reporting which vehicles are down for repair,
maintenance, etc.
Repossession/P
rivate Impounds
CU + 2
GC34090
Service
Schedules
S
GC34090
Vests, Bulletproof
Letters
CU + 2
GC34090
Authorization to purchase
Warrants
Parking
Recall after
1 year
Recommended by the California Law Enforcement
Warrant Officer's Association
Traffic
Recall after
5 years
Recommended by the California Law Enforcement
Warrant Officer's Association
Weapons, Database
P
Departmentally -owned weapons, personal weapons,
alternate weapons, secondary handguns; produces
inventory reports
SERVICES
Chemicals/Film
Inventories
S
Equipment
Inventory/Sign-
out Cards- Photo
Lab
T
Operations Files
- Photo Lab
T
Retain until equipment no longer owned/used by
department; Manuals, instructions, procedures for
use/operations of photographic equipment
C-39
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Grievance Files
CL + 2
GC34090
Grievance filed by employees, supporting
documentation
Investigations,
Background
CL + 2
GC34090
Non hired
Background
Hired
P
Include original reports re: PC 832.5 investigations
Parades & Special
Events File
CL + 2
GC34090
Reports, memos, correspondence, scripts, supplier
information, assignments, deployments, supporting
documentation
Permits
Alcoholic
Beverage Control
License
L + 2
GC34090
Approval process
Concealed
Weapons
CL + 2
GC34090
Photographs
Personnel
S + 2
GC34090
Negative Log
CU + 2
GC34090
Negatives, Misc.
CU + 2
GC34090
Not case -related (Public relations, promotions, events,
ceremonies, staff photos)
Press Releases
CU + 2
GC34090
Press, Video Programs
(Community Relations)
CU + 2
GC34090
Collection of videos of programs and events; outside
press coverage of department
Property Files
CU + 2
GC34090
Original reports and supplemental documentation (Lost,
Found, Safekeeping)
Property, Pawn
Broker/Secondhand
CU + 2
GC34090
Sales, slips. Dealer required to file duplicate with
agency
Reports
Dealer of Gun
Sales, Duplicate
CU + 6
mos.
GC34090.7
Original maintained by DOJ. Dealer required to file
duplicate with agency
Restraining Orders,
Emergency Protective
Orders, Temporary
Restraining Orders,
Legal Stipulations,
Orders After Hearing
CU
(See
descriptor)
Destroy after law enforcement actions described in PC
273.5, 273.6, 646.9, 12028.5, 13700 and Family Code
Sections 6380-6383 are fulfilled and effective date of
restraining order has expired.
Rosters (Divisional)
S + 2
GC34090
Personnel assigned to division.
Schedules
Daily
CU + 2
GC34090
Schedules of Officers on duty
Watch
Assignment/
Timekeeping
Records
CU + 2
GC34090
Speaker Requests
CU + 2
GC34090
Community and business requests for public
appearances, speakers
Tests, Densitometer
Results (Photo Lab)
T + 2
GC34090
Daily tests of development chemicals/processes for
quality control.
C-40
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC SAFETY (CONTINUED
Record Series
Retention Citation
Descriptor
Training
Bulletins
P
Event Files
CU + 2
GC34090
Correspondence, brochures, promotional materials, info
on speakers, guests, supporting documents
Lesson Plans,
Range
CL + 15
Scope, content, time period of courses
Personnel (by
name)
T + 7
GC34090
Paperwork documenting officers' internal and external
training
Schedules,
Range
CU + 2
GC34090
Daily, weekly, monthly schedules of training events at
range
Volunteer Card Files
T + 2
GC34090
Volunteers' identification, contact information
Note 1: The destruction of felony, misdemeanor and infraction Crime/Supplemental Reports is
permitted providing:
1. They do not relate to an unadjudicated arrest except for H&S 11357 or H&S 11360
violations;
2. They do not relate to unserved warrants;
3. They do not involve identifiable items which have not been recovered;
4. They do not relate to PC 290, PC 457.1, or H&S 11590 registrants;
5. They do not relate to violations listed in PC Sections 799 and 800;
6. The cases are not presently involved in either a civil or criminal litigation.
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
Daily records, usage
Facilities
CU + 2
GC34090
Correspondence, maps, patron list
History, Sanitation
P
GC34090
Where City -owned
Incineration Plants,
Sludge
CU + 2
40 CFR
61.54
Sludge, sampling, charging rate to measure mercury
content
Incinerator Operations,
Treatment Plant
CU + 2
40 CFR
60.153
Gas flow through wet scrubbing, oxygen content of
exhaust gas, sludge rate, temperatures, fuel flow, total
solids and volatile solids
Maintenance and
Operations
CU + 2
GC34090
Includes work orders, inspection, repairs, cleaning,
reports, complaints
Maps, Septic Tank
P
GC34090
Location maps
Rates
CU + 2
GC34090
Recycling Programs
S + 2
GC34090
Regulations
S + 2
GC34090
Includes legislation
Reports
Studies
CL + 2
GC34090
Tonnage
CU + 2
GC34090
C-42
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
PUBLIC WORKS (CONTINUES
Record Series
Retention
Citation
Descriptor
Policies/
Procedures
S + 2
GC34090
Rules and Regulations
Reports/
Studies
CL + 2
GC34090
Grants (see Admin.)
Inventory, Equipment
CU + 2
GC34090
Locations
P
GC34090
Mains, valves, hydrants, wells
Maintenance and
Operations
CU + 2
GC34090
Includes work orders, inspection, repairs, cleaning,
reports, complaints
Service
CU + 2
GC34090
Includes work orders, entry cards, manholes, service
to property owners
Well & Pumping
CU + 2
GC34090
Times operational, power used and quantity
Maps
P
GC34090
Line location; easements
Master Plans
CU + 2
GC34090
Copies
Meter Operations
CU + 2
GC34090
Reader reports, orders, tests Maintenance Reports
Permits
National
Pollutant
Discharge
Elimination
System
NPDES)
P
40 CFR
122.28
Municipalities of 100,000/more, compliance with Clean
Water Act re: pollutants
Others
CU + 2
GC34090
May depend on terms of state or federal agency
Policies and
Procedures
S + 2
GC34090
Includes rules and regulations
Rates
S + 2
GC34090
Reclamation
CU + 5
40 CFR
122.41
Daily operations including sewage flow, grit removal,
chlorine usage, lab analysis results, etc.
Reports
Conservation
CU + 2
GC34090
Consumption
CU + 2
GC34090
Corrosion
Control
CU + 12
40 CFR
141.91
Compliance documentation
Discharge
Monitoring
CU + 5
40 CFR
122.41
Average amount of pollution discharged into waters of
municipality.
Drinking
Water
Corrections
CU + 10
40 CFR
141.33
Hydrograph
P
GC34090
Daily flow of streams
Lead
Service Line
CU + 12
40 CFR
141.91
Compliance documentation
C-45
LOCAL GOVERNMENT — RECORDS MANAGEMENT GUIDELINES ATTACHMENT C
PUBLIC WORKS (CONTINUES
Record Series
Retention
Citation
Descriptor
Public
Education
CU + 12
40 CFR
141.91
Compliance documentation
Quality
Parameters
CU + 12
40 CFR
141.91
Compliance documentation
Sanitary
Surveys
CU + 10
40 CFR
141.33
Statistics, reports, correspondence
Source
Water
CU + 12
40 CFR
141.91
Compliance documentation, e.g. lead & copper
State
Certification
CU + 12
40 CFR
141.91
Compliance documentation
Variances,
Water System
CU + 5
40 CFR
141.33
Well Level
CU + 2
GC34090
Sources
CU + 2
GC34090
May include wells, rivers, lakes, districts
Surveyor Field Notes
P
GC34090
Notes preparatory to maps of water installations
Surveys, Water System
Sanitary
CU + 10
40 CFR
141.33
Statistics, reports, correspondence
Tests
Bacteriological
Analysis
CU + 5
40 CFR
141.33
Compliance records include location, date, method
and results; corrections, analysis of bacterial content
Chemical
Analysis
CU + 10
40 CFR
141.33
Compliance records include location, date, method
used and results; corrections, analysis of chemical
content
Quality
CU + 12
40 CFR
141.91
Compliance documentation including sampling data,
analysis, reports, surveys, documents, evaluation,
schedules, valves, etc.
