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SR-12-09-97~ 5~~~/ZZ l C[,S CC MS f lctyclerklmslrecords mgt Council Mtg December 9. 1997 Santa Monica, Calif~r~~ ~ ~ i~g~ TO Mayor and C~ty Cauncil FROM City Staff SUBJECT Recommendat~on to Approve, in Concep#, a C~ty-Wide Records Managemen# Qrogram. Approve the Records Management Program Manual, and Adopt a Resolutao~ Appro~ing Records Retention Schedules for the City Attorney's OffECe, the Personnel Department, the Fire Deparkment. and the Transportatian Department ~Big Blue Bus) INTRODUCT[QN: City staff rec~uests City Council to approve, in cancept, a City-wide records manage- ment program, approve the Records Management Manuaf, and adopt the first of se~eral resoiu~iflns approving retention schedules for Cify departmenfs This mitial resolution requests appro~al of retention schedules for t1~e City Attorney's Office. the Personnel Department, the Fire Departmer~t, and the Transportation Department The City Clerk's Office began a City-wide records inventory approxEmately ane year ago. and ta date. has campleted in~entoryjng records in the City Attorr~ey~s Office, Personnel Department. Fire Departmen#, and Transportation De~artment The in~entory process consisted of analyzmg all the records used by each department, identifying ~ital records, makmg a determination of which recards should be preserved and which should be d~scarded, and deveEoping a records retention schedule A retention schedule is a dacument praviding the authorization for the disposition af City ~~~ F; ~ ~~:~f records and contains retention periods far specific records series The ret~ntion ~eriod includes the time records are kept in "the affice" and m off-site storage, the total amount of #~me the records are to be retained. the legal requirement for ~heir retention. and finally, if and when they can be destrayed Staff will return to Council periodically #a request appro~al of retention schedules far other departments as their inventor~es are completed It is important to implement each department's pragram as soon as possible after it is de~eloped. as it is expected t~at compfetion of the process for afl depar~menfs in the City wifl be fengthy ft is expected that as new forms are created, as existing forms became obsolete. and as laws change, both the manual and the retention schedules will need to be updated on a regular basis Such updates, as well as annual Recards Management audits, will be presented to Councal for approval The Records Management Manual, once appro~ed, will be distributed ka appropriate personnel in all departments The manuat will be useful ~n the appropriate implemen~atian and maintenance of the program for de~artments that have develaped a retention schedule, and will be helpfu{ and give gu~dance to the other departments in the day to day management of their documents. pending an in~entory af their records 2 BACKGROUND: Each af the above-mentioned departments designated a department representati~e (Department Records Coordinatar) to work with the Recards Management Coardmator ~n the inventorying of records and the development of the retention schedule The retention period for the records was established based on legal statutes and regulations and on the amount of usage by the department and t~e importance of the records The schedule was then reviewecf and approved by the Department Head, and finally reviewed and approved by the Ctty Attorney and thE City Clerk Presently. there does not ex~st a uni~orm method for managing paper and staff opts far one of three choices ~ne is to pack documents in boxes and store them, indefinitely, outside of the woric area. but wi~hm the department or within City Hall The second choECe is to file dacuments ~n f~ls cab~nets, indefmitely, m the user's affice or work area The third is to pack them in boxes and send them ofF-site for storage, for an indefmite peri~d of #ime When an organization implements a records management program. approximately 50% of existing records are found not to be vital and may be destroyed immediately, 30% may be sent to off-site storage, and anly 20 percent remain as active records TF~ere are 11,320 boxes or documents presently stored off-site by differen~ departments (See chart - Exhibit '~A") Once retention schedules are approved for afl City departments. staff estimates that 60% af the off-site recards can be destrayed Appropriate 3 destruction of these records will ~ndirectly result in reduced casts far space. labar, equipment and supplies needed for filing records, fessen the time req~ired to find the documents and ~mprove access to records Adoption of the proposed resalution wjll allow staff to destroy those documen#s that have came to the end of the retention period ~estruct~on af any documents will requEre approval af the Department Head, the City Attorney and the C~ty Clerk If deemed necessary, the Department Head may opt to keep the documents in question far a longer penod of fime ~ACTS: - Mare than 90% of records filed are never accessed - Off~ce personnel spend approximately 20-30 % of their time looking for infflrmation - Mo~e records were created ~n the 20th c~ntury than the combmed amount crea~ed in tF~e ~ 7th, 18th, and 19th centuries FINANC~AL IMPACT: In 1995-96. 85~ boxes were sent to aff-site starage and in 1996-97 the number dropped to 766 It ~s expected that the number of box~s being ser~t to off-site storage will continua to decrease as the program is implemented and takes hald There will be a slight increase m off-storage costs during the first year of the program due to the cost of 4 destroying records This cost, howe~er, will be affset by the savings of not having ta pay for the storage any longer, and by the reduced number of new boxes #~eing sent Off-5 itG' RECOMMEN~ATION: 1 Appro~e, in concept, a City-wide Records Manageme~t Program 2 Approve the Recards Management Pragram Mar~ual 3 Adopt a resolutian apprav~ng retent~on schedules for the City Attorney"s Office. and far tF~e Fire. PersanneL and Transpor#atian (Big Blue Bus} DeparEments Prepared by Maria M Stewart. City Clerk Attachments ExhibEt A Off-site storage chart Exh~bit B Records Management Manual Exh~bit C Resolution S EXHIBIT "A" Records Stared OffSite Enwronmental 8 Pubhc Works 1846-1998 : n. . ~~~o~ ~ey ~. q, ,~ ;q Plannmg & Community Der~ 6% - 859 CommuniSy & Cultural Svc 3% - 292 Fire 1%-66 Personnel 7% - 767 Resource Mgt 596 - 524 City Clerk 296 - 224 City TVIRisiclVlgtlAdmin 7°~-831 Finance 2596 - 2924 EXHIBIT "B" Preface This manual outlines the procedures to be followed by all City Departments for the Records Management Program for the City af Sania Mvnica Adherer~ce to these procedures wifl result m(1) the orderly retirement or destruct~an of documents na longer needed, (2) a reductron in the nsed for fife equipment, {3) an increase ~r~ the amount ot space ava~~able for other purposes, and (4) eff~aent retr~eval of ~nformation from act~ve fEles w~#hm the departments and from the inacti~e f~les transferred to offs~#e storage All department and divisfon heads should ~er~adically re~iew these policies and proced~ares to ensure that the most econamical and efficier~# methods are be~ng used ~n the creat~or~, maintenance and dispos~t~or~ o# City records Suggestions for changes rn pol~c~es or procedures are encauraged and welcome, and sfi~ould be submitted ta the Recards Management Coordinator The success of the program w~ll depend on each Department's attitude and concern for the C~ty's records It is the City's ob~ective to establ~sh a practical, economieal ar~d efftc~ent records management program whrch wrfl cor~#rrbute to the Crty of Santa Monica's progress We respectfully request your u~derstandang ar~d cooperafion ~~~L~~t~ ;~~ ~ ~ MARSH~I,~OI~S MOUTRIE ~ City Attorney ~r~~~f~~ MELOD~ A P~~+fiSO~V Records Management Coardinatar ~ - MARfA M STEWAR City Clerk Cm• of Santa .14omca Kecards and LlformaGOn \Tsnagzm2nY blanual Decembzr 4_ 1997 TABLE QF CONTENTS Preface I THE RECORDS AND INFORMATION MANAGEMENT PROGRAM Ob~ecti~e, Policy and Respons~bdity 3 fl RETENTION AND DISPOSITION 6 A HOW TO USE AND INTERPRET THE RETENTION SCHEDULE 7 ~il IN~#CTNE Ff~ES 10 A OFFSITE STORAGE PROCEDURES 11 B BOX/FILE RETRIEVALS AND REFILES '~4 IV DESTRUCTION PROCEDURES 17 A ONSITE DESTRUCTIQN 17 B OFFSlTE DESTRUCTlflN 97 V RECORDS COMMON TO MANY DEPARTMENTS 19 V~ AUTHQRITY 24 VII GLDSSARY 28 Crt~ of Santa ~fomca Records and Ivforntat~on btanagemznt \~fanual Dzcember 4, 1997 7 I. THE RECORDS AND INFORMATION MANAGEMENT PROGRAM Records Management is the systematic cantrol ~ver the acquis~t~on, pracess~ng, use, protect~on, storage and fmal d~sposition of a11 recorded ~n#ormation requ~red by murncipaf government to effect~vely conduct its busmess It ~nvolves assemblmg and mar~agmg the correct ~r~format~on ('I ) ~n the proper torm, (2} at the r~~ht #rme and place, and ~3y for use by the approprrate persor~s Thus, it is a dynam~c system for managing records in an efficient and cost effecti~e manner Records serve as admmistrative and legal tools and are created in the course of and as a by-product of the publ~c off~cer's performance of d~aty Records are not created for historical purposes but create history by #he~r existence 1 ~hiecti~es: A Reduce th~ quantity af duplicate recorcis m the C~ty through the ident~fGCation of th~ original copy af a given record B Prov~de for the systematic contro~ o~ ~aperwork, mamtenance, usage and clisposition o~ records C Provide adequa#e controls over the creat~an af file materials ar~d prever~t accumuEation of unnecessary fiies D Fac~litate the classification, fil~ng, retrie~al, charging out and refiling af recards E Satisfy departmental administrative needs and lega! manda#es F Ensure the proper preservatian of, and public access to, histor~cal reco~ds 2 Palicy; To es#abi~sh and mainta~n an efficEent program for systematic dis#nbutian, organ~zat~on, mamtenance, and disposit~or~ of all City records Cit}~ of Santa 1;fomca Records and Informahon ~ianagement btanual Decembzr 4. 