Valve Main Records
P
GC34090
Violations, Drinking
Water
CU + 3
40 CFR
141.33
Retention applies to each violation
C-46
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
Aircraft Storage
Parking
Slip Rentals
T + 2
GC34090
Payment invoices, inventory listings, billing correspondence
and other related documents
Special Events
CU + 2
GC34090
Permits, correspondence, related documents re use of
rights of way
Fueling
AU + 3
CCP 337
Meter readings, fuel consumption reports, invoices, receipts
and records pertaining to refueling operations
Hazardous Waste
Disposal
CU + 10
CAL
OSHA;
40 CFR
122.21
Documentation re: the handling and disposal of hazardous
waste
Inventory, Equipment
Parts & Supplies
L + 2
Includes vehicles, aircraft, vessels and related documents re
repairs
Inventory, Vehicle
Ownership and Title
L + 2
Owners manual, warranty documents, Department of Motor
Vehicle title and registration, and related documents
Licenses, Permits
CU + 2
Forms, related documentation re: licenses and permits
required by federal and state agencies
Maintenance/
Operations
L + 2
GC34090
Related to requests for service and work orders for fuel,
vehicle and equipment maintenance and repairs
Report, Accident
(Copies)
CU + 2
GC34090
Memos and working documents
Vehicle Assignment
CU + 2
GC34090
Log books, request forms, lists
AIRPORT
Airport Certification
P
14 CFR
139.207b &
171.13-
171.213
Federal Aviation Administration (FAA) required manuals
Airport Noise
Monitoring and
Complaint
CU + 10
Correspondence, studies, memos, reports, log books,
documents related to assessment of noise levels at airports
and resolution of complaints
Inspection, Runway
CU + 10
Maintenance including Inspection reports, work orders and
related records
Inspection, Safety Self
CU + 2
CFR
139.327
Safety inspection and related document include reviews and
analysis of all aspects of airport operation
Maintenance, FAA
P
14 CFR
171.13 -
171.213
Forms and reports required by FAA including Forms FAA -
198, -418, -6030-1, -6790-4
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
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
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ATTACHMENT C
Lodi Police Department
Body Worn Cameras
Policy and Retention Schedule
Policy
425
Lodi Police Department
Lodi PD Policy Manual
Body Worn Cameras
425.1 POLICY
Officers who have been issued a body worn video camera system shall wear it and use it as set
forth in this policy.
425.2 PURPOSE AND SCOPE
The Lodi Police Department recognizes that video recording of contacts between Department
personnel and the public provides an objective record of these events and that the use of a
recording system complements field personnel in the performance of their duties by providing
a video record of enforcement and investigative field contacts which can enhance criminal
prosecutions and limit civil liability. A video recording of an event or contact also enables the
delivery of timely, relevant and appropriate training to maximize safety for LPD personnel and
improve the delivery of police services to the community. While recordings obtained from video
recorders provide an objective record of events, it is understood that video recordings do not
necessarily reflect the experience or state of mind of the individual officer(s) in a given incident.
Moreover, the recordings, especially video, have limitations and may depict events differently than
the events recalled by the involved officer. Specifically, it is understood that the recording device
will capture information that may not have been heard and/or observed by the involved officer and
that the involved officer may see and hear information that may not be captured on video.
425.3 RECORDING
Officers are prohibited from accessing video records other than as specified in this policy and from
utilizing Department issued Body Worn Cameras (BWC) for personal use. Officers shall not use
personally owned video recording devices while on duty. Officers shall make the recordings and/
or recording device available upon supervisor request.
Only officers who have completed approved training will be allowed to operate the BWC. All video
recordings made while working as an employee of the Lodi Police Department in any capacity are
property of the Department and subject to review by the Department and its agents. Recordings
shall not be used for the purpose of ridiculing or embarrassing any employee. Employees shall not
obtain or convert any recordings obtained during the course and scope of their duties for personal
use. The following are specifically prohibited:
• Making personal copies of official recordings;
• Re-recording of videos with secondary personal recording devices such as a video camera, cell
phone or other device to record or capture video and/or audio recordings;
• Posting of video and/or audio to any non -Department sponsored social networking or other web
site;
• Posting of BWC recordings on any Department sponsored site without express permission from
the Chief of Police or his designee (any video posted on a Department sponsored social media
Copyright Lexipol, LLC 2018/03/20, All Rights Reserved.
Published with permission by Lodi Police Department
Body Worn Cameras - 1
Lodi Police Department
Lodi PD Policy Manual
Body Worn Cameras
or other web, or otherwise released to the public, may waive the City's ability to subsequently
exempt such information from public disclosure; and
• Sharing or distributing any video and/or audio with any persons or entities, including
other Department or City employess.
BWC shall not be used to record non -work related personal activity. BWC will not be activated
in places where a reasonable expectation of privacy exists, such as workplace locker rooms,
dressing rooms, or restrooms unless as otherwise specified in this policy. No type of recording
device may be intentionally activated to record the conversations of fellow employees or superiors
without their knowledge.
Officers should not record undercover officers or confidential informants, absent supervisor
approval under limited circumstances. When possible, officers should avoid recording exposed
private areas of the body.
425.4 ACTIVATION OF THE RECORDER
Officers shall position their BWC to facilitate optimum recording field of view. Officers shall activate
their BWC as soon as practical upon encountering the below types of events. However, at no time
should an officer jeopardize his/her safety, or the safety of any other officer, to activate a BWC.
Guidelines for activation of BWC — Officers are expected to record the following types of
interactions including, but not limited to:
(a) Arrests and detentions, or situations where an officer reasonably believes they may affect an
arrest or detention (to include traffic stops and consensual encounters made with the intent to
develop reasonable suspicion to detain);
(b) Officers assisting in an arrest or detention situation;
(c) Confrontational interactions with citizens;
(d) Vehicle and foot pursuits;
(e) Forced entries, search warrants and warrantless searches (including vehicles);
1. When entry is made with or without a warrant, all officers should activate their BWC prior
to making entry and continue recording until the scene has been secured. Once the location is
secure, and no other circumstances warrant recording, officers may deactivate their BWC.
(f) Suspect interrogations (including Miranda advisement) and witness interviews;
(g) Interviews of victims and witnesses.
(h) K9 deployments, (e.g. cover officers, perimeter officers, etc.); and
(i) During prisoner transport and booking.
Video recording of individuals who are picketing, engaged in peaceful protest or First Amendment
protected speech will be avoided unless the officer believes a violation of criminal law is occurring,
may occur, or if the officer interacts with a participant or third party to the event. If an officer believes
Copyright Lexipol, LLC 2018/03/20, All Rights Reserved.
Published with permission by Lodi Police Department
Body Worn Cameras - 2
Lodi Police Department
Lodi PD Policy Manual
Body Worn Cameras
that it is necessary to activate the BWC in this situation, they shall continue recording uninterrupted
until the officer leaves the event and is no longer in contact with any of the participants.
Officers shall activate their BWC as soon as practical upon encountering the above types of
events.When an officer is unable to activate their camera at the beginning of the event or
contact, they shall report the circumstances to a supervisor as soon as practical, and document
the reason the BWC was not used in their police report.The documentation shall also explain the
reason the BWC was activated at the time it was.
Additional considerations for recordings
At no time should an officer jeopardize his/her safety, or the safety of any other officer, in order
to activate a BWC.
Officers have no obligation to advise a citizen he or she is being recorded and may exercise
discretion in deciding whether or not to voluntarily make such disclosure.However, officers shall
disclose the fact that they are recording if the person being recorded directly asks. Generally,
officers should not cease recording solely based on the request or demand of a citizen.
Informal Community Interactions (Public Encounters) — Informal community interactions differ
from "consensual encounters" officers may make in an effort to develop reasonable suspicion
to detain or probable cause for arrest. To strengthen relationships between police and citizens,
officers may use discretion regarding the recording of informal, non -enforcement related
interactions with members of the community. In the event a public encounter becomes adversarial,
officers should activate their BWC as soon as practical to do so without compromising their safety
or the safety of others.
Victims and Witnesses of Crime — Officers should generally record interviews of crime victims
and witnesses. Officers have no obligation to advise a victim or witness that he or she is being
recorded.However, officers shall disclose the fact they they are recording if the person being
recorded directly asks.When a victim or witness requests they not be recorded, officers may
consider their request (See section 425.5 for provisions of Penal Code 632).
In cases where a victim or witness requests they not be recorded, and the officer agrees not to
record, officers should record their request prior to turning the BWC off. When an officer is already
recording, he/she shall record their explanation for turning the BWC off prior to doing so.
• Witnesses - In the event a crime witness or a member of the community wishes to report or
discuss criminal activity anonymously, officers have the discretion to not record.
• Victims - Officers should record interviews of crime victims, unless otherwise requested by the
victim. Upon request by the victim, officers have the discretion to not record the interview. Officers
may offer to avert their BWC to capture only audio during the interview, when doing so would
facilitate obtaining the victim's recorded statement.
Domestic Violence Victims — Officers should record interviews of domestic violence
victims to facilitate future prosecution efforts and discourage later recanting of
Copyright Lexipol, LLC 2018/03/20, All Rights Reserved.
Published with permission by Lodi Police Department
Body Worn Cameras - 3
Lodi Police Department
Lodi PD Policy Manual
Body Worn Cameras
statements. Officers should also record interviews with children who witness domestic
violence, when the child is willing.
Child Abuse and Sexual Assault Victims— Officers should not video record interviews
of victims, witnesses, or parents of child abuse or sexual assault during field
investigations. Unless the victim or the parent of a child victim objects, an audio only
recording should be made of the initial interview.
Hospital or Medical Facilities - Officers shall be aware of patients' rights to privacy when in hospital
and medical settings. However, the BWC should be activated if a situation arises which requires
police action, but the officer should consider medical privacy and other sensitive information in
determining the duration and scope of the recording.
Private Residences - Private Citizens have a reasonable expectation of privacy and guarantee
against unreasonable searches and seizures of their persons, houses, papers, and effects as
provided in the United States and California constitutions. However, officers may record video of
these places and things during the course of their law enforcement duties when they are lawfully
present in a location by consent, warrant, exigent circumstances, or other recognized warrant
exception. Officers may also record anything that is within plain view of any location from which
the officer is lawfully present.