1397 J 3 Resoonsibilitrr: A Ci~y Clerk. The C~ty Clerk is responsible far maintaining all offECial records of the City As such, the C~ty Clerk t~as ma~or program responsjbfl~ty for d~rectmg t~e City's Records Management Program and is authanzed to make admin~strative changes to the Program B Records Manaaement Coordinator. The Records Management Coardinator (also k~ow as the Recards Manager) serves at the directfon o# the City Clerk and has the day-to-day operational respons~bility for city-wide files management and Records Management Program dfrect~on, guidance and technECal assistance This responsibility includes tE~e follow~ng functions (1) Prov~ding assistance and guidefines to departments in the preparatian of the~r in~entor~es and retent~on schedules and any amendments thereto (2) Providing direct technical assistance and guidance to d~partments to aid in resolving specific files and records problems (3} Prov~d€ng for ihe arderly and efficEent filing, retrieval and distribution of inact~v~ City records stored offsite (4) Creat~on and maintenance of the database management system for inactive records {~} Preparat~on of an annuaJ repart evaluating the program. (6} Overseeing the annual City-wide purge process of recards that have reached or surpassed their retention periods C Denartment Heads. Department heads are responsible fflr appomtmg a Department Recorc~s Coordmator, who ~s fam~l~ar w~th departmerrtal fdes, ta be #he liaison between the department and Records Managment Coorc~inator ~ Denartment Records Coordinators. Department Records Coordanators shall serve as 4aisons be#ween the Records Manager and the departme~t The coordinator wi1) ass~st in the accurate ir~~entoryin~, e~aluation, preservatfon and d~s~osition of reeords in the~r department, and insure that their Departmental Recards lnventories and Departmental Records Re#ention Schedules are properly maintained They shall de~e#op a~ expert~se w~th records management philosophy and procedures (~nclud~ng knowledge of federal and state legal requirements appk~cabie to their Criv of Santa l~iomca Records and Tnformatwn bfanagement ?~fanual Dzcernber 4. 1997 4 department} E CitW Attomev. The City Attamey shall re~iew and approve departm~nt retentron and destruction schedules ~n accordance with federal, state, and local laws C~ty of Santa hirnuca R~.CUI'dS $Ikd II1fORI18lIOR tifanagzment'~~fanual December 4_ 1947 ~ It RETEiVTION AND DiSPOSITION The systematic retr~evaf and disposition of records requires the creat4on of a document called a records retention schedule_ The re~ords retention schedule ~s an in~e~tory of the records located in each department which directs and author~zes the disposition of records after their creat~on The purpose of the Recarcls Retention Schedule is to ensure that the Caty is in compl~ance with all legal requirements for retammg records while af the same t~me maintaming onfy ~hose records whic~ ha~e admmistra#i~e, legal, fiscal, or h~storical vafues and pravides the following mformation • A list of aJ! records ser~es ,n each departmer~t • Establ~shing the location of onginal documents • Identification of legal requGrements perta~n~ng to specific record ser~es • Identificatian of vital records • Retentian periods for records in the department and those ~n offsite storage • Refention penods for the origmal cop~es as wel! as dupl~cates Even #t~ough only a handful of employees manage the malor~ty of depar~mer~ta! records, it is the responsib~lity of all employ~es to re#ain CEty records accord~ng to the retention schedule In this context, any document within the scope of the City af Santa Monica's busmess, created by ar~ employee or an agent of the City, is a City recard Records can be in any media--paper, floppy disks, photographs, electron~c matl, optical disk, m~crofilm, etc The retentiorr per~ods appraved are t~ased on what department heads consrder to be an apprapriate iength of t~me records ought to be ke}~t ~n the department, how lang recards are requ~red to be kept far ta~c and aud~t purpases, and compliance with a variety of go~emment and legal requ~rements Also taken into consideration is the potential h~storical value of the records Once completed, a retention schedule is revaewed and appro~ed by the approprra#e administrative staff, department head, the City Cierk, the City Attorney and the City Council Retent~on per~ods cover active recards while they are located in the department, and ~nactive records m offs~te storage or mact~~e records located with~r~ a department The City's retention schedule w~ll be reviewed and updated periodacally as forms become obsolete, as new recards are crea#ed, as legal requErements change, or when the mitia~ly established retention period proves ,r~adequate Recommendations for changes to the retent~or~ schedule should be directed to the R~cords Management Coordinator in tt~e City Clerk's Department Crtr of Santa \~tonica Records and InformatEOn ~fanagement hlanual Dxcem6er 4. 1997 6 A HQW TO USE AND INTERPRET THE REGORDS RETENTlON SCHEDULE The records re#entian schedule is organized by record series ti#les A record series t~tle is the official title given to a group of identical or related records that are usually fiied as a unit and that ha~e the same retention per~od ~or the same reasons The record ser~es tftle ~s the one that shauld be used when labefang b~xes for outside starage (Procedures for ser~dmg records ta and retriev4ng records from offsite storage can be found m SectEan Ili af th~s Manual ) The record retent~on scheduke ~s used as an a~de to determine • How to la~ef f~(e folders • How to prepare existmg records for offsite storage • How ta fill out the records transmittal form • Haw long to keep records in the department • Which re~ords ta send ta offsrte storage and wher~ • Whrch reco~ds are vrtal ar~d requ~re $pecial protect~on • WI~o ~s respansible for the original record when duplicates exist C~~ oP Sania 13omta Records and Infarmatwn SAanagemznt hianual I7ecemher 4_ 199? 7 EXPLANATION OF RECORDS RETENTiON SCHEDULE (See Exhibit A) DenartmentlDi~ision - The department or divisian where the ~ecord series ~s located Records Series Title - A group of sim~lar or refated records wh~c~ are normally used and fEled together as a unit A records ser~es is evaluated as a unit to determme the records retention period Exarnples of record series titles are timecards, budget workmg papers, Reqwests far Warrants, etc Oriainal - The affcial copy (record copy) for the city ~tal - A record necessary to cont~nue fhe operation of fF~e City m case of d~sasfer or emergency Irl Office - This section hsts the number of years the specific record is regularly referenced or rec~urred for current use In Stora4e - Th~s section hsts the number of years the specific record rnust be retamed, but does no# ha~e ta be readily availabie This type of record is usually maintaEned at ar~ offs~te s#orage fac~lity Total Retention - This sect~on lists the r~um~er of years the records are mainta~r~ed Leaal Citation - Cites spec~c reguiatory codes which regulat~ the retention of csrtam recards Where no o#her code or authority pre~a~ls, Gavemment Code Sectian 34090 et seq ~s used 11Vhen applicable, Adm~nistrat~~e decision ~s also listed in th~s column RetentGOn codes used in the schedule include the followmg AA Ai~er Audit ACT While Acbve C Current Year E 1Nhde Empioyed I I ndefi rnte LA Li~e of Asset W Life of Vehicle PERM Permanen€ R Refer~nce 5 Unt~l Superseded U As Eong as the document is useful WC Wh~le CuRent Y Years Cnti~ of Santa 1~fomca Records and InformaUOn ~isnag2xnent rianusl peceraher 4.1997 ~ !r~ add~trarr, the fo!low~r~g codes represent rlifFerent legal crta~ons ADM Adminrstratron ~ecrsron AG ~P Attorrr~y General Oprnrons CFR Code of Federal Regufa~on CGC Cahfornia Go~ernment Gode EC Etecbon Codes LC Legal Considerat~on UFC Urnfortn F~re Code USC Unrted States Code cctv of Santa hforuca Recorclg aztd Information ~lanagement ~+fanual December 4_ 1997 9 II1. INACTIVE FILES F~les that are no I~nger us$d for da~ly aperations and havs not bsen used for at least six manths are considered ~nact~~e All recards have d~fFerent retent~on periods and depending an the destruct~on date, inactive fEles may be stored offsite Recards to be stored offsite must have a mirnmum retention period of one year prior to the scheduled des#ruction date It is not cost effective to store records offsite that are scheduled to be destroyed En less than one year If you ha~e any questions about whether a record sf~ould be kept m the ofFice or senf ta offsite storage, consult yaur records retention schedule or contact the Records Management Coordmator C3t~~ of Santa l[on~ca Records and Informat~on ltanagzment hianual December 4. 1957 ~~ A OFFSITE STORAGE PR~GEDURES Ir~itial Input of a Storage Box The Records Coordinator for eacti department ~repares ~oxes for storage of ciacumer~ts Storage baxes are ava~lable from Records Mar~agement Materials should be properfy packed info the boxes Aff recorc~s packed in a box should ha~e the same destructEOn date AI! documents must be in a labeled file folder or expanding file RemoWe all files from har~gEng t~le folders before pack~ng the box Place recor~s in storage box{es) w~th 4etter-s~ze r~cords in upnght position (as ~~ a f~le cabine#} across the 12-inch w~dth a~d fegal-size records across in the 15-~nch length Plastic folders, pendaflex #olders, andlor other costly fEling suppl~es shouic~ be rem a~ed UsE onfy standard frle s#orage boxes, 12"x45"x90", wt~icl~ ca~ be obtained from the C~ty Clerk's O#fice Stack boxes w~th box number vis~~le Do not mark cantents or any other ~nformatEOn on the bax Do not wr~te on the box sides_ If the department's retention schedule has ~een approved by City Counc~l, a retent~on date based on the retention schedule must appear on the Transfer #orm for all new offsite sto~age For each "new box~ a d~partmer~t must prepare a Records Transmittal form (Schedule 1) #EStmg the conte~ts of the box by f~le name (In some ~ases, it may not be necessary ta list each f~le falder Consult w~th the Records Management Coord~r~ator far directions ) Whe~ compieting your Records Transm~ttal form, inciude tfi~e recards seraes ar~d destruction date Duphcate or non-record cfacuments are for offfce use onfy and shoutd rema~n m #he office area Only the ~or~gmal copy" (ofFicia! record} may be sent to offsite starage 1M~en boxes are ready to ga to offsite storage, cal! Records Management staff ~f there are six or fess boxes ready for affsite storage, the boxes should #~e delivered to Records Management ff there are seven ar mare boxes ready for offs~#e storage, Records Management wiil have the boxes picked up from the sencfing department by an offsi#e storage ~endar c~n~ o~ s~,~ ~to~~a Recotds and Infa[maL~on ifanagemen# 3fanual December 4, 1997 11 After the C~ty Bax and barcode numb$rs are assigned by Records Managsmsnt staff. the ongmating department w~ll receive a copy of the Recards Transm~t~al form IistEng the numb~rs This is the department's copy and should be filed m the appropr~ate de~artmental b~nders The C~ty Box and barcode num~ers are the officral box numbers for the records and are used far mqu~r~es, re#rievals, and destruction purposes CRr of Sairta ~iomca Records aatd Informauon ~ianagement 4lanual Dsecemh~r4, 1997 12 ClTY OF SANTA MONICA RECpRDS TRANSMITTAL This form should be campleted and accompany alk records being tra~srn~lted to affsite storage Refer to your departmer-t's retentian schedule for determming wh~ch and when recards shauld be serrt ta ofFsde sborage You wdl recenre a copy of this form back with the ass~gned ~ty hox number and barcode number INSTRUC7lONS Please type or pnnt Fn mk. Use a separate Form Eor each recprd series. Under CONTACT NANfE, ~ndieate who in the department is responsible tnr the ~ontent of the records Under RECdR~S SERIES. use the tdle that is hsted m your departrnental retent~on schedule Ass~gn a un~qite t~nporary 6ox number to ea~h bax and label each box w~th this number Under BOX CONTEN75, hst each file folder (In some cases, rt may not be necessary to list each file folder Consult with the Records Managemerrt Cnordmator for d~rect~an.) Avord packmg recards with difter~t destrucfion dates rn ane box. Do not pack anything in the recards storage dox that is not in a tabeled file folder or ex~and~ng fi!e Remove a3! file fo{ders from hangmg file folders befare pack~n~ the boxes Use oniY approved records storaye boxes __- - - _ -:' - _" _ . _ "_ ~ _ ~ "-_ - _ _ ~ept/Div Gontact Name Date of Records Records Senes Today's Date Temp Mo Contents Descnpfian Dates of 8ox f2ecords No Barcode NQ Destroy Date i i . - - ~ ~ R~~4~~5 C~NT~~t U5E ~ CheC)cerc~ By- f D~ Erder~d ~ S2nt. SCHEDULE 1 ciri• of santa'~iomca Records and Informahon bianag~ment tifanual December ~3_ 1997 13 B_ BOXIFILE RETRIEVAL & REFILE This is the process where boxeslfiles are requested from offs~te storage, recurned ta #he department far temporary use, and then returRed to offsrte storage again Normal deljvery of offsite boxes is on Tuesday and Thursc~ay afternoans Depar#ments must complete a retr~eval request farm (See Schedule 2} and deli~er ~t to Records Management by 4 00 pm on Monday for a 7uesday del~very Qr 4 00 pm an Wednesday for a Thu~sday del~~ery_ Requests for boxeslfiles to be retr~e~ed on days other than the regular order days wall be charged to #h~ department "RU5~1 OCd8f5" must be hand defivered to Records Managemenf Departments wi6( also E~e charged for "Rush Orders" Whe~ the boxes/files arr~ve, the requester will receive a phone call andlor an e- mai1, from Records Managemen# personnel, adv~stng #he documents are ready for pick up m the C~ty Clerk's area When the material is reac~y #o be returned to offsite storage the f~leslbaxes must be returned to the City Clerk's off~ce w~th #he contents ~ntact F~fes should not be kept ~n the department's area and the box returned w~thout them The box ~s kept ~n the departm~nt's work area urtt~! the rr~ater~a! ~s no lon~er needed }n add~t~or~, new €~les should not be added to a box that has been retr~eved firam offsite storage If documenta#ian needs to be added to or removed #rom a returned bax, a new Records Transmittaf Form must be prepared for the bax and submitted to Records Management There are three categories of deliveries Categary 3 for regular deliverfes Category 2 for deii~ery within 4 hours and Category 1 for deli~ery within 2 hours Rush Qrders "Category 1" Rush Qrd~r Boxeslfiles are defivered withm two hours Same day deli~ery of category 'l's must be placed by 3 00 p m If a cat~gory 1 is placed after 3 dq p m,~t will be delivered by ~ 0 DO a m the fol~owrng ciay There ~s a charge to the req~aesting department This is the most expensive retrieva~ request at a cost af approximately $18 401box or file CR~~ of SanIa \Santca Records and Informat~on ~~[anagemairt hianual Ikcember 4_ 1997 14 • "Cafegory Z" R~sh Order Boxes/fdes are delEVered wit~m four hours Orders placed before noan will be delivered by 5 00 p m the same day Orders placed after ~aon will be del~vered by r~oon the €ol~owrng day 7~ere ~s a eharge #o the requesting department This is not as expensi~e as a Category 1 and costs approximately $12 4Dlbox ar file • These costs are charged back to the requesting department/div~sion on an Inter- Departmental Transfer Form whe~ monthly billir~g is completed C~tv of Santa bfamca Records and Informauon hfanagement Ylanual I7zcember 4, 1997 1~ CITY OF SANTA MONICA RETRIEV~4L REQUEST FOR1Vl I~rsfruc~on • Please complete this fornr rurd e-rsrai! Melodi Pearson ar Jennifer Hale. Order days trre Monday~s and Wednesday only. Thrs form is found under F.•ctvclerk/forms/recreq.wpd Date Dept.IDiv.: Name: Extension: Box No.: Barcode No.: File Name: *~ REGULAR DELIVERY: HALF DAY DELIVERY: Rti SH: Check onz c~f ihe abo~'e bo~es ~* '' 13-7~en requPStrng mare than one frle folde~r from tAe sume bnx. _y~ou must arder the 6nx Only~ complete thu section rf y~ou w~rnt one file from a~ebae~ '• There wd! be ~a charges for half da~- orders. ruah orders and orders pfnced on nan-order daFS.) ltacreq ~a•pd SCHEDULE2 Grtr• of san{a 1~ton,ca Rzcords and Informadon hianagement ~Ianual DecxR~ber 4. 1997 15 ~V. DESTRUCTIQN PROCEDURES Ali recards are re~iewed for destruct~on on an annual basis, includ~ng records in act~ue f~les and records in storage To be m compl~ance w~th the Records Management Program and the Records Retention Schedule, destruction of records that are past their scheduled destnaction da#e must occur A Destruction of Onsite Recards The annual revi~w and purge o~ ansite records is conducted in November of eaeh year Each departmer~t ~s asked to review ~heir ons~te fifes to determme which files ~ave reached or passed the~r retention period Records Management w~if send memos to all Department Heads, Division Heads and Records Coordinators as a remmder to re~~ew acti~e fles to deternn~ne wh~ch recards are eligib}e for destruct~on accord~ng to each respective Records Retention Schedu le All iiles eligible for destruction are listed on an ansite records destruction list , by the Recards Coor~inator, as outlmed in the Recorc~s Re#ent~on Schedule The €~les are placed in boxes along with a copy of the ons~te destruct~on form (Schedule 3} listing the fites for destructio~ The boxes are kept in #he orig~natmg department's area untd final approval is recei~ed Final appro~al ~s obtamed fram the Qepartment Head, Crty Attomey ar~d Crty Clerk After fmal apponral ~s obtair~ed tf~e Records Management Coordinate will arrange far des#ruction B Qffs~te Records Destruction The anr~ual review and purgtng of offsite records is canducted in January A comQuter generated destruct~an list and a des#ruct~on memo w~ll be sent to each Reeords Coordinator The mema autharEZing the destruct~on o~ the records requires the approval af the Department Head, City Attomey and Crt~ Clerk After obtarning the destr~c#ion approval for ofFsite recards, #he Records Management Coord~r~ator will schedule the destruct~on process w~th an offsite starage vendor Crt~ of Sama tioh~ca Recards and Informahon 'Lfanagemant?