Privileged Communications - Officers shall be aware of privileged communications that are subject
to California Evidence Code section 900 et seq, and shall avoid recording such communications
unless such privilege is explicitly waived or officers are concerned that a crime is occurring or may
occur. Privileged communications include the attorney-client, physician -patient, psychotherapist -
patient, and clergy -penitent privileges.
425.5 KNOWLEDGE OF RECORDING
PC §632 prohibits intentionally recording or listening, by means of an electric device, to the
confidential communication of a party without the consent of all parties to the communication.
Confidential communications include any communications carried on in circumstances as may
reasonably indicate that any party to the communication desires it to be confined to the parties
thereto. PC §632 excludes communications made in a public gathering or in any legislative,
judicial, executive or administrative proceeding open to the public, or in any other circumstance
in which the parties to the communication may reasonably expect that the communication
may be overheard or recorded. PC §633 also generally exempts law enforcement from this
prohibition during the course of a criminal investigation. Any sworn officer may surreptitiously
record conversations during the normal course of duty for a criminal investigation in which the
sworn officer reasonably believes that such a recording will be beneficial to the investigation.
(a) Any sworn officer contacting an individual suspected of violating any law or during the course
of any official law enforcement related activity shall be presumed to be engaged in a criminal
investigation. This presumption shall not apply to contacts with other sworn officers conducted
solely for administrative purposes.
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(b) Any individual contacted by a sworn officer wearing a plainly visible mounted recording device
(BWC) will be deemed to have knowledge that such a contact is being recorded.
425.6 REVIEW AND RELEASE OF RECORDINGS
BWC recordings will be administratively reviewed randomly and may be used during investigations
related to use of force, officer involved shootings, complaints, Pitchess motions, and pursuits.
The release of video captured by the BWC to any third party will be processed in a manner
consistent with applicable law, current discovery request practices, and the provisions of LPD
Policy §805. When criminal charges are being sought in a case, all related recordings will be
provided to the District Attorney's office upon request.
The system coordinator will conduct periodic, random audits to ensure the BWCsystem is
operating properly and the BWC is being utilized in accordance with this policy.
425.7 BODY CAMERA OPERATING PROCEDURES
Officers who have been issued a BWC shall wear it at all times the officer may become involved in
an enforcement situation. Officers shall position the BWC to facilitate an optimum recording field of
view. BWC may only be worn in center of upper chest area with Department authorized mounting
systems.Officers working plain clothes or special assignments shall, when it is not practical or
safe to comply with mandatory wearing requirements, have the discretion to determine the proper
wear and placement of the BWC so as to facilitate an optimum recording field of view.
The AXON body camera (BWC) has two operating modes:
A.NORMAL (BUFFERING) - When the BWC is switched to the ON position, the AXON system
will be in the buffering mode. When buffering begins:
1. The operation LED on the controller will blink green.
2. The BWC will be passively capturing video without audio. Buffered recordings will not be stored
to permanent memory until the event mode is activated.
B. EVENT - To record an incident to permanent memory and capture audio, officers will need to
activate the event mode by double -pressing the event button.
1. Upon activating the event mode, the BWC will automatically store the 30 seconds of "buffered"
video that directly precedes activation of event mode. (The buffered video will not contain audio.)
2. The BWC will then record both audio and video.
3. The BWC will indicate that it is recording in event mode by beeping twice upon activation and
every 2 minutes thereafter and the operation LED on top of the controller will blink red.
The BWC shall be in the ON position and in buffering mode while officers are on duty. Officers
may turn the BWC system to the OFF position in the following circumstances
1.When out of service at his/her personal residence during an authorized break.
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2.While out of service at police headquarters.
Only officers who have completed approved training will be allowed to carry and operate a BWC.
Officers will inspect the BWC for any physical damage and to ensure the device is in working
order at the beginning of their shift. Any malfunctions, missing equipment or damage shall be
immediately reported to their supervisor and via email to (axoncamera@lodi.gov) before the end
of shift.
In order to preserve the evidentiary record, as a standard practice, officers should record events
from beginning to end without interrupting or pausing the audio or video. However, officers may
temporarily suspend the audio recording of the BWC in limited circumstances when necessary
to protect the privacy of other officers, employees, or members of the public. Officers shall
exercise discretion and sound judgment in deciding when to suspend audio recording. Examples
of situations that may justify the suspension of audio recording include, but are not limited to
the following: conversations with other officers or supervisors relating to tactical decisions and
strategies, disciplinary matters, instruction and training, personnel matters, interpretations of law,
and privileged communications with legal counsel or clergy; and other instances when necessary
to protect the privacy rights of members of the public, such as recording in medical facilities or
places of employment, confidential informants, situations involving protected speech, or when
located in close proximity to private conversations between others. Officers shall resume audio
recording as soon as the need for privacy has ended or as soon as safe and practical.
An officer may turn the BWC off and stop recording in audio and video only in limited circumstance
when he/she has left the scene of the recorded event, there is no reasonable expectation that a
recordable event will occur while the BWC is turned off, and other officers are present to record any
suspects, witnesses, or citizens at the scene of the incident. The intention to stop the recording will
be noted by the officer verbally before switching the device off. When the need to stop recording
has ended, the BWC recording is expected to resume.
In general, once the BWC is activated, officers should continue recording in full audio and video
until the incident has concluded and the officer has ended his or her contact with the subject(s) of
the recording and returned to his or her vehicle, or delivered the subject(s) to a detention facility.
Continuous recording from the initial activation of the BWC until physical separation from the
subject protects the officer from allegations that the officer engaged in misconduct during the lapse
in recording.
425.8 DOCUMENTATION OF RECORDINGS
Recordings from BWC uploaded to Evidence.com will be individually identified by ID, Category,
and Title. This identifying information may be entered utilizing a Department issued PCD or
desktop computer (AXON Mobile Application) that allows officers to view, but not alter, video
recordings captured by the BWC. Officers should tag recorded incidents with identifying
information upon conclusion of the recorded incident or as soon as practical.
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ID Description Box
The event number, or case number when issued, shall be used to identify the recording by
placing this information in the ID description box. The identifying event or case number must be
entered using the following format:Event — E16-1234,Case — 16-1234 (case number, no zeros,
with dash), Citation - Use Citation number.
Category
In addition to attaching an event or case number to recordings, officers must assign a video
Category to facilitate proper retention of the video. All recordings will be retained according to
the following retention schedule which is incorporated into the City of Lodi Records Management
Program and Policy:
CATEGORY
RETENTION DURATION
01-ALAF/Area Check GOA
1 week
02-Training/Accidental
1 week
03 -Citizen Contact
53 weeks
04 -Suspicious Contact, Detention
53 weeks
05 -Traffic Stop
53 weeks
06 -DUI
53 weeks
07 -Misdemeanor Arrests
53 weeks
08 -Investigations or Evidence Collection
157 weeks
09 -Pursuits
157 weeks
10 -Felony Arrests and Domestic Violence
261 weeks
11 -Use of Force Incident
261 weeks
12- Critical Review (OIS - custody death)
Until manually deleted
13- Pending Review
Until manually deleted
Uncategorized
Until manually deleted
Title Description Box
Officers should provide a Title to facilitate simplified searching of files [i.e. — by location (First and
Elm) or by subject (arrest of suspect John Doe), etc.].
Documentation
Officers shall document in the CAD notes or in the police report or on the back of a citation
to indicate a recording related to the incident was uploaded to Evidence.com. Officers should
also document in the disposition section of their written reports that a recording was made.
BWC recordings will not be used in lieu of Crime Scene Investigation photographic or video -
graphic documentation.
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425.9 REVIEW AND USE OF RECORDINGS
Officers should review recordings to assist with their investigation, prior to the completion of their
report. Recorded statements shall be summarized and documented within the narrative of the
applicable report. Only official Department devices should be used to review BWC recordings.
Once uploaded to Evidence.com, sworn personnel may view their own recordings by logging onto
Evidence.com. Personnel that view videos outside of assigned working hours must document the
reason for access in the "NOTES" section prior to viewing any data. Access to videos uploaded
to Evidence.com is controlled by the system administrator. An audit trail of individuals accessing,
viewing or downloading videos via Evidence.com will be automatically generated by the system
and is accessible by logging into Evidence.com.
Critical Incidents
The Lodi Police Department acknowledges that BWC recordings taken during critical incidents do
not necessarily reflect the full extent of the nature of the event or the experience, analysis, training,
threat assessment, or state of mind of the individual officers(s) in a given incident. Moreover, the
recordings, especially video, have limitations and may depict events differently than the events
recalled by the involved officer. Specifically, it is understood that the BWC will capture information
that may not have been heard and/or observed by the involved officer and that officers may
see and hear events that are not captured by the BWC. Officers involved in critical incidents
should notify the responding supervisor of any related recordings. In the event a critical incident
is recorded and immediate retrieval of a recording is required, a supervisor shall secure the
BWC as soon as possible and maintain chain of custody. The detectives investigating the case
shall coordinate the download or electronic transfer, minimizing those involved with the chain
of custody. Officers, either as a subject or witness, who are involved in any significant use of
force incident or collision causing injuries will be permitted to review their BWC recordings prior
to providing a statement or written report. In such cases where the involved officer(s) will view a
video recording of the incident, they shall be provided the following advisement:
"In this case, there is video evidence that you will have an opportunity to view before you have
given your initial statement. Video evidence has limitations and may depict the events differently
than you recall, and may not depict all of the events as seen or heard by you. Video has a limited
field of view and may not capture events normally seen by the human eye. The "frame rate" of video
may limit the camera's ability to capture movements normally seen by the human eye. Lighting
as seen on the video may be different than what is seen by the human eye. Videos are a two
dimensional medium and may not capture depth, distance or positional orientation as well as the
human eye. "The video is intended to assist your memory and ensure that your initial statement
explains your state of mind at the time of the incident."