~lanual Decembzr 9, 1997 17 ~4N-SITE RECORDS DESTRUCTIQN LlST Approved for Destruc#ion Department H~ad C~ty Attorney City Cierk Date Date Date SCHEOULE 3 CRt~ of Sat~ta ~~luniaa Records and Infcr~mation ~ianag~nent hianual I?zcemher 4_ I997 1 ~ ~inter~i I~~~tion -- - ` ~ _ _ ~ ~ Qatss ~a~~r~d - _ i ~,,. - , _ _ _ 1 V. REC4RDS COMMON TO MANY DEPARTMENTS Tfi~e fallow~ng definitians and discussions ar~ refated fa records tFtat are common to mar~y departments ADMINiSTRATIVE FILES Admin~strati~e f~les are generally those files kept at an emplayee's desk They typically do not d~rectly reiate ta the autput generated by #~e department This type of f~le is always m constant flux througF~ addrng r~ew Fr~format~an and dtscardmg autdated m#ormatian, for example work orders, telephone requests, etc Because adm~nistrat~ve fifes are usualiy small, and by their nature require quick access, their ar~angement ~s typ~~ally "the mast €requently used file in front " If an admmistrative file takes up more than a file drawer, considerat~on should be given to reorganizing th~ file Administra#ive files should con~ain acti~e records only Each year they should be reviewed and purged ~f extraneous and outda#ed records Adm~rnstrat~ue f~1es never go ta offsite storage They have a perpetual retention period in the department DEPARTMENT FILES (SUBJECT FILES) Depar~ment files, also known as Sub~ect F~ies, are generaily accessed by several staff members The files are usually located in a central locat~on and referenced by a rtumer~c, a~pha or alphanumer~c system CHRON FILES Ghron files are str~c#ly copies af correspondence filed m chronologica! order They are most af#en used as back-up when a par~icufar le~ter or memo cannot be located in #he departmen~ files Copies of correspondence m chron files are nat considered the record or offrc~al copy of the correspor~dence The or~gfrtal co~y of correspor~der~ce rs fifed in tt~e subject file (ses Correspandence on ~he foElowing page) Chron fEles do not go to aifs~te starage and should be reta~ned for one ta finro years, depending on how often #hey are referenced C~tt• of Santa hlonlca Rzcords and InfoRnat~on l~Sanagzme:ri'~Tanusl Deceuiber 4. 1997 ~4 ~ DGETS Budget f~les ~nclude work papers, drafts, and final b~dgets that are typicaily used to sup~art budget subm~ttal and to prepare subsequent budgets The or~g~nal copy of ths officia~ City budget is maintamed m the City Clerk's Offrce Therefore, ~t is recommended that departmental cop~es are retained only for the current year plus one year Departmentak copies of budget files do not ga ta offsite storage ~ONTRACTS A contract is an agreement between two or more persons or ent~ties wF~ich creates an obligation to do or no# #o do a particufar thing Contracts include, but are not lim~ted to, leases, servrce agreements, insurance policies, permits, and contractar agreements Origfnal signed contracts are vital records and consequently, need to be preserved and protected The City Clerk's Off~ce is the official keeper of the o~i~inal copies fior afl contracts which have gone before Council for approva[ The rete~t~or~ ~er~ods to~ the ong~r~at s~gr~ed contracts vary depending on the scope of serv~ces and the nature af the pro~ect Capies of contracts should be reta~ned in the departments no longer thar~ the period of their usefulness in the department, which typically does no# go pas# the end of the fe~m that the contract covers_ Dra#t copres of contracts shoufd be destroyed as soon ~s t~e fmal contract ~as been executed by all parties and the orig~nal ~s filed ~n the City Clerk's O#Fice Importan# note Befare departmental copies ofi Cauncil approved contracts are d~scarded, cl~eck wrth t~e City Clerk's office to ensure the original is on fil~ CORRESPONDENCE Generally, correspondence is fi~ed w~thin a sub~ect f!e afong with other records to w~~ch it pertams in fact, a corres~ondence f~le by itself is discouraged unless it ~s used as back-up in the event the or~ginal cannot be located in other files (see Chron F~les) Correspondence fdes used as back-up can be arra~ged cf~ronolog~cal4y tmaking Et a chron file}, ar categorized by sub~ect, author, or addressee and arranged aiphabe#~ca~ly CiR of Santa biomca Racords and Informat~an blanagaxnenL \4anual December 4_ 1937 ~a ELECTRONIC MAIL The Santa Monica Commcarncat~ons System provides the e~ectronrc transm~ssron of interaffice correspande~ce and documents ~ia the City's network computer sys#em Electronic mail allows the transmission of other documents, mast of which does not rec~wre a hard copy, fhereby reduc~ng the numbe~ of paper records in tF~e office When Electronic Mail ~s ut~lized in its purest form, hard capies of inessages are not raroduced Electronically transmitted documen#s required m hardcopy ~orm should be }~rinted and fiied with other records pertaining fo the same sub~ect, with the electronic dacument being defeted as svon as poss~bie Cnr° of Santa ~fomca Records and Informat~on hianagement ~{anual Deczmber 4, 1997 ~ i NpN-RECORDS Non-recard rnaterial has a very limiteci period af vaEue and is usualiy created to notify, to transm~t, to seek re~iew, or to mforrn ~nce that purpose ~s accomplished the matenal should be discarded The mater~al never goes to affsite storage Some common non-records found in City f~les which shauld NOT be m the file, are '1 Cop~es of agendas and minutes of boards and comm~ssions ~non- originals) 2 Cop~es af Councal agenda packet mater~al (non-ongmals) 3 B~ank Forms 4 Drafts (after final copy is completed) 5 En~elapes 6 Extra capies 7 FYI Items 8 Job Announcements (~on-origmals) 9 Magazines 1 Q Materials for outs~de clu~s or organizations 11 Notices of ineetmgs, retirements, hohdays, etc 12 Preiiminary work materials used in the preparat~on af reports, studfes and similar documents 13 Sales catalogs, brochures, technical manuals, pamphlets, baoks 14 S#ocks of pubhcations 15 Tr~nsm~ttal and acknowfedgm~nt memas and letters 16 Workmg pa~ers* 17 Telephone messages 18 Handwr~tten notes "WORKING PAPERS/F1LES 7rhese ~rles kept 6y -nd-vrduals wrthin a depariment vary rn their contenf b~t shor~ld c~onslst af only non-record mater~a! Often they are rncomplete because related recorrls are rn affrcral deparhnen# frfes_ A~fore f~han l~kely the creatvr of these fr/es 1s fhe anty Aerson who knows how ffre mate-ia!!s arranged, when Ft is fi~ed, and what rt means. !~ 1s sfrorn,~ly recommended ihat these files be purged upon campletron of a pro~ect Any officral recards that may have accrdenfally been placed rn a workrng SIs should immediately be maved to ftte proper frle rn the department's officJal files. As the growti- offhese files rs aniy fimrted by space ava~lable, rt is pruderlt ta resfr'icl' personal filing space c,n.~ or s~ ~i~~a Records and Infoimat~on hianagement tilanual Decemher 4, 1997 22 PERSONNE~ FILE~ The Personnel Qepartmental has the o~f~c~al copy of each employee's persor~r~el file A Supervisor may keep a file on an employee Howeaer, ar~grnal documentatior~ on persannel act~ons should be sent to Personnel as the action occurs and as outlined En the MOU Any needed official personne! action should take place based sofely on the ~nforrnation m the official Personnel file A Supervisor's file is a copy of the orEginal Personnel file ar~d should ne~er go to offsite storage, should be retained anly as long as the person is employed, and thert destroyed rn accordance w~tt~ the retentron sc#~edufe PREDECESSOR F1LE5 These fiEes exist in almost every department and have been left hehmd by the last person who held the posrtion or a sim~lar position m the department The predecessor files s~tocald ~e revrewed, purged, a~d mter filed w~tt~ current frfes no longer than two years after the predecessor is gone They should never be sent to offs~te storage ~ne way to accomp~~sh #his reviewlpurg~ process is to prepare an inventory of whaf rs in the f~les by I~sting file folder fabefs and re~~ew~ng t~e I~st rather than the ~~les themsefves in additian, each year sub~ect files should be reviewed and p~rged of extraneous and outdated records They are perpet~aally refa~ned in tt~e departme~rt and do not go to offsite starage ACCOUNTS PAYABLE DOCUMENTS The Finance Depar#ment is responsfble fior the or~g,na1 copy of all Requests for Warrants, Purchase Orders, and Quick Purchase Orders, so ~t ~s unnecessary for departments to keep copies Howe~er, it is recommer~ded that departments keep copies far a shart per~od of time, na longer than two years, in case the or~g~nal is not readily accessible Department copies vf accounts payable documents do no# go to outside storage CitS~ of Santa 1•Ion~ca Recards and Infarmation '~4anagement h4anusi I7ecember 4.199~ 23 v~. AurHORirv. A The Denartmental Records Retention Schedule constitutes the autharity for the reten#~an and destruction of records listed thereon Thus, City records may r~ot be destroyed unless they have first been ~dent~f~ed, e~alu~ted and hsted on #he Retent~on Schedule and rec~uired retention periods have laps~d B Statutory Author~trr. There are two basic State statutes go~erning the destruct~an of orig~nal pub~ic records Sect~ans 34fl90 and 34090 5 af the government Code in esser~ce, Sect~on 34090 permits destruction of certa~n records after twa years w~tho~t m~crofilming, while Sect~an 34090 5 permits destruction of any record wh~ch has been mrcrofilmed Destruction of duplicate records ~s gowemed by Govemment Code Section 3409D 7 ~1) C~ovemment Gode Section 34Q90 - Destruction of city records: excep#ed records; construction. Unless othenivFSe pravided by iaw, w~th the appra~al of the legisiati~e body by resolution and the written consent af the city attarney, the head of the city depar#ment may destroy any c~ty record, document, mstrurnent, book or paper, under his charge, without mak~ng a copy tt~ereof, after the same ~s not la~ger req~~red Tfris section does not authorize the destructfon of: (aJ Recor~ds afi`ecting the titfe to real property or liens thereon. {~b} Court records. (c) Recards required to be kep~ 6y stafute. {d) Records less than h~ro years old. (e) The minutes, ordinances and resolutions of the legislatfve 6ody or a city board or commissions This section shal~ not be construed as ~imiting or q~ahfying in any manner the authority prov~ded in Section 34Q90 5 for the destruction of record, documer~ts, instruments, books and papers fn accordance with the procedure there~rt prescnbed (2) Go~emment Code Section 34090.5 - Destruction of records b~ city ofFcer. Notw~tt~standmg the provis~ons of Section 34090, ths c~ty offcer havmg custody of puE~lrc recards, dvcuments, instruments, books, ancf pa~ers, may, w~thou# the approval af the legislative body or the written consent o# ~he ci#y attorney, cause to be destroyed any or al1 of the records, docum~nts, ~nstruments, books, and papers, if all of th~ fol[ow~ng conditions are complied w~th C~h~ of Santa 41on~ca Rewrds and Information ?~tanagememt Sianual Decc:mbzr 4. 1997 24 (a) The recard, paper, or document is photographed, m~crophotographed, reproduced, by electronically recorqed ~ideo images on magnet~c surfaces, recorded fn tk~e electror~fc data-process~ng s~rstem, recorded on optical disk, reproduced an fifm or any other m~dium which does not permit add~t~ons, deletions, ar changes to the original documen#, or reproduced on film, optical disk, or any other med~um in compliance w~th the mirnmum standards or guideli~es, or both, as ~ecomm~nded by the Amer~can National Standards Inst~tute or the Associa#~on for Informat~on and Image Management for record~~g of permanent or nonpermanent records, whiche~er applies tb} The cfev~se used to reproduce the record, paper or document or~ film, opt~cal d~sk, or any other medium ~s one which accurately and legibly re~aroduces the original thereof ~n aii details a~d which does not perrnit addi~ions, dele#~ons, or changes to the orEg~nal dacument tmages ~c} The photographs, mf~raphotographs, or other reproduc#~ons on film, optical d~sk, or any other medium are macle as ac~ess~bie for publ~c reference as t~e original records were ~d) A true copy of archr~a~ quality of tt~e frfm, oRtrcal d~sk, or any other medium repraductior~s shall be kept ~n a safe ar~d separate place for secunty purposes Prov~ded, howe~er, that no pa~e of any record, pa~er, or document shall be destrayed ~f a~y page cannot be reproduced on film wFth full legibif~ty E~ery un-reproducible page shail be permanen#ly preserved in a manner that will afford easy reference For the purpose of ##~~s sectron, every repraduct~on shali be deemed to be a~ ar~gmal record, and a transcript, exemplEf~catian, or cert~ied copy of ar~y reproduction shall be deemed #o be a transcr~pt, exemplifkcation, ar certGfted ca~y, as the case may be, of the original Under ~h~s section, and by C~ty palicy, there is no requirement as to how #ong arEg~nal documen#s must be kept before they are microphatagraphed and desfroyed Deparfinent heads have the respons~b~lify, however, to be aware af specific state or federal laws wh~ch may requEre that certam or}girtat records m their department be kept for additEOnal periods of t~me Under the procedure autl~nec! m Section 34094 5, the two microfilm capies must be retained ~nde~initely Once m~crofilming has been comple#ed, the or~gina[ may be destroyed wi#hout f~rther approval Thus, m~crafdmkng (or other author~zed reproduction} pursuant to Gavernm~nt Code Section 34~90 5 ~s the only authorized manner to accomplrsh des#ruction of ar~gina~s of the foilowkng records (the €~ve except~ons af Government C~de Section 34Q90) records affecting title to real property (ar liens thereon), court records, records required to be kept by statute, m+nutes, ordinances and c~ty of sattta \~Ioni:.a Records and InformaUon S3anagement ~,ianual I]ecem~zr $. 1997 ~~ resolut~ons of the Baard and C~ty commissEOns, boards and comm~ttees, and records Eess than twv years olc! As a matter of policy, hawever, the CEty of 5anta Mor~~ea keeps vr~g~r~af Cr#y Counc~l mrnutes, ordinances, deeds, reai property records and resolutions a~ter they have been mFCrof~lmed (3) Government Code 34Q90.7 ~u~licate records less than two ~ears old: destruction: video recardina med~a. Notwithstanding the pro~fsians of Sect~on 34Q9a, the legisla#i~e body of a city may presc~~be a pracedure ur~der whrch dupl~cates of c~ty records less t~an twa y~ars old may #~e destroyed if they are no langer required For purposes of this seciion, ~ideo record~ng med~ums, such as videatapes and f~ims, shall be considered duphcate records ~f the c~ty keeps another record, such as wfitten mi~utes or an audio tape recordmg, af the event which ~s recarded in the ~Edeo medium Howe~er, a video recording medium shall not be destroyed or erased pursuant ta this sec#~on for a period of at least 90 days after oceurrer~ce of fhe ever~t recorded ti~ereon (4} Gor-ernmen# Code Section 34090.6 - Destruction of Recordinas of Radio and Telenhor~e Communications of the Police Deuartment~ Sectian 34090 6 af the Govemment Code authorizes destructior~ (~ e, erasure) of recordings of radia and #elephone communicat~ons of a public safety communications cente~ ~f the recordmgs are at least 100 days old, and are not e~Edence 4n any pending t~tigation (5) OtF~er Recordinas {a) Taoe Recordinas. {1 } Dicfaphone-type tape recard~~gs used solefy for the purpose af transcr~b~ng letters are non-records and may #ae destrayed fmmedEately w~thaut any add~tional appra~al (2) Tape recordmgs of ineet~ngs o# the C~ty Council, comm~ssions, boards or committees shall ~ae handled as follows (a} All tape recordangs of C~ty Council meetings shall be reta~r~ed #or the current year plus two as outlEr~ed in #he City ClerEc's Records Retention Schedule pro~aded the aff~cial minutes far the meeting have been approved by Council (b} AI1 tape recordmgs of ether boards, commiss~ons ar~d committees shall be retained fa~ the current year plus two after the meet~ng, based on the appl~cable approved Records Retent~on Schedule (c} Further retention depends on the ~urpose for which the tape record~ng was made Crt~' of Santa biomca Records and Informahon l~ianagement :vlanual IJecember 4_ 1997 26 (1) if t~e tape record~ng was prepared solely as a convenient aid to facilitafe the preparat~on of the official m~nutes, or for re#erence, then such record~ng is a "non-recvrdn w~rch can be erased or destroyed after the m~nutes are appro~ed at a City Councif ineet~ngs (2) if a tape recording is mtended fo afficfally presenre the informatiana~ content of a meettng, permanent retent~on is requ~red However, by C~ty ~vhcy, the only afficial methad recognized to preserve the informa#ional content of a meet~ng is by the offrcial m~nutes of that meetmg S~nce tape recordings are simply reference a~ds, retention ~eyond the minimum perGOds is not required (d} Nat~ tha# destruction or erasure of video recordings under Goverr~ment Code Sec#ion 34090 7 requ~res retent~on af an aud~o ~ape recardir~g or m~nutes Since official minutes of ineetmgs are pre~ared far permanent retent~or~ (and are the on[y afficial recorcf of a meeti~gJ, this cand~tior~ is met and both t~e video recording and the audio tape recording may be erased or destrayed upon appro~al of a Reques# for Destruct~on Crtv of Santa titomca Records and Informatton hianagement 4lanual pecemher 4. 1997 2~ VII, GLOSSARY OF REC~RDS TERMIN~LQGY Active - Records used in daily operations Referred tv a mimrriurr~ of once a mont~ Alph~numeric - A filing system cambimng alphabef~c and numeric symbols Appraisal - Review of mfo~-mation gathered from a recards inventory, each ident~fiable record ser~es ean be appra~sed for its legal, financ~al, admmistraUve, and historical value for tlne purpose of establ~shing retention periods Archival Recard - A record wrth permanent retention because af its histoncal, legal or fiscal value Archivai Quality - A degree to wh~ch a processed pri~t or film will retain rts charac#eristics dunng a periad of use and storage, the abilrty to resist deteriorat~on for a lengthy specified time Archives - A reposrtory for housing pe~-ma.nent ~r historic records, whether in hard copy, microfilm or imaging form, which must be protected and preserved fram destructton CD-ROM - A storage mediurn that uses lasers ta encade images or ~nfarmation in digital forrn and to read the image data from the disk Commercial Records Center (offsite} - A recorcis center, operated by a gnvate company, housmg the records af many ciifferent c~mpames an a fee taasis Disposition - The altocation of publ~c records to a particu~ar locat~on according to their categonzat~on for destruct~an Eleetronic Filing - Storage and retrieval of informat~on m digital form Fiehe - Abbreviat~vn for microfiche Film - Any sheet or stnp or transparent plastic caated with a ligh# sensrt~ve emuls~on Financial Records - Budgets, financial status reports, balance sheets, and statements of income and expenditures, records of of~iciai bonds, records of wages paid to persons engaged in pubhc work, rate or fee schedules, etc Hard Capy - Original paper document Historic~l Value - Refers ta the retent~on af records which have enduring value because they reflect significant histoncal events or document the history and development of the City c~~ ofs~,~ni~~a Records and Informahaa ~Fanagement hianual Dec2rnbzr 4. 