Circumstances for Administrative Review
BWC recordings will be administratively reviewed randomly and may be used during investigations
related to use of force, officer involved shootings, complaints, and pursuits. When BWC recordings
are administratively reviewed, use of profanity by officers will be considered within the overall
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context of the incident, as well as accepted training and practices. However, officers remain
prohibited from engaging in discourteous, disrespectful or discriminatory treatment of the public
per LPD Standards of Conduct Policy 324.
Use in Training
Any video used for official training purposes requires approval by the Chief or designee. In no
event will BWC recordings be used for training, or be otherwise used or shown, if it would result in
ridicule or embarrassment of an officer(s), except when required as part of a formal investigation or
legal proceeding. In the event that BWC recordings are intended to be used for training purposes,
the involved officer(s) will first be consulted. If he/she objects to the use of the recording, such
objection shall be submitted to the Investigations Lieutenant. The Investigations Lieutenant shall
weigh the value of the video for training against the officer(s) objections and basis for the objection.
When the Investigations Lieutenant refuses to grant the request of the involved officer(s), the
matter shall be heard by the Chief of Police or designee, prior to utilizing the recording.
Field Debriefings
Supervisors intending to use a BWC recording as part of an informal debriefing or critique session
shall first consult with the recorded officer(s). When the officer(s) objects to use of the BWC
recording under these circumstances, it will not be used or shown.
425.10 REQUEST FOR DELETION OF ACCIDENTAL BODY CAMERA RECORDINGS
In the event of an accidental or sensitive personal recording using the BWC, where the resulting
recording is of no investigative or evidentiary value, the recording employee may request that
the file be deleted by submitting an email request to the Department's system coordinator
at axoncamera@lodi.gov. The system coordinator will send authorized deletion requests to the
system administrator. The administrator will review the file and recommend approval or denial of
the request. In cases where the administrator denies the request to delete, an appeal may be
submitted to the Chief of Police, or designee, for deletion authorization. In all cases of deletion
requests, a determination should be made within 7 calendar days.
425.11 UPLOADING TO EVIDENCE.COM
At the end of their shift, officers shall place the BWC and AXON Flex Controller into the designated
docking station (Evidence Transfer Manager) for simultaneously charging and uploading of
recordings. Officers should not remove the BWC and related equipment from the (ETM) docking
station until the video files are completely uploaded and battery fully charged.
Crime scene or evidentiary photos or recordings taken with a Department issued cell phone or
other recording device will be uploaded to Evidence. com.A brief description of the evidence shall
be included in the "Title" section of the Axon capture app to facilitate ease of locating the items
by LPD and the District Attorney's office. A notation of "Photos uploaded to Evidence.com" will be
included at the end of the investigation report.
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Printed photos, photos on a CD or FET photos will be booked as evidence following Department
booking procedures.
425.12 SYSTEM COORDINATOR AND ADMINISTRATOR
The system administrator will be the Office of Professional Standards Sergeant. The system
administrator will have oversight responsibilities including, but not limited to, the following:
• Ensure recordings of evidentiary value are secure and retained according to the Department's
retention schedule;
• Ensure all other files are maintained in accordance with the Department's retention schedule;
• Operation and user administration of the BWC system and Evidence.com;
• System evaluation;
• Ongoing review of related Department policies and procedures;
• Assessment and recommendations for modification of Department policies, procedures, and
practices associated with video recording;
• Training; and
• Coordination with IT regarding system related issues.
On an annual basis, or sooner if needed, the system administrator and coordinator will meet with
POA leadership, and the Chief of Police or designee, to evaluate the effectiveness of Department
recording procedures and equipment.
425.13 RELEASE OF OFFICIAL VIDEO TO THIRD PARTIES
The release of video captured by the BWC to any third party will be processed in a manner
consistent with applicable law, current discovery request practices and the provisions of
LPD Policy§ 805 (Records Maintenance and Release).When criminal charges are being sought
in a case, all related recordings will be provided to the District Attorney's and City Attorney's office
upon request.
Non -Departmental Requests:
All non -departmental requests for a BWC file shall be accepted and processed in accordance with
federal, state, and local statutes and Departmental policy (court cases, subpoenas, public records
act, etc.) as set forth in the Records Maintenance and Release Policy (LPD Policy 805).
Media inquiries and/or requests shall be received by the Office of Professional Standards and
processed in accordance with current release policies. Requests for release of BWC files from the
media will not be considered until the completion of the criminal investigation and after consultation
with the City Attorney's office. In officer involved critical incident protocol investigations the BWC
file will not be released until a determination by the District Attorney's Office has been made and
after consultation with the City Attorney's office. The Office of Professional Standards or designee
will notify the media outlet making the request of the status of their request within 10 days and
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provide an expected release date if the BWC file is not available/releasable at the time of the
request.
The Office of Professional Standards will insure that any restricted information contained in the
BWC file is redacted prior to release. Any changes or redaction made to the original file will be
saved and information of what was actually released and the reasons for redaction will be made
to the copied file and saved in AXON storage system.
When practical, personnel will be advised, prior to any release of video under the California Public
Records Act and guidelines consistent with Department policy.
Copies of BWC files will be marked as such and identified with the date of release, the purpose of
the release, who the file was sent to, the releasing officer information, and the agency/organization
the file was released to. The copied file will also be saved within the AXON video storage system
and identified as a copy of the original.
The Chief of Police has the authority to authorize the release of any video to third parties prior
to the completion of a criminal investigation in certain circumstances. These include, but are not
limited to, public assistance in identifying suspects or persons of interest or to prevent or minimize
public unrest due to police activity.
425.14 AUDIT RESPONSIBILITIES
The system coordinator will conduct periodic, random audits to ensure the BWC system is
operating properly (turning it on, muting, etc.) and the BWC is being utilized in accordance with
this policy. Minor infractions regarding the use of BWC and related equipment should be viewed
as training opportunities rather than a means to take disciplinary action.
425.15 RECORDING PREPARATION
When an interview is to be recorded and time and opportunity permit, the recording officer shall:
• Test the BWCrecording device/equipment to ensure it is functioning and ready to record prior
to commencing the interview or recording;
• Make a statement at the beginning of the recording to identify:
• The date and time interview or recording;
• The location of the interview or recording;
• The identities of all parties involved in or present at the interview or recording; and
• Any other pertinent identifying information, such as phone numbers called during
recorded phone conversations; informant numbers when name identities cannot be
used, etc.
• Describe the time of and reason for any temporary stoppage of the recording and include the
fact all parties had knowledge of the stoppage; and
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• Record the date and time the BWC recording was ended at the conclusion of each interview.
When circumstances do not permit compliance with the above guidelines (i.e., spontaneous
recordings) as much of the information as possible should be included at the end of the recording
to identify the conversation.Whenever possible, officers should ensure the BWC recorded properly
before the interviewed person is excused.
425.16 DETECTIVE RESPONSIBILITIES
Detectives will be provided an Evidence.com account so that they may access recordings related
to their specific investigations. Detective responsibilities include, but are not limited to the following:
• When criminal charges are being filed in a case and related BWC recording(s) exist, the follow
up detective should review the recording(s) prior to providing them to the District Attorney's office.
All BWC recordings related to a case must be submitted to the DA's office for filing,
regardless of apparent relevance upon request.
• When a detective determines the BWC recording may have evidentiary value to either the
prosecution or defense in a specific case, he/she shall ensure the recording is properly classified
for retention in compliance with this procedure.
• The detective will ensure that the District Attorney's officeis provided access to the applicable
BWC recordings through Evidence.com.
• When the criminal matter has resolved and the BWC recording is of no prosecutorial evidentiary
value, it shall be retained pursuant to the Department's video retention schedule as set forth herein.
• When reviewing videos, make an entry in the Evidence.com NOTES section documenting the
reason for his/her review.
425.17 TERMINOLOGY
• AXON Flex Controller - Enables control of the AXON camera (BWC) through simple commands
to place the camera in the various operational modes;
• AXON Mobile Application —A mobile application installed on Department issued tablets that allow
officers to view, but not alter, video recordings captured by the AXON camera. The application
also allows officers to attach meta -data such as a video title, incident case number, and a video
retention category to the video file;
• Evidence.com - An on-line web -based media storage facility which stores digitally encrypted
video recordings. Accessible to authorized personnel, based upon their security clearance, also
maintains an audit trail of user activity;
• Evidence Transfer Manager (ETM) - A docking station which simultaneously recharges the
AXON Controller and uploads all data captured on the AXON camera (BWC) to Evidence.com;
• Normal (Buffering) Mode - The mode of operation in which the AXON camera (BWC) continuously
loops video without an audio component for 30 seconds;
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• Event Mode - The mode of operation in which the AXON camera (BWC) captures the buffered
video and is actively recording both audio and video. When the AXON is switched to event mode,
it will automatically record the previous 30 seconds of video (without audio);
• AXON System Administrator (Office of Professional Standards Sergeant) — Oversees and
manages administrative issues related to AXON camera (BWC) systems;
• AXON System Coordinator (Investigations Lieutenant) — Responsible for BWC and ETM
equipment, video storage, and training related to Evidence.com accounts and AXON cameras
BWC).
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ATTACHMENT D
City of Lodi Departmental
Retention Schedules
Fire Department (FD)
FD -001
Also Called:
Function:
Crime Reports
Arson Reports
Documents the Fire Department investigations of crimes, solved and
unsolved, that occurred within the Department's jurisdiction.
Content: May include, but is not limited to: evidence, recordings of interviews, case
files, fingerprint cards or live scan records, photographs, forensic scene
records, arrest logs, arrest files, booking sheet, and audio of radio or
telephone calls.
Total Retention: Arson & Capital Crimes — Permanent;
All other criminal investigations by the Department —10 years
Disposition: Destroy securely
Statutory Reference: PC §187, 800 et seq.
Note:
Approval Date: April 17, 2019
FD -002 Department Databases
Also Called:
Function: Databases used by the Department and how long content is retained.
Content: Databases may include, but are not limited to: Fire Incident Reports,
RMS Database, TeleStaff.
Total Retention: Permanent
Disposition: Held by Department
Statutory Reference: CA GC §34090, CFC 104.6
Note:
Approval Date: April 17, 2019
FD -003 ISO Insurance Ratings
Also Called: Insurance Service Office (ISO)
Function: Documents statistical information on risk and provides a rating that
insurance companies use to calculate rates. Information is gathered on a
community's fire -suppression system including fire alarms, engine
companies, and water supply.
Content: May include, but is not limited to insurance rating reports, backup
documentation, and certification document.
Total Retention: Until superseded
Disposition: Destroy
Statutory Reference: CA GC §34090(d)
Note:
Approval Date: April 17, 2019
FD -004 Patient Care Records
Also Called: PCRs
Function: HIPAA protected documents pertaining to medical care and treatment
provided by the Fire Department.
Content: May include, but is not limited to: patient information, records, signature
form, face -sheets, etc.
Total Retention: Permanent
Disposition: Any patient specific hardcopies of patient care documentation are attached
electronically (scanned) to the EPCR provider contracted by the City of Lodi
Fire Department. Hardcopy is then destroyed securely.
Statutory Reference: As recommended by San Joaquin County EMS Agency
Note:
Approval Date: April 17, 2019
FD -005 Strike Team Reimbursements
Also Called:
Function: Documents the reimbursements received by the Fire Department for a strike
team deployment.
Content: May include, but is not limited to: payments from Office of Emergency
Services (OES), Federal Emergency Management Agency (FEMA), and other
mutual aid reimbursements.
Total Retention: Payment + 5 years
Disposition: Destroy securely
Statutory Reference: CA GC §34090(d)
Note:
Approval Date: April 17, 2019
ATTACHMENT E
Appendix
RMP Manual Appendix
REFERENCE TABLE OF AMENDMENTS
DATE
DESCRIPTION
ACTION
3/7/07
Adopted original RMP Manual
Res. 2007-37
4/17/19
Adopted Revised RMP Manual
Res. 2019-
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed,
Department:
Administration
Date:
February 6, 2019
Total No. of Pages:
None
Proposed Destruction
Date: TBD
Division:
City Manager
Prepared By:
Linda Tremble
Signature:� ''
WwC,
�
Record Series Title
(Same as Rete. ion Sc, 'dule)
Dates of Records
(From and To)
Storage Location
Box No.
Department Head
City Clerk:
Consent is hereb given to destroy the above -listed records:
itrze'
wow.
*City Attorney 3 >
Destruction Completed By:
Date: ;.•.t
Date: ,0.4.1n
c_�1n
Date: 0(3///.2,Q
i4
Printed Name Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Administration
Date: Total No. of Pages:
February 6, 2019 None
Proposed Destruction
Date: TBD
Division:
City Attorney
Prepared By:Signature: `
Linda Tremble
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location
Box No.
Department H$adr, Date: 6
City Clerk:
-Ty\ -re,tA(Lchoo
Consent is hereby given fo destroy the above -listed records:
ti -
*City Attorr)ey:
Destruction Completed By:
►/
Date:_,,R / 4115
Date:0,j-
Printed Name Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules, In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
City Attorney
Date:
March 5, 2019
Prepared By:
Bev Jensen
Total No.
of Pages: 1
Sign.
Proposed Destruction
Date: TBD
Division:
Risk
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Loca ion
_
Box No.
Claims, Damage — Paid/Denial
per GC 34090, GC 25105.5 not
to include pollution claims or
claims involving minors
2007-2011
City Attorney Office
Risk 1-3
Department Head
City Clerk:
Date: (]3/t/1
A (1.4 Date: 407
Consent is hereby given o destroy the above -listed records:
*City Attor ey: (�
Destruction Completed By:
Date:
Printed Name Signature
Attachment A — Form 4 (Authority to Destroy Records)
Date
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the City's Records
Management Program Policy and Procedures and with applicable federal and state laws as set
forth in the City of Lodi Retention Schedules. In accordance with the City's Records Management
Program, with the consent of the Department Head, and upon written approval of the City Clerk
and City Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives. Documents
involved in litigation or pending audit will not be destroyed.
Department:
City Clerk
Date:
aila'il5f
Total No. of Pages:
Unknown
Proposed Destruction
Date: 5/17/2019
Division: Elections and Operations
Prepared By: Jennifer Ferraiolo
nature:
rS:Juni i
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage ation
Box No.
OPERA TIONS:
City Clerk/City Council Calendars
(GC 34090 et seq. — 2 years)
2016 and prior
All records listed are
currently stored in the
City Clerk's
Office and/or vaults.
Not Applicable
City Clerk/City Council Travel
(GC 34090 et seq. — 2 years)
2016 and prior
City Clerk/City Council
Departmental Budget Copies
(GC 34090 et seq. — 2 years)
2016 and prior
City Clerk/City Council General
Correspondence
(GC 34090 et seq. — 2 years)
2016 and prior
City Council Regular / Special
Meeting Packets
(Available in e -Records) (GC 34090 et
seg. — 2 years)
2016 and prior
Shirtsleeve Session Meeting
Packets
(Available in e -Records) (GC 34090 et
seq. — 2 years)
2016 and prior
Regular/Special/Shirtsleeve
Session Meeting Recording
AudioNideo
34090.7 — Current + 3 months)
_
2017 and prior
_(GC
Hardcopy Closed Session
Minutes
(GC 34090, 34090.5 — 2 years) (Closed
Session Minutes Kept Permanently Electronically)
2016 and prior
_
Board, Committee, Commission
Applications and Correspondence
— Selected
(GC 34090, 40801— 5 years)
2013 and prior
Board, Committee, Commission
Applications and Correspondence
— Not Selected
(GC 34090 — 2 years)
2016 and prior
Legal Advertising/Proof of
Publications
(CCP 343, 349 et seq., GC 911.2, 34090
— 4 years)
2014 and prior
Attachment A — Form 4 (Authority to Destroy Records)
"signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
N:\Administration\CLERK\Records Destruction\2019AUTHORITY TO DESTROY OBSOLETE RECORDS.doc
City of Lodi
Petitions to Legislative Body
(GC 6253, 50115 — 1 year)
2017 and prior
Public Hearing Notices
(GC 34090 — 2 years)
2016 and prior
Public Records Act Requests
(GC 34090— 2 years)
2016 and prior
Protests from City Council Public
Hearings — Water / Wastewater /
Electric Utility Rates
(GC 34090 — 2 years)
2016 and prior
Protests from City Council Public
Hearings — All Other
(GC 34090 — 2 years)
2016 and prior
Taxicab/Pedicab Permits (Autos
for Hire) (GC 34090 — Termination + 4
years)
2014 and prior
Weed Abatement Files
(GC 34090 — 2 years)
2016 and prior
ELECTIONS:
Election Calendars
JGC 34090 — Election + 2 years)
2016 and prior
Certificates of Election
(GC 34090 — Election + 2 years)
2016 and prior
Nomination Papers — Elected and
Non -Elected
(EC 17100 — Term + 4 years)
2012 and prior
Notices and Publications
JGC 34090 — Election + 2 years)
2013 and prior
Oaths of Office
(GC 34090, 29 USC 1113 — Term + 6
years)
2010 and prior
Petitions — Initiatives, Recalls,
Referendums
(EC 14700, 17200, 17400, GC 7253.5,
3756.8 — Election + 8 months)
2017 and prior
Candidate Statements
(GC 34090 — Election + 2 years)
2015 and prior
FPPC:
Form 460 - Campaign Disclosure
Statements, Non -Elected
(GC 81009 — Current + 7 years, Elected -
Permanent)
2011 and prior
Form 460 — Campaign Disclosure
Statements, Committees
(GC 81009 — Current + 7 years)
2011 and prior
Form 700 - Statements of
Economic Interest —
Administration/Employees
(FPPC Opinions — Current + 7 years)
2011 and prior
Form 700 - Statements of
Economic Interest — Elected
(GC 81009 — Current + 7 years)
2011 and prior
_
Form 700 - Statements of
Economic Interest — Non -Elected
(GC 81009 — Current + 7 years)
2011 and prior
Form 801 — Gifts to Agency
(GC 81009 — Current + 7 years)
2011 and prior
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
N:\Administration\CLERK\Records Destruction\2019AUTHORITY TO DESTROY OBSOLETE RECORDS.doc
City of Lodi
Form 802 — Ticket Distribution
(GC 81009 — Current + 7 years)
2011 and prior
Form 803 — Behested Payment
JGC 81009 — Current + 7years)
2011 and prior
Form 806 — Appointments
(GC 81009 — Current + 7 years)
2011 and prior
All Forms Not Specified Above -
Elected and Non -Elected
JGC 81009 — Current + 7 years)
2011 and prior
Department Hea
City Clerk:
Consent is hereby • n to destr"
*City Attorney:./11M
Destruction dd plet=d By:
the above -listed records:
Date:
Date: 3
Date:
Printed Name
Signature
Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
N:\Administration\CLERK\Records Destruction\2019AUTHORITY TO DESTROY OBSOLETE RECORDS.doc
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Public Works
Date:
Total No. of P..6s:
3 I
Proposed Destruction
Date: TBD
Division:
Administration/Engineering
Prepared By:.z;�!1•
Tiffani Butorovich
Dates of Records
(From and To)
2016 and prior
Storage
City
Aft
Lo..ati•
Ha'
Box No.
Record Series Title
(Same as Retention Schedule)
2013-2015 Sidewalk Repair Program
and Miscellaneous Concrete Work -
CC34090 — 2 years
2015 Pavement Surface Treatment
Project — Various Locations -
CC34090 — 2 years
2016 and prior
City Hall
A-1 Wireless, Inc. - CC34090 — 2
years
2016 and prior
City Hall
Animal Shelter Interior
Improvements - CC34090 — 2 years
2016 and prior
City Hall
Asphalt Materials 2013-2014/2014-
2015 - CC34090 — 2 years
2016 and prior
City Hall
Baumbach & Piazza, Inc. — Hutchins
Street Monument - CC34090 — 2
years
2016 and prior
City Hall
Design Modular — Fire Station No. 2
Lease Agreement - CC34090 — 2
years
2016 and prior
City Hall
Downtown Paver Maintenance
Project, Various Locations - CC34090
— 2 years
2016 and prior
City Hall
Garland/DBS, Inc. — Misc. Roof
Repairs - CC34090 — 2 years
2016 and prior
City Hall
Henry Glaves Park Pump Station
Improvements - CC34090 — 2 years
2016 and prior
City Hall
ltron, Inc. - CC34090 — 2 years
2016 and prior
City Hall
Kjeldsen, Sinnock & Nuedeck -
CC34090 — 2 years
2016 and prior
City Hall
Kofu Park Community Building
Energy Efficiency Project - CC34090 —
2 years
2011 and prior
City Hall
Kofu Park Community Building
Energy Efficiency Project
2011 and prior
City Hall
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
(Specifications) - CC34090 — 2 years
KPFF Consulting Engineers, Inc. —
MUS Transit Bus Wash - CC34090 — 2
years
2016 and prior
City Hall
KPFF Consulting Engineers, Inc. —
Transit Station Improvements -
CC34090 — 2 years
2016 and prior
City Hall
Krazan & Associates - CC34090 — 2
years
2016 and prior
City Hall
Mary McGrath Architects — Fire
Station No. 2- CC34090 — 2 years
2016 and prior
City Hall
MJC (Marcy Jafee) - CC34090 — 2
years
2016 and prior
City Hall
Neil 0. Anderson and Associates —
Fire Station No. 2 - CC34090 — 2
years
2016 and prior
City Hall
Neil 0. Anderson and Associates —
Rose Gate Subdivision - CC34090 — 2
years
2016 and prior
City Hall
Neil 0. Anderson and Associates —
Rose Gate Subdivision Inspection
Reports - CC34090 — 2 years
2016 and prior
City Hall
Rate Methodology & Adjustments-
CC34090 — 2 years
2016 and prior
City Hall
Roget Park Improvement Project -
CC34090 — 2 years
2013 and prior
City Hall
Roget Park Improvement Project—
Certified Payroll/Specs - CC34090 — 2
years
2013 and prior
City Hall
Ruggedcom — Design for Fixed
Network Radio Back Hall - CC34090 —
2 years
2016 and prior
City Hall
Salas Park—Sports Lighting
Improvements (Phase 1) - CC34090 —
2 years
2016 and prior
City Hall
School Street Tree Well LED Light
Retrofit Project - CC34090 — 2 years
2016 and prior
City Hall
Siegfried Engineering, Inc. — Grape
Bowl ADA - CC34090 — 2 years
2016 and prior
City Hall
Siegfried Engineering, Inc. — GAC
Filter - CC34090 — 2 years
2016 and prior
City Hall
Siegfried Engineering, Inc. — Lodi
Station Parking Garage Structural
Engineering - CC34090 — 2 years
2014 and prior
City Hall
Van Buskirk Park Playground
Improvements — File and
Specifications - CC34090 — 2 years
2012 and prior
City Hall
Vertex Business Services - CC34090 —
2 years
2016 and prior
City Hall
Wastewater Main Rehabilitation
Program #5 Construction (Certified
Payroll)(Specs) - CC34090 — 2 years
2013 and prior
City Hall
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
Well 6R Pump Replacement Project -
CC34090 — 2 years
2016 and prior
City Hall
WSWPCF Phase 4 Digesters 1 & 2
Repairs- CC34090 — 2 years
2016 and prior
City Hall
WSWPCF Phase 4 Digesters 1 & 2
Repairs (Specs/Bids) - CC34090 — 2
years
2016 and prior
City Hall
WMB Architects, Inc. (Public Safety
Building First Floor Renovation ) -
CC34090 — 2 years
2016 and prior
City Hall
WMB Architects, Inc. (Public Safety
Building First Floor Renovation )
Specs - CC34090 — 2 years
2016 and prior
City Hall
Y&C Transit Consultants, Inc. -
CC34090 — 2 years
2016 and prior
City Hall
*In all cases, original plans are maintained.
Department Head:
City Clerk:
Consent is ere -given to destroy the above -listed records:
*City Attar le
Date:3'1g•9
Date:. f `1''),
Destruction Completed By:
Date: 30 (-2.419
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation orpendinq audit will not be destroyed.
Department:
Community Development
Date:
2/14/19
Total No. of Pages:
1
Proposed Destruction
Date: TBD
Division:
Neighborhood Services
_
Prepared By:
Kari Chadwick
Signature: ji+' `
tat --
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location
Box No.
Copies of:
CDBG Program Files
24CFR570.502(b)(3);
241CFR85.42 & OMB Cir. A-110,
Attach. C.
Prior to 2013
City Hall
City Hall
— CDD
CDD — 02
CDBG Program Files
24CFR570.502(b)(3);
241CFR85.42 & OMB Cir. A-110,
Attach. C.
Prior to 2013
— CDD
CDD — 02
FTHB Program Files — No
Loan Files
24CFR570.502(b) (3);
241CFR85.42 & OMB Cir. A-110,
Attach. C.
Prior to 2013
City Hall — CDD
CDD — 03
Department Head:
City Clerk.
Consent is 41,
erebygiven
to destroythe above -listed records:
g
*City Attorn y
Destruction Completed By:
Date: a; I (-
Date:
Date: Qi/ll A'
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Community Development
Division:
Building, Neighborhood
Services, and Planning
Date:
2/14/19
Total No. of Pages:
1
Proposed Destruction
Date: TBD
Record Series Title
(Same as Retention Schedule)
Prepared By:
Kari Chadwick
Dates of Records
(From and To)
Signature:
Storage Locat%n Box No.
Copies of:
Copies - Invoices / Claim
Vouchers / Settlements
w/backup docs
(GC 34090 et Seq — 2 years)
Prior to Jan. 2016
City Hall — CDD
CDD -01
Deposit Receipts
(GC 34090: CCP 337 / AU+2)
Prior to Jan 2016
City Hall — CDD
CDD -01
Payroll Documents
(GC34090; 29 CFR 516.2 AU+6)
Prior to Jan. 2016
City Hall — CDD
CDD — 01
Misc. Correspondence
(GC 34090 et Seq — 2 Years)
Prior to Jan 2016
City Hall — CDD
CDD — 01
Department Hea . .
City Clerk:
Consent is hereby given to destroy the above -listed records:
*City Attorney:
Destruction Completed By:
Date:
Date:
Date: G?ilil /201
Printed Name
Signature
Attachment A — Form 4 (Authority to Destroy Records)
Date
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules, In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Fire
Date:01-28-19 I Total No. of Pages:
1 —
Proposed Destruction
pate: TBD
Division: Fire Admin
Prepared By: Gene Stoddart
I Signat i
1 iili
ii
Record Series Title
JSame as Retention Schedule)
Dates of Records
(From and To)
Storage L. .: ' • n
Box No.
Fire Prev. Inspections UFC
103.34
2015 and prior
Fire Admin
1
Fire Prev. Inspections UFC
103.34
2015 and prior
Electronic
1
Fire Station Journals
GC34090
2015 and prior
Fire Admin
5
OT Time Cards GC34090
2012 and prior
Fire Admin
1
Permits, Uniform Fire Code
GC34090
2015 and prior
Fire Admin
2
Personnel Training GC34090
2015 and prior
Fire Admin
1
Property – ApparatusNehicle
GC 34090
2015 and prior
Fire Admin
1
Department Head: e1
City Clerk:
Date: .2���1��
Date: 31 Lft
Consent is hereby given to destroy the above -listed records:
*City Attorney'' a� - �� Date: ; ll '-o
Destruction Completed By:
Printed Name Signature Date
Attachment A – Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Electric Utility
Date:
February 11`h, 2019
Total No. of Pages: 1
Proposed Destruction
Date: March 4th_
Division:
Administration
Prepared By: '
Jennifer Whiteman &
Liz Burgos
Signature:
'^ �W
1 1
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location
Box No.
Invoices
GC34090 et seq. — 2 years
2015-2016
EU/Admin
EU -01
Accounts Receivable
GC34090 et seq. — 4 years
2012-2015
EU/Admin
EU -02
Applications
GC34090 et seq. — 2 years
2014-2016
EU/Admin
EU -03
Bids, RFQ, RFPs
GC34090 et seq. — 2 years
2004-2014
EU/Admin
EU -04
Bids, RFQ, RFPs
GC34090 et sec= 2 years
2004-2007
EU/Warehouse
EU -05
Bids, RFQ, RFPs
GC34090 et seq. — 2 years
2008-2011
EU/Warehouse
EU -06
Bids, RFQ, RFPs
GC34090 et seq. — 2 years
2011-2014
EU/Warehouse
EU -07
Department Head: Date:
City Clerk:
ThRN(552A-0--it'a
Consent is hereby given to destroy the above -listed records:
*City Attorney( ( }
Destruction Completed By:
Date:
Date: 03/
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
!Vote: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Public Works
Date: 3/4/19
Division: Water/Wastewater/Streets
Record Series Title
(Same as Retention Schedule)
Administration -Recruitment
GC12946;GC6250 et seq; 29
CFR 1602 et seq 29 CFR 16071
29CFR 1627.3
_(CL +3)
Personnel Records (copies)
GC34090; GC6250
(CU +2)
Claims, Damage
GC34090; GC25105.5
(CL +5)
Training Records — Non -safety
GC6250
(CU +7)
Total No. of Pages: 1
Prepared By: Tosha Wiman
Dates of Records
2015 and prior
2016 and prior
Sicinature:
Proposed Destruction
Date: TBD
Storaqe Location
Box No.
Municipal Utilities Services
Supply Room
Municipal Utilities Services
Supply Room
2007 and prior
2011 and prior
Surplus Property- Disposal
GC34090; CCP 337
(AU + 4)
Incident Reports
29 CFR 1904.2; 29 CFR 1904.6
(CL + 7)
2008
Municipal Utilities Services
Supply Room
Municipal Utilities Services
Supply Room
1
1
Municipal Utilities Services
Supply Room
2011 and prior
Municipal Utilities Services
Supply Room
Department Head: C(�
City Clerk:
Consent is hereby given to destroy the above -listed
*City Atto�nel
Destruction Completed By:
1
1
Date:1-C - )'
Date: c3ipl1c)
records:
Date:_ (,3'11'. /:
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*.S'innafI1ra ,' rfifiP.R A rit, Atfr7rn , aaana.' mann that rpr:nrrI.' ArA rlrlf ralP.vArlf frl r. yi.Cfinn ill" Ailfiniri.tP.r'1 Iifir,AHnn
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Police Department
Date:
02/26/19
Total No. of Pages: t
Proposed Destruction
Date: TBD
Division:
Dispatch/Jail
Prepared By:
Teresa Fulwiler
Storage
at
vl Q/�faL,
Location
Box No.
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Jail Daily Logs
2012 and prior
(GC34090)
Jail
Department Head: / / �. 4 i . Date:3/ '
City Clerk: Date: 314[(9
Irl
Consent is hereby given to destroy the above -listed records:
*City Attorn
}
Destruction Completed By:
Date: 68
/t oto
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department: Police
Date: 02/25/2019
Total No. of Pages:
One ,
Proposed Destruction 1
Date: TBD
Division: Code Enforcement
Prepared By: N Baker
ignat
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location
Box No.
Case file, logs, violations,
zoning, and property.
2014 and prior
(GC3409d)
2014 and prior
(GC3409d)
Desk area
Desk area
1
2
Case file, logs, violations,
zoning, and property.
Vendor Permit records
2015 and Prior
(GC3409d)
Desk area
3
Department Head: Gov/441:' /z?d t
City Clerk:
Date: 3/0
Date: /4/ [c)
Consent is hereby given to destroy the above -listed records:
*City Attorne f ('f --, Date: I I ,9D1
Destruction Completed By:
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if an,olicable, retained in the archives.
Documents involved in litigation orpendinq audit will not be destroyed.
Department: POLICE
Date: 02/20/2019
Total No. of Pages: Proposed
e:
Destruction
TBD
Division: RECORDS
Prepared By: B. HILL
Signatu = IN,
it.
Box No.
Record Series Title
(Same as Retention ScheduleL
Dates of Records
(From and To)
2016 & Prior
(GC 34090)
Storage Locati •
Traffic Citations
LPD Records
Arrest / Booking Sheets
2012 & Prior
(GC 34090)
LPD Records
Statistical Reports (UCR)
2016 & Prior
(GC 34090)
LPD Records
Permits — Permit Applications
(Massage, Card Room,
Peddler, Solicitor, Tow Truck,
Pawnbroker, Secondhand
Dealer etc.)
2016 & Prior
(GC 34090)
LPD Records
Subpoenas
2016 & Prior
(GC 34090)
LPD Records
Arrests 11357 & 11360 H&S
2016 & Prior
(H&S 11361.5)
LPD Records
Sealed Adult / Juvenile
Reports
Destruction date 2017
and prior
(PC 851.8, WIC
826(a)&(b), 781(a)
LPD Records
Records related to deceased
persons (not including
homicide victims.)
Date of Death
12/2016 and prior
(GC 34090)
Misdemeanor arrest
date 2008 & Prior
(GC 34090)
LPD Records
C -Pouches
LPD Records
Live Scan Billing Records
2016 & prior
(GC 34090)
LPD Records
LPD Records
LPD Records
LPD Records
In Custody & Out of Custody
Lists
2016 & Prior
(GC 34090)
2016 & Prior
(GC 34090)
Daily Cash Drawer Receipts
DMV Re -Exam forms
2016 & Prior
(GC 34090)
NCIC Reports
2016 & Prior LPD Records
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
CHP 180's
2016 & Prior
(GC 34090)
LPD Records
Scanned Documents
2016 & Prior
(GC 34090)
LPD Records
No Longer Interested Forms
2016 & Prior
(GC 34090)
LPD Records
Department G iead: Date: /0
City Clerk:
Date: 31411
Consent is hereby given to destroy the above -listed records:
*City Attorney: c.
Destruction Completed By:
Date: 031/ �2 0/1
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable. retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
Police
Date:
03/13/19
Total No. of Pages:
Proposed Destruction
Date: TBD
Division:
Admin/Training
Prepared By:
Jennifer Howell
Sign. e: -, , 4 s
� `
Record Series Title
(Same as Retention Schedule)
Dates of Records
JFrom and To)
1/01/2015
Storage Location
06/31/16
Box No.
1
Training/Admin
(PRA 6254, IPA 1798.40, CD. — 3 years)
Equipment/Purchase Orders
(GC34090; CCP 337; GC 25105-1; GC
34090 - AU + 4 ye�irs)
01/01/2013
01/01/2013
1
Department Head: /41C _ Date: 03/3)r(
City Clerk: �,,,� 1 fib p� ADate: 311X1 !
Consent is he eby 'vent destroy the above -listed records:
*City Attorn Date: (S (ADP?
Destruction Completed By:
Printed Name Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Docyments will be reviewed for historical value and. if applicable. retained in the archives.
Documents involved in litigation or rending audit will not be destroyed.
Department:
Police
Date:
28 January 2019
Total No. of Pages:
Proposed Destruction
Date: TBD
Division:
Property and Evidence
Prepared By:
Kim Van Tassel
S ature:
i k-�h4-,L
- \(--' ti" i
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location 1
Box No.
_
Evidence Disposition Forms
2015-2018
GC 34090
Property
Property
Attached to property
record
Fingerprints
2015-2018
340x0
2' r5 GC 34090
Appropriate PC
Section
Property Control Logs
Property
Until adjudication
Inmate Photo Logs
2015
GC 34090
Property
Practical and
functional assn nment
Department Head:
City Clerk:
1l
�r do etieJar, Date: � I�f
� . Date: 4I 9) n
-rY\�znno.,a4
Consent is hereby 'yen to destroy the above -listed records:
*City Attorn y: Date: alIg (301
Destruction Completed By:
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and. if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department: Ppb' D -g}.
Lodi; / r -Vino 1 5 -e-gtr
Date:
1 -13 H 9
Total No. of Pages:
1
Proposed Destruction
Date: TBD
Division:
i'aV\kmal5e,rViCeS
Prepared By: ,...e-c21cei. M-? '
p,ri,rl;�er[;j-er�d�
Signure:
,-'`„. 1 --.."Lodi
A.__ J�:��.4p
Record Series Title
s1RRetention Schedule)
Dates of Records
(From and To)
Storage L
ation
Box No.
//(''S/amQe LI
G C 3 LI 0 I 0 Pnc ui2� ,r.e.I�ta
i 3 7.ct ✓1 i o
/�� cI_ " 11 -
An 1 ti I c ka-eI
C3y09014;6�-s �,ao13
�6��I -gecv
AAS( sY�l -
GC3yo90 r ccrasy^F,7,1 lam.
r4(�13,1L1 �1cin-O2c=
1 i ,► SkolVe-
6
G c34090 (,rds ()},,,�;ea
13 Tcln - �c
nVmV)il SIALA-e/'
_, =—
G C3L(U q1(3 /'"r�Iss��� 5..•
AU13 3-6./i -'4e C.
AN ry-,6l S VuJ1e-
0
Department Head:
City Clerk:
1# CAL/fate:
Date:
Consent is hereby given to destroy the above -listed records:
*City Alton;
y:
Destruction Completed By:
Date: I'll AD/).
Printed Name Signature Date
Attachment A - Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
POLICE
Date:
03/04/19
Total No. of Pages: l
Proposed Destruction
ate: TBD
Division:
INVESTIGATIONS
Prepared By:
LT. SHAD CANESTRINO
Signa
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location
Box No.
Informant Files
01/01/08-01/01/09
(GC34090)
Special Investigations
Pawn/Second Hand Files
01/01/16-01/01/17
(GC34090)
Investigations
Pawn Slips
01/01/15-01/01/16
(GC34090)
Investigations
Range Inventory
01/01/16-01/01/17
(GC34090)
Range Master File
Department Head:
City Clerk:
dud t
//& Date:3/ 7
AA_OLLA Date: ,I/L /5
Consent is hereby given to destroy the above -listed records:
*City Attorney:
Destruction Completed By:
Date: a"3//I
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
"Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department:
POLICE
Date:
03/04/19
Total No. of Pages:
Division:
ADMINISTRATION
Prepared By:
H. KIRSCHENMAN
Signatir
Record Series Title
(Same as Retention Schedule)
Administration/Internal Affairs
Investigations
Background investigations
and employment records of
previous Lodi Police
Department Employees
Background Investigations
(not hired)
Dates of Records
(From and To)
Storage Location
Proposed Destruction
Date: TBD
Box No.
01/01/13-01/01/14
(GC34090)
2014 and prior
(GC34090)
Fugitive Warrant Documents
Subpoena Documents
Departmental Budget Copies
JAG Grant
Parking Appeals
Parking Citations
Internal Affairs Sgt.
File Cabinet
Administration File
Room
2016 and prior
(GC34090)
2012 and prior
(GC34090)
2016 and prior
(GC34090)
2015-2016
(GC34090)
Administration File
Room
Administration File
Cabinet
Administrative
Secretary Desk
Police Admin -Mgt.
Analyst Office
2009 and prior
(GC34090)
2016 and prior
(GC34090.7)
Police Admin -Mgt.
Analyst Office
Room 209
2016 and prior
(GC34090.7)
Room 209
Badge Ordering File
Correspondence
Tuition Reimbursement File
2016 and prior
(GC34090)
Administrative
Secretary Desk
2015 and prior
JGC34090)
2015 and prior
(GC34090)
Administrative
Secretary Desk
Administrative
Secretary Desk
Concealed Weapons Permit
& Billing Records
Subpoena Log Tracking
System
Cal Card Statements &
Receipts
Orders -Business Cards,
Locker & Mailroom Name
Closure +2 (2016 and
prior)
(GC34090)
Administrative
Secretary Desk
CU+2 (2016 & prior)
(GC34090)
2016 and prior
(GC34090)
2017 & prior
(GC34090)
Electronic -Public
Folder- Admin Docs
Administrative
Secretary Desk
Administrative
Secretary Desk
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
Plate, Name Tags
City of Lodi
Community Room
Reservation Records
2017 and prior
(GC34090)
Administrative
Secretary Desk
r
Department Head: aid eiti s /1.&4 Date:34th
City Clerk:24 Date: `3/4/I
Consent is hereby given to destroy the above -listed records:
*City Attor
y:
Destruction Completed By:
Date: /A3///
,
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and. if applicable, retained in the archives.
Documents involved in litigation or pending audit will not be destroyed.
Department: PRCS
Date: 3/4/19
Total No. of Pages: 1
Proposed Destruction
Date: TBD
Division: ALL
Prepared By: Terri Lovell
Signature: \-.)8
+ 0.010
Record Series Title
(Same as Retention Schedule)
Dates of Records
(From and To)
Storage Location
Box No.
Deposit Receipts
(GC34090; CCP 337 - AU+4)
1/1/13 - 12/31/16
PRCS ADMIN.
1 & 2
Facility Rental Permits
(GC34090 - CU+2)
1/1/16 - 12/31/16
PRCS ADMIN.
3
Fingerprint Forms
(GC34090 - T+2)
2013 - 2/19/17
PRCS ADMIN.
4
Invoices
(GC34090 - AU+4)
2012 - 2/19/17
PRCS ADMIN.
4
Purchase Orders
(GC34090; CCP 337 - AU+4)
2014 -12/31/15
PRCS ADMIN.
4
Timecards
(GC34090 - T+3) _
1/6/13 - 12/22/13
PRCS ADMIN.
5
BOBS Claim Voucher Copies
(GC34090 - AU+4)
1/2006 - 12/31/16
PRCS ADMIN.
6
Claim Vouchers (HSS)
(GC34090 - AU+4)
2015
PRCS ADMIN.
7
Theatre Settlements (HSS)
(GC34090 - AU+4)
2012
PRCS ADMIN.
8
Specialty Class Files (HSS)
- CU+2)
2009-2012
PRCS ADMIN.
9
_(GC34090
Department Head:
City Clerk:
Consent is hereby giv•to destroy the above -listed records:
Date: 7 yg
Date: 3 AO
Attachment A - Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
*City Attorn(9; ( Date: A3 /1/ /olz.2
Destruction Completed By:
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.
City of Lodi
AUTHORITY TO DESTROY OBSOLETE RECORDS
The below -listed department records have been retained in accordance with the
City's Records Management Program Policy and Procedures and with applicable
federal and state laws as set forth in the City of Lodi Retention Schedules. In
accordance with the City's Records Management Program, with the consent of
the Department Head, and upon written approval of the City Clerk and City
Attorney, these records will be properly destroyed/disposed of.
Note: Documents will be reviewed for historical value and, if applicable, retained in the archives,
Documents involved in litigation or pending audit will not be destroyed.
Department:
Internal Services
Date:
3/4/19
Division:
Human Resources
Record Series Title
(Same as Retention Schedule)
Prepared By:
Cristina Gonzales
Employee Rights — General
Employees
T + 2; GC12946; 29 CFR
1602; 29 USC 211(e);
203(m)_2074)
Employee Rights — Safety
(Police)
T + 5; GC12946; 29 CFR
1602; 29 USC 211(e);
203(m)_207(g)
Hourly Employees
T + 6; GC12946;
GC34090*29 CFR 1627.3,
Labor Relations Section 1174
Motor Vehicle Pulls (DMV)
CL + 7; GC12946, *CA91009;
8 USC 1324 (a)
Non -Safety Employees
T + 3; Reference: 29 CFR
1627.3; CCR Sec 1174; 29
CFR 1602.30.32; GC6250 et
seq; 29 CFR; GC 12946,
34090*1607.4; 29 CFR
655.202; 29 CFR 516.6 et
se •; 45 CFR
Recruitment
CL + 3; Reference: GC12946;
GC6250 et seq; 29 CFR 1602
et seq 29 CFR 1607; 29CFR
1627.3
Dates of Records
(From and To)
All files prior to
December 31, 2016
All files prior to
December 31, 2016
Total No. of Pages:
2
Signtrf:
Storage Location
All files prior to
December 31, 2012
All files prior to
December 31, 2011
All files prior to
December 31, 2015
Basement
221 W. Pine St.
Proposed Destruction
Date: TBD
Box No.
Basement
221 W. Pine St.
Basement
221 W. Pine St.
Basement
221 W. Pine St.
Basement
221 W. Pine St.
All files prior to
December 31, 2015
Basement
221 W. Pine St.
Safety Employees All files prior to
T + 5; Reference 29 CFR December 31, 2013
16273; CCR Sec 1174; 29
CFR 1607.4; *29 CFR
1602.30.32; 29 CFR 655.202;
29 CFR 516.6 et seq; 45 CFR
1068.6(a)
Basement
221 W. Pine St.
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment thet records are not relevant to existing or anticipated litigation.
City of Lodi
Surveys and Studies
CU + 2; GC 12946, 34090; 29
CFR 516.6(2); 29 CFR
1602.14
All files prior to Basement
December 31, 2016 221 W. Pine St.
Department Head: CLJ/?A-JDate: ?c 01)n
City Clerk:
Consent is hereby iven o destroy the above -listed records:
*City Attorne
Destruction Completed By:
Date:
Date: A3/i1 /��.
Printed Name
Signature Date
Attachment A — Form 4 (Authority to Destroy Records)
*Signature certifies a City Attorney assessment that records are not relevant to existing or anticipated litigation.