1997 28 Image - One frame on a roll oF microfilm inactive Records - Records which are se~dom access~d Inventory - Process of examtmng records on hand to cietermine the~r function, content and dates m arder to assign retention/disposition information Lateral File - Sxde-apen file cabmets, may aiso mean shelf filing I,egal Vatue - Refers to the retent~on ~f recards conta.mmg e~ idence of legaliy enforceable ng~t or obligations Examples are decisions and ogimons, ~scal documents represenhng ageements, such as leases, titles and cantracts, and records af act~on in particular cases Such as cla~m papers and legal dockets Media - The mater~als an whtch ~nformation may be recorded The med~a may mclude paper, microfilm, magnetic dislcs or tape, or optical disks Microfiche - 4" x 6" sheet nf microfiim with rows and column of irnages It usually contains a tttle which can be read withaut rr~agnificatian Microfilm - Fme-grain, high resolut~on film conta.~ning a image greatly reduced ~n size fraxn the onginal Uffice af Record - The office respansible for ma~ntaimng the record copy ~official copy) of a record far the total retention period Operational Value - The xmportance or usefulness of records to assist the orgamzation in perfarnming its primary fiznctson Record - Any information on a.r~y rr~ed~a, either an on~inal fla copy, ~na.de or recei~ed by an organiza#ion tha# ~s useful fn the operat~on of t.~e orgamzation Record Co~y - The official copy ~f a record Record Series - A group af s~milar or related records that is used and fited together as a un~t A record senes is generally evaluated as a umt for determin~ng the records retenhon period Records Inventory - A detailed survey of the organ~zation's records, including descnpt~ons, scope, vvlurne, frequency of use, organizat~ans, etc The records ~nventary is ~sed to pr~vide information when t~esigning or modify~ng the records system Records Managernent - The systemat~c control of all records from creat~on or receipt through process, distnUut~on, maintenance, retrieval and u~t~mate disposition Citr~ of 5anta'~ionica Rzcords and InformaRion 1~ianageme~ ~ianual Deczmher 4, 1997 29 Records Retention Manual - A collection of current procedures related to the operation of the recards retention pr~gram Records Retention Prograrn - A component of the total records management program that controls the mamtenance and ultimate disposition af records Records Retention Schedule - A comprehensive list of records senes mamtained by an organization indicah~g the hmetable during which they are rnainta.ined in pnrriary office space or transferred to inactive records centers Reeords can be destroyed after the termination af the retention pe~iad Records Value - The irnportance or usefulness of records for operational,legal, fiscal, ar histortcal purposes The record valne far each record series must be determined when developmg a records retenhan schedule Vital Recard - A record necessary to contmue the aperat~on of an organ~zation m case af d~saster or emergency cm~ ofs~~ ~t~,~$ Records and Information 1lanagement ~ianual Dacembar ~1.1997 ~~ EXRTRiT "A" ~n In Total Series Title O. ria• Vital Office Staraqe Ret. Leqal Citation A ro~als• Department Head. __ Date: __ Resolutian No. City Clerk: ~ Date: Date: City Attornev: , ,,,_ Date. , ~des AA = After Audit ACT = While Active ADM = Administrative oecision C= Gurrent E= Vvh~le Em lo etl I= Indefirnte PERh1f = R= Reference S= Unld 5u erseded U= As lan as the document is useful Y= Years AG OP = Attorne General O irnons CFR = ~.b.n....~ r!]C - C~l~Fneni~ r_,,,,o~,,.,~,o.,+ c~~e FC = Flochnn (`nr~oe I(` - 1 on~l C'.nnnirlarnhnn anrl F IRR = 1lnrfprl fif~4o f:nria EXATR~I' "C" w f lattylmunillawslm~mlrecords ret City Counal Meeting 12-9-97 Santa Monica, California RESOLUTfON NUMBER 922~CCS) (City Council Series} A RESO~UTION OF THE CITY COUNCIL OF THE CITY OF SANTA MONiCA APPROVING RECORDS RETENTION SCHEDULES FOR THE CITY ATTORNEY'S ~FFICE, THE PERSONNEL DEPARTMENT, THE FfRE DEPARTMENT AND THE TRANSPORTATION DEPARTMENT WHEREAS, Cal~fomia Government Cade Secti~ns 34090 and follow~ng and other provisions of law set fort~ certain legal requirements regard~ng the retent~on of certain murncipal records, and WHEREAS, the adaption and implementation of records retention schedules for the various offices and Depa~tments of the C~ty af Santa Monica is necessary to ensure the orderly, efficient and econamic conduct of the public's business, a~d WHEREAS, tF~e City Clerk's Office ~as mventor~ed the records presently maintamed by the City At~omey's Office and the Personnel, Frre and Transportation Departments, has determined which af those recflrds are vital, which shou~d be preser~ed and which should be discarded, and what the retent~on schedufe should be ~ar those records, and WHEREAS, the ~ropased retention schedules were reviewed by the Department Heads invalved, #he CEty Attorney, and the City Clerk, ~ b NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA MONIGA DOES RESOLVE AS FO~LOWS SECTION 1 The records retentian schedules for tl~e City Attorney's Office, the Personnel Department, the Fire Department, and the Transpartation Department, which are attached hereto as ExhibEts "A" through "D," respect~~ely, are hereby approved and adopteci SECTION 2 The City Clerk shall cert~fy to the adoption of this Resolution, anc! thenceforth and thereafter the same shall be in full force and effect APPROVED AS TO ~ORM ~ MARSHA J~I ES MOUTR~E Caty Attorney i Adopted and appro~ed this 9th af December, 1997 /- Robert Holbrook, Mayor I, Mana M Stewart, C~ty Clerk of the City of Santa Monica, do h~reby certify that the faregoing ResolutEOn 9221 (CC5} was duly adopted at a meeting of the City Council held on the 9th of December, 1997 by the following vote Ayes Cou~c~lmembers Genser, Ebner, Feinstein, Greenberg, Holbroak, O'Connor, Rosenstein Noes Councalmembers None Abstam Councilmembers None Absent CoUncilmembers None ATTEST ~ }, ~~ ~ Maria M Stewart, C~ty C~erk EXHIBIT "A" Records Retention Schedule The Ci#y Attorney's Office City of Santa Monica 29-Ocf-97 DeptlDir- Series ~itle Drig, Vita! In pff~G~ I~ Total Sto_ rape Ret, Legal,_Citation City Attorr~ey - Admin 8udget, Final No No ~ R CGC34090/ADM C~ty Aitorney - Admm 8udget, Working Papers Yes Yes R R CGC3409~/ADM C~ty Attarney - Admm Chronolag~cal F~les No No R R CGC34090/ADM City Attorney - Admin dpinion Files Yes Yes ~ I CGC34a90/ADM C~ly Attorney - Admin personnel Files I~o No q~T + 2Y AC7 + 2Y CGC34Q9Q/ADM City Attorney - Adm~n Subjeci Ftles, Bob Myers No No C+ 2y C+ 2Y CGC340901ADM City Aitorney - Admin 5ub~ect Fdes, Mar~sha Moutrie No No R R CGC340901ADM Caly Attorney - Admin Time Cards No No ~+ Zy gY C+ 10Y CGC34090/ADM C~ty Attorney - Admin Time Sheeis, Attarneys Yes !Vo C+10Y C+ 10Y CGC34090/ADM City Attorney - Admm Word Processing Tape Backup No No R R CGC34090/ADM City Attorney - Civil Lit Calendar, Court Yes No C+ zY C+ 2Y CGC3409D Cdy Attorney - C~~d Lit Case Cards Yes No PERM PERM CGC340901ADM Retention Codes AA = ARe- Audd, ACT = Whde Active., ADM =_Adminlstrative Declslon C= Current, E_= White Emplayed, I= Indeflrnte, PERM = ~ ~ ~-_.... ._ ~ Permanent, R= Reference, $= 11nb1 5unersecled U= As long as the document is useful, Y=. Years, AG DP,_= Attorney_General_Qpinion5, CfR = Code of -- ., ... Federal Re9ulations CGC = Califorrna Goyemment Code, EC =, ElecUon Codes,.I.C - tegal Consideration and USC = Unded State Cade ---' -- ~ D~t1Div Series„Title Oriq, Vital lo pff~G~ In Storaqe Total Ret. Leqal Citation City Attorney - Civ~l l.it Case Cards No No ~+ zY C+ 2Y CGC34090 Crty Aitorney - Civil Lit Chronological Fiies ~!o No C+ 2Y C+ 2Y CGC34090 City Attorney - Civil Lit ~ivil Litigation ~i~es Yes No ACT 1flY ACT + 1Q CGC34a901A[]M City Attorney - Civil Lit Lrtfgation Files, Pre Yes No C+ 2Y C+ 2Y GGC34090 City Attorney - Civil L~t Message service receipts Yes No C+ 2Y C+ 2Y CGC34Q90 City Attorney - C~vil Lit 4pen and Clased Monthly Reports Yes No R R CGC34Q90/ADM City Attarney - Gi~il L~t Policies & Procedures Yes No ACT 10Y ACT + 10 CGC34090/LC City Attarney - Civil Lit Request for Warrant No No C+ 2Y C+ 2Y CGC34090 City Aitorney - Ciwl Lit Request for Warrant Report Yes No R R CGC340901ADM Ciky Aikorney - Ci~i! Lit Research FrFes No No R R CGC34Q901ADM City Aitorney - Ci~d Lii Sma~l Cla~ms Fdes Yes No qC~ 1UY ACT + 10 CGC3a090/ADM CFty Attorney - Cnnl ~it Siatement Surnmanzir~g Monthly Bii! Yes No ~ R CGC340901ADM City Attorney - Civil Ld Structure Settlement Agreement Yes Na AC7' 10Y ACT + 1 Q CGC34Q90/AbM C~ty AHorney - Ciad Lit Subpoena Yes No ~+ 2Y C+ 2Y CGC34490 City Attorney - Cwil Lit Vendors Fdes No No C+ 2Y C+ 2Y CGC34090 Retention Codes , AA = After Audd, ACT = Whde Active, ApM = Admirnstrative Decision, C= Current, E,=, Whde Employed, I= I~definite, PERNi = 2 Permanent,, R.=.Re(erence, S= UntIl,Superseded, U= As lo~ as the document is useful, Y= Year_s,, AG OP = Attorn~ Generaf_O~mions, CFR = Code of Federal Regulatians, CGC = California Governmer-t Code, EC = Electian Codes, LC = Lega! Consideration and 115C = United State Code Deptlpiv 5eries Title Ofjg• Vi#al fn pff1Ge ln Storaqe Total Ret. Le~al Citatifln C~ty Attorney - Cnm~nai Appeals Log Book Yes No R R CGC34Q90 City Attorney - Crimmal Bench Warrani Yes No ACT 10Y ACT + 10 CGC34090/ADM City Aikorney - Criminal BrieF Banks No No ~ ~ CGC34090/ADM C~ty Attorney - Crim~na! Busmess L~cense Yes No ACT ~ OY AGT + 10 CGC34Q90/ADM CEty Attorney - Cnminal Cal Dl~f Reporis Yes No R R CGC340901ADM CGty Attorney - CnminaE Chronological F'des No No ~+ 2Y C+ 2Y CGC34090 City Aikorney - Crimma! Crtations Yes No qCT 10Y ACT + 10 CGC34~901ADM C~ty Aitorney - Criminal Criminal Case Fde Yes No ACT 10Y ACT + 1~ CGC3409~IADM Crty Attorney - Crimmal Crimmal Prosecutor Contraf IVa No ~ R CGC34090/ADM Crty Attorney - Crimmal Demand for Trial No No C+ 2Y C+ 2Y CGC34090 City Attorney - Cnmmal Domestic Violence Case Fde Yes No q~T 15Y ACT + 15 CGC34090/ADM Crty Aitorney - Cnmma! DRS Service Case Fde Yes No ACT ACT CGC34090lADM C~ty Attorney - Crimmal En~ironmental Codes & Regs Yes No R R CGC34090/ADM City Aitorney - Crimmal In~esi~galion Fdes Yes No ACT 10Y ACT + 10 CGC34090/ADM City Attorney - Crimmal In~oices, Vendors No No C+ 2Y C+ 2Y CGC3409Q Retent~on Codes AA = After Audd, ACT = While Achve, ADM = Admmistrativ_e Qecision, C= Currerd,_ ~= While Employed,.l =. Indeflnite, PERM = 3 Permanenl, R= Reterence 5= Untd 5u~erseded, U= As lo~n as the documerit ~s useful, Y ~ Years, AG OP = Attorney General Opinio, ns CFR. = Code of Federal Regulations, CGC = Cal~fornia Government Code, EC = Election Codes, LC = Legal Consideration and USC = Unitad State Code De~?tlDiv Ser~es,Title Ori .~9~ Vital ~_ ~~ Office In Tota~ Storaqe Ret. Legal,Cit,ation City Aitorney - Criminal ~ury Instructio~s No No R R CGC340901ADM City Attorney - Criminal Memos Yes No C+ 2Y C+ 2Y CGC34090 City Atlorney - Cnminal Mot~on Log Yes No ~+ 2Y C+ 2Y CGC34090 City Attorney - Criminal Procedure Guidelines No No R R CGC340901ADM City Altarney - Cr~m~na~ Records lnventory Sheet No No PERM PERM CGC3a0901ADM City Atiorney - Criminal ReJections/~ismissals No No C+~y C+ 2Y CGC34d90 City Attorney - CriminaE Request ef Warrant No No C+ 2Y C+ 2Y CGC3409a Cdy Attorney - Cnminaf Research F~les ~p No R R CGC34090 Cdy Atiorney - Cnminal Restitut~on Fdes Yes No ACT 10Y ACT + 18 CGC3409Q/ADM C~iy Attorney - Crimmal Special Pro~ect Fdes No IVo C+ 2Y C+ ZY CGC34090 C~ty Attorney - Crirx~mal Tnal by Declaration No Na C+ 2y C+ 2Y CGC34090 C~ty Attomey - Muni Law Administrative Hearing - Cancelied Yes Na qCT 10Y ACT + 10 CGC340901ADM City Attomey - Muni Law Appeals Frles Yes No AC7 ~ ~Y ACT + 10 CDC3409~IADM City Aliorney - Mun~ Law AppointmenUOfTice Conference Boak No No R R CGC340901ADM City Aliorney - Mun~ Law Attorney Servfce Receipts Yes No C+ 2Y C+ 2Y CGC34090 Retenhan Codes AA ~ After Audd ACT = Whlle Activ_e1 AdM = Admmistrative._DecEsion, C= Current, E= Whde Employed, I= Indefinrte, PERM_= Q . . , .. __._ _ _.... .. _.1_ Perman@nt~,R, = Referen,ce, 5,.= Until.Superseded, U= As long as.the document is useTul,, Y= YearyAG. OP = Attorney.Generat apinions, CFFt = Cade oi Federaf Regulatians,.CGC_= California GovernmeM Code~ EC =__Election Codes, LC = Legal Cansideration and USC = Unded 5tate Code. De UDiv Series Title Ori~• Vital In pff~~~ In 5toras~e Total Ret. Legal Citation C~ly Attomey - Murn Law Bankruptcy Case Fde Yes No AGT 10Y ACT + 10 CGC34090/ADM Cily Attorney - Murn Law Calendar af Appointmenis Yes No C+ 2Y C+~Y CGC3409Q C~ty Attorney - Muni Law Caiendar, CouR Yes No C+ 2Y C+ 2Y CGC34090 Crty Attorney - Mun~ Law Chronological Fdes fVo No C+ 2Y C+ 2Y CGC34490 City Attorney - Murn Law Clesing Memos IVo No C+ 2Y C+ 2Y CGC34090 City Atlorney - Muni Law Complaints, Consumers Ye5 No C+ 2Y C+ 2Y CGC34Q90 C~ty Attorney - Murn Law Campla~nts, Fair Housing Yes No ~+ 2Y C+ 2Y CGC34090 Cdy AtEorney - Murn Law ~omplamts, Smokmg Yes No C+ 2Y C+ Zy CGC34090 Crty Atkorney - Muni Law Complaints, Tenani Harassmeni Yes No ~+ ZY C+ 2Y CGC34090 Crty Attorney - Murn Law Comphance Rev~ew, Health Clubs No No ~+ Zy C+ 2Y CGC34094 City Aklorney - Muni Law Consumers Brochures No No U U CGC34090/ADM Cdy Attorney - Murn Law Gonfracl, Draft Yes No g S ADM Crty Attamey - Muni Law Contracts Na No R R CGC34090/ADM Crty Attorney - Murn Law FEMA Case Files No No C+ 2Y C+ 2Y CGC34909 7 City Attomey - Murn Law Hearing ~xaminer CaSe F~Ee Yes No ACY 5Y ACT + 5Y CGC34090/ADM R_etent~on Codes AA = ARer Aud~t, ACT = Whde ActNe, A~M = Adm~rnstratNe, Deasian, C,=_ Current, ~= While ~mployed, 1=lndefirntea PERM = 5 Permanent,,,R. =_Reference, S= tJrrtd.Superseded, U_= As lang as the document is usefut, Y_= Years, AG OP = Attarney General Dpinrons, CFR = Code oi . . Federal Re~ulaUons, CGC„=.California Gavernment Code~ EC = Election Codes, LC = Legal Cansideration and USC = United Siate.Code_ Dept/Div Series Title Or~g• V~tal ~n pff~~ In 5to_ raae Total Ret. ~egal Citation C+ty Attomey - Muni Law Litigation Case F~les Yes No ACT 10Y ACT + 10 CGC3~409~IAQM Crty Attomey - Me~n~ ~aw Marling Lisi Yes No C+ 2Y C+ 2Y CGC34090 C~ty Aliorney - Murn Law M~R~ Case F~le No No C~+ 2Y C+ 2Y CGC34090 City Attorney - Muni Law Nwsance AbatemeM Bnard Notices No No C+ 2Y C+ 2Y CGC3a090 Ctty Atto~r~ey - M~n~ ~aw p~-~pnnel He~nng Case Fil~ Yes Na qG~ 10Y ACT + 1 Q CGC3409Q/ADM C~ty Attorney - Muni Law Polic~es & Procedures Yes fVo ACT 10Y ACT + 1~ CGC34090/LC City Attorney - Mum Law Pro~ect Files - Aliorneys Yes No R R CGC340901ADM Crty Atto~rrey - M~n~ ~aw Public Records Request Yes No C+ 2Y C+ 2Y CGC3409U Ciiy Atiorney - Mun~ L.aw ~eq~est ior Release of City lmpound No No ACT 2Y ACT + 2Y CGC340901ADM City Attomey - Muni Law Request for Warrant No No C+ 2Y C+ 2Y CGC34090 Crty Attorrtey - Mun~ ~aw Research F~les No Na R R CGC34Q90/ADM Ctty Aitorney - Muni Law Restoraiian No No C+ 2Y C+ 2Y CGC34090 C~fy Atiomey - Muni Law 5ub~ect Fi1es Yes No ~+ 2Y C+ 2Y CGC34090 City Attorney - Murt~ Law ~ubpoena Lag ~aok Yes No C+ 2y C+ 2Y CGC34090 City Attorney - Mun4 Law Vendor Files No No ~+~Y C+ 2Y CGC3409~ ReteMion.Codes AA = ARer AudR. ACT = Whde ActNe, AQM =. Admmistratrye Deasion C= Current, E= While Emolayed,, I= Indefirnte, PERlJI = Permanent ,R = Reference,.8 = U~+I_5uperseded, U= As ion9 as the document.is,useful, Y= Years, AG,OP = Attorney_General Opmions, CFR = Code ol Federal_Regulatians, CGC = Californla Gayemment Cade.,.EC = Efec6on Cades, LC = Legal Gonsideration and USC = Unrked State Cade DeptlD~~ !n In Tatal Series Title Orig• Vita~ p{~ice Stora~e Ret. Leas~ Citation Approvals: 7--/~~~ ~ Resalution No. 1~~ `~ ~_ ~~ C~, r~,, ~ 1! g Date: ~~'~~' r 1 1 ~--... .- ~-~~-~7 Retentian Codes AA = After Audit, ACT = Whkle Act~ve ADM,= Admi-nstratNe Decision, C= Current, E= Whiie Employed, I= Indeflnite, PERM = .. . . . Permanent, R=_Rcference, 5.,= Until_Superseded, U= As long as the document.is usetul, Y= Years, AG OP = Attomev General Oplnlons, CFR = Cade of Federal ftes~ulations CGC = Califarnia Government Code, EC =,.~1ect~cn Codes, LC = Legal„ Cansidcration and USC = Unded State_Code --- ~- --~ ---- .....,... .. ._._.. .., , ... . „ , .. EXHIBIT "B" Records Reten#ion Schedule Personnel Department City of Santa Monica zs-o~r-s~ !n ~n Tota! Senes T~tle Ori . Vita! p{{~Ce Storage Ret. Leqa~ Citat~on Ad~ert~sement Yes Na C+ 2Y C+ 2Y CGC34090 A~rmaiive Aci~an Report No No AC'T ACT CGC340901ADM Application File Yes No ACT + 5Y ACT + SY CGC3409U/ADM Assessmeni Cenier Exam Materia~ Yes No C+ 2Y C~ ZY CGC34a90 Benefit F~les No No ACT &Y AC7 + 6Y CGC340901ADM Budget Worksheets Yes Y~s C+ 2Y C+~y CGC340901ADM Bureau of NatFOnal Affairs Yes , No R R CGC3409d1ADM Check Register {DCAP) Yes No C &Y C+ 6Y CGC34090/ADM Chranoiogical Files Yes No C+ 2Y G+ 2Y CGC34090 Classificatian 8~ Compensation Yes No SY 5Y 10Y CGC34U90/ADM Comp Ciky I~format~on Yes No C+ 2Y C~ 2Y CGG34090 Contract Insurance No No ACT 6Y AC7 + B Z9CFR2610 1~ Rete~tion Codes AA = After Aud~t, ACT = Whde Activ_e, ADM =, Admin~stratNe pecision, C= Current, E= While Em~ed~ I. ~,Indefinite, PERM = Permane~t, R= Referer~ce S= Unh! 5uperseded, U= As long as the decument.ls usel~l, Y= Years, RG OP = Attorney Ger~eral Qpkti}cns, CFR = Code of . Federal Regulations, CGG = Califomia Gavernment Code EO = Eleclion Codes, LC = Legal,Consideration and USC.=_Un~ted State Code ~ Series T~tle Orig. V~ta! In Office ~~ Storage Tota! Ret. Lega~ -Citatian Cantract Procedures No No AG'T 10Y AC7 + 1p CGC34090/ADM Deferred Compensation Correspondence Nn No PERM PERM CGC34090/ADM Deferred Compensation Fde No Yes P~RM PERM CGC340901ADM Disabd~ty Retirement Fdes Yes Yes PERM PERM CGC34090/ADM Drug Policy Yes No ACT + 10Y ACT + 10 CGC34090/ADM Drug Testing "DOT" Yes No ACT + 5Y ACT + 5Y CGC34U90/ADM DruglAlcohol Training No Na ACT + SY ACT + SY CGC340901ADM EEO Reporling Yes No 6Y fiY CGC34Q901ADM ~ligibdity List Yes No ACT + 2Y 3Y ACT + 5Y CGC340901ADM Eligibddy Lisl, Expired Na No C+ 2Y 3Y C+ 5Y CGC34090 Employes Handbooks Yes No AC'~ + 10Y ACT + 1 Q CGC340901ADM Emplayee Status No No R R CGC340901ADM Exam H~story F~les Yes No ACT + 2Y 3Y ACT + SY CGC340901ADM Examination Materials Fde Yes Na C+ 2Y 3Y C+ 5Y CGC34Q90 Retention Codes,_AA = ARer Audit, ACT = Whde AcUve ApM = Administrative decislo1 C=_Current, E,,,= Whde Employeda I= Indefinite, PERM = -- ---~~- --~~-- Permanent, R= Reference, _5.=. Untd.Superseded, U= As lon~ as the document is uselul, Y= Years,,AG OP = ABorn~ General Opinlans, CFR = Code of FedEral. Res~ulat~qns CGC - Califgrnla Government_Code, EC = Elechon Codes, LC = tegal Considerataan and USC = unded 5tate oode 2 5eries title Orig Vital In O_ffice ~n Stora~e Total Ret. Les~al Citatian Fire Fighters Incenti~e Bonus Yes No E+ 2Y E+ 2Y CGC340901ADM Grievances/Compiaints Yes Na C+ 2Y 3Y C+ SY CGC34090 Hazard Material Training Yes Na 30Y 30Y 29CFR191~ 2~ Immigration & Naiurahzatron Service (1-9 form) Yes No E 3Y ~+ 3Y CGC340901ADM Insurartce Claims IssueslComplamts No No C+ 2Y C+ 2Y CGC34090 Insurance Reports Newsletter No No ACT + 1aY ACT + 1U CGC3409d1A~M Job Analysis Yes No R R CGC34090 Job Bulletin Yes No ACT + 10Y ACT + 10 CGC340901ADM Medical Evaluatio~ Yes No ACT 30Y ACT + 30 CGC34090 Med~cal Standard Reports Yes No R R CGC34Q9QIADM Memorandum of Underslanding No Yes 5Y 5Y 10Y CGC340901ADM Microfilm Logs Yes No PERM PERM GGC34090/ADM NegotiaUon Fdes Yes Yes 2Y SY 10Y CGC3~409Q/ADM PERS Procedures Na No R R CGC34090/ADM Relention.Codes AA_= After, Aud¢a ACT = V4hde Actfv_e~A~M = Admirnstrative Decisfan, C=_Current . E.= While ~mployed, I= Indpfln~te, PERM = Permanent, R_= Reference, S= Unhl $uperseded, t! = As lon,g as fhe_dacument is useful, Y= Years, AG„QP = Attomey General Oplnlons, CFR = Code of Federal ReguEa4a~s, CGC = Caldornla Goyernment Code EC = Election Codes, lC = Le~al Cansideratlon and USC = Unded 5tate Code 3 „ , ,_1._._ .. In ~~ Total 5eries Title ~rig• Vital Office Storage Ret. Le~gal Citatior~ Perso~ne~ Board Packei Yes No 5Y 5Y CGC34090/A~M Personnel Board Conv~ctions Yes No ~ERM PERM CGC3~40901ADM Personnel Soard Minutes Yes No F'ERM PERM CGC3409D/ADM Persannel Files, As needed Yes No ~ BY ~+ BY CGC34090/ADM Personnel Fdes, #~erm Yes Yes ~ 6Y ~+ gY CGC34090/ADM Personnel Hearings No No E+ 5Y E+ 5Y CGC34090/ADM Policy Memas Yes No P~RM PERM CGC34090/A~M Posrtion Descnptron Yes No AC~' SY ACT + 5Y CGG34090/ADM Procedural Manual No No ACT 10Y ACT + 1 p GCG34090/ADM Pragram Procedures No No R R CGC34U9U/ADM Pulmonary ~~nctian Test Yes No E 30Y E+ 30Y CGC34090/ADM Purchase Orders Na No C+ 2Y C+ 2Y CGC34090 Recards Ir~verttary ~~st Yes Na P~RM PERN! CGC34090/ADM Request for Certification Yes No 5Y 5Y CGC340901ADM Retenpon, Codes._AA = ARer Audk _ACT= While Active,. ADM.-_Adminlstrative DeclslonyC = Current, _E = While Employed, I=, IndeTinde, PERM = Permanent, Ft = Reference S ~ntd Superseded, tl_,= Rs Fong as the documen~ ~s usefui, Y= Years, ,4G OP. = Attome~eneraf C1~~nlans,. C.FR = Code af .. . . Fcderal.Regulat~ons CGC___ Callfomia,_Gov_ernment Code,,EC -- Election Codes, LC = Legal Consideration and USC = Unded State Code Series Title Orica• VMtal ~~ Office In Storage Total Ret. Legal Citatian Request far Warrant No No C+ ZY C+ 2Y CGC34090 Research Fdes Yes No C+ 2Y C* 2Y CGC34Q901ApM Research Matenals Yes No R R CGC3409o1ADM Resolui~ons No No R R CGC34Q90ApM Salary Schedule Yes No PERM PERM CGC34090/ADM ServFCe Awards Yes No F'Ef~M PERM CGC340901ADM Sick Lea~e Buy Back Yes No C+ 4Y C+ 4Y CGC340901ADM Special Pro~ect C~cumstar~ce No No C+ 2Y C+ 2Y CGC34090 Staf[ Reports No No C+ 2Y C+ 2Y CGC34090 fiermmated As Needed Employee Yes No E 6Y ~+ 6Y CGC3409QIADM Termmated Files Yes No ~ 6Y E+ 6Y CGC3409U/ADM Time Cards No No C+ 2Y 8Y C+ 1 pY CGC34U901ApM Tramjng Manuals No No R R CGC34a90/ADM Trairnng Program Yes No C+ 2Y C+ 2Y CGC34090 Retenfion Codes A,A = ARer Audit, ACT = Wh~le ActNe, ADM = Administrative_Decision, C= CurreM E= Whde EmQfoyed I= Indefrnte~PEl2M = Permanent, R= Reference, S= Until Superseded~ U= As lon~ as the documenl ~s useful, Y.= Years, AG OP = Attorney Generaf Opunons, CFR = Code of Federai Regulaiions, CGC = Cahforrna Govemment Cade, EC = Election Codes, LC = Legal Conslderation and USC = Unit_ed 5tate Code 5 ~n In Total Series Title Orip, Vitai Office Storaae Ret. ~epal Citation Tuition Reimbursement Yes Na 5Y 5Y CGC34090/ADM Unemployment Appeals Na No C+ 3Y C+ 3Y CGC340901ADM Unemployment Cla~ms No iVo C+ 2Y C+ 2Y CGG34090 UnemplQyment Reparts No No C+ 2Y C+ 2Y CGC34Q90 Word Pracessrng Tape No No C+ 2Y C+ 2Y CGC34090 Approvals: _. f ~ De artment Head: Date: 3 Resalution Na. ~~'~ "~ ~ ~~~W ~~' ~' ~ ~~ c,~ r C~ty Clerk:,~ Date:_ iaEiwLS~ _ Date: ~ ~1' Citv Attorne~: , 14~~.~~ ~.G~}?~;;c,. ,Ck~ fZ.,t-~ Date: ~c~ ``~ j) _Retention_Codes AA = After Aud~t, ACT = Wh~1e Active, ADM = Admin~strative ~ecision, ,C = Current, ~= Whde Emplayed, I..= Indefinite~ PERM = Permanent, R=,_Reference 5..= Untfl Superseded, U= As Iong as the document Es useful, Y= Years, AG OP. = Aftorney General_Opinions, CFR=Code of Federal Regulatrons, CGC = Caiifornia Government Code EC =. Election Codes, LC = l.egal Consideratwn and,_U3C = Unrted State Code 6 EXHIBIT "C" Records Retention Schedule Fire Department City o~ Santa Monica 2~-o~r-s~ QeptlDiv Series Title Or~ Vital In p~i~~ In Stora~e Total_ Ret. Leqal Citatian F~re - Adm~n Administrative Files No No U U ADM Fire - Admm Budget Workmg Papers Yes No C+ 2Y C+ 2Y CGC34090 Fire - Admin Complaint/Prarse Files No No C+ 3Y C+ 3Y CGC34090/A~M Fire - Admm Department Manuals No Na S S CGC34090/ADM Fire - Admin Deposd Shps No No C+ 2Y C+ 2Y CGC34Q9Q Fire - Admin Equtpment Fdes No No C+ 2Y C+ 2Y CGC3409U F~re - Admir~ F-7 Yes No C+ 2Y 3Y C+ 5Y CGC34Q90/ADM ' Fire - Admin FD3 Yes No C+ 1Y 4Y C+ 5Y CGC3409QIADM F~re - Adm~n Personnel F~les No No E E CGC3~D901ApM Fire - Adm~n Petty Cash Na No C+ 2Y C+ 2Y CGC34Q90 Fire - Admm Policy and Procedures No No C+ 10Y C+ 10Y CGC3409U/ADM i3etention Codes AA = After Audit, ACT = Whde Actnre, ApM = Admirnstratrve ~ecislon, C= Current, E= Whue Employed,,l_= indefni~LV = l.ife ot Vehicle -- P,ERM = Permanent, R= Re(erence, S= Untd ,Superseded, U_= As lang as the document is usefJl Y= Years, AG OP = Attamey,General Opinions, CFR =,Code of Federa, E Regulations, CGC = Califarrna_ Government Cade, EC = Election Codes, LC = Legal ConsideratEVn, U,FC.= Uniform FIre.Code and USO = Unded State ~ Code De~D%v ~ Fire - Admin I Serres Title Purchase Order Or~g• No V~tal No In Offic~ C+ 2Y In Storage Total Ret. C+ 2Y Legal, Citation CGC34090 ~ ~ Fire - Admm I Purchase Order, Bfanket No No C+ 2Y C+ 21( CGC34U90 ~' Fire - Admin Purchase Order, Quick Na No C~ 2Y C+ 2Y CGC34~90 F~re - Ac#min Request for Warranis No No C+ 2Y C+ 2Y CGG34080 Fire - Admin Shop FFles Yes No LV LV CGC34U9Q/A~M Fire - Admrn Staff Repa~ts Na No R R ADM F~re - Adm~n Supplemental Time Sheeis No No C+ 2Y SY C+ 10Y CGC3409DIADM Fire - Admin T~me Cards No No C+ 2Y 8Y C+ 10Y CGC340901ADM Fire - Admin Vendor Fdes No No U U A~M Fire - Adm~n Warehouse Inventary Requis~tians No No 1Y 1Y ADM Fire - Prevention Compfamt Fdes Yes No C+ 3Y C+ 3Y CGC34090/A~M Fire - Pre~eniion ^ispatch Log Yes No C+ 5Y SY C+ ~pY CGC34090/ADM F~re - Pre~ent~an Hazarclous Mater~al D~sclosures Yes No 30Y 30Y 29CFR1910 120 Fire - Pre~ent~on Inspection Nok~ces Yes No 3Y 3Y UFCf43 3 4 Relention Codes AA = A1ler_Audit, ACT = Whde ActNe,,AQM = Admmislrative Deais~on C= Currenl, E= V4hde Employed, I= 4ndefinde, LV = Life, of Vehicle ...._..-----~-~--~--. _ . ~ PERM .~.Permanent, R=.,Reference 5„_-..Untd 5uperseded. U= As long as the document is useful, Y, = Years, AG OP = Atiorney Genera~ Opinions, CFR = Code of Federal Regulations, CGC = Cal~tarn+a Goverr~ment Code, EC = Flectaan Codes, !C =_Lega! Gansiderat~on, UFC = Urniorm F~re_Gode ancf USC = L~nlfed 8tate ~ Code ~ Dept1l]iv Series Title ~rg. Vital In Office In Tot~l Storaqe Ret. ~es~af Citation Fire - Prevention Inspectian Reports Yes No 3Y 3Y UFC103 3 4 ~ire - Pre~entian In~estigalion Reports Yes No C+ xY C+ 2Y CGC3409a Fire - Prevention Paramedic Reports Yes No I I CGC340801ADM Fire - Preventinn Permds Yes No C+ 3Y C+ 3Y CGC340901ADM F+re - Preven4ian Rescue Repor#s No No 1 I CGC34090/ADM Fire - Support Services Audio Tapes Yes No 3 Mos 3 Mos ADM Fire - Suppo~t Services CFIRS {e~ectronic data) Yes No I I CGG340901ADM Fire - Support Services ~ispatcher's Dady Records Yes No 2Y SY 7Y ADM Fire - Support Ser~ices Dispatcher's Dady Sign-In Log Yes No R R CGC34090/ADM F~re - Support Servrces Telephone Re~mbursements Yes No C+ 2Y C+ 2Y CGC340S0 Frre - SuppressFOn Buildmg Fdes Yes No PERM PERM CGC34090/ADM Fire - Sup~ression Dady Journals Yes Yes PERM PERM CGC340901ADM Fire - Suppression Hazardous Maierial Response Yes No C+ 30Y ~~ 30Y 29CFR19f~ f20 Fire - Suppressian Inspeciron Report Yes No 3Y 3Y U~C103 3 4 Rekention Codes_AA = ARer Audd, ACT,= Whrle Actrve, ADM = Administratnre. Deciswn, C= Current _E = Whde Employed, I= lndefin~te, LV = l.de of Veh~cle_ P.ERM =,Permanent, R=,ReFerence. S= Ut~til Superseded, U= As long_as the dacumeM is useful, Y= Years AG Op = Attorney.General Opinions, CFR = Code ~ ---~ ~-•- of Federal R_ egulations, CGC = Cahfomia Go~ernment Code, EC = Election, _Code1 LC = Leqal Consideration, UFC = tlnifarm Fire Cade and USC = Un~ted State_ 3 Code ~ In in Totai D~e tlDiv 3eries Title Orig, Vital pff~~e gtora~e Re#. Lega1 C~tatian F~re - Trainmg Tra~ning Reparts Yes Na I I CGC34090/ADM ,, Approvals: (J , ~ ~ lb ~ ~2 Resalution No. ~ "~ r~~ j " ~. ~' - _, !°~ r c~ t ti-~ ~ate ~ 1"~ I t~ J~~ l ; ~ r~.c.~~,f ~~t~c~' Date: I/ 1. f> `i ~ ~ ~:~:.r,~:. ~.. ~. ~ b ~~ ~ Retention Godes AA = ARer Aud3t, ACT = Whde Active, A~M = Adm~nistrative Decision, C= Current, E= Whde Employed, 1,= Indefin~te, LV = Lde of Vehicle PERM ~ Pe~manent, R= Reference, S= Untd Superseded, U= As long as the document is useful, Y= Years, AG,O„P,= Attarney.General OGmlons _CFR = Cade _of Federal Re~ulatrons, CGC = Cahfornia„Government Code, EC„= Electlon Codes, l,C = l.egai Consideratipn, UFC = llniform Fire Code and U5C = Urnted 5tate. ~ Code EXHIBIT "D" Records Retention Schedule Transportation Department City of Santa Mon~ca 03-Nov-97 In fn Totaf DeptlDiv 5enes,Title Oria• Vital Office Starage Retention Le2al Citation Transportat~an - Adm 510 Reports Na No C+ 3Y C+ 3Y CGC34090/ADM Transportat~or~ - Adm A/R lnvoices Ye5 No C+ 4y C+ 4Y CGG34090/ADM TranSporiation - Adrn Accident Reports No No C+ 6Y C+ 6Y CGC34094/ADM Transportatian - Adm Administraiive Fdes No NQ ~ L1 ADM Transportation - Adm Annua! Invenlory Audit Yes Na Aq + 2Y AA + 2Y CGC34090/ADM T~ansportation - Adm Audd Working Papers Yes No C+ 4Y 3Y C+ 7Y ADM TransportatEan - Adm Aud~t, Independent No No p,A + 3Y AA + 3Y CGC34D901A~M Trar~sportation - Adm Awards Qrograms Yes No PERM PERM CGC3409~IADM Transpartat~on - Adm ~udget Workrng Papers Yes Yes C+ 2Y C t 2Y CGC34090 ~ransportat~on - Adm Bus Routes, Other Ciiies No Na R R ADM TransportatFOn - Adm Capital i~roject Yes No ~+ Zy C+ 2Y CGC3409U Transportation - Adm Certificate of lnsurance Yes No ACT + 2Y ACT + 2Y CGC3409a/ADM Retenl~on Codes AA = ARer Audit, ACT = Whlle Actnre, ADl1A = Admmistrative _Decision, C= Current, E= Whde_,Employed~l, = Indeflnite, LA = life of Asset, LV ~ LiTe of, Vehicle, PERM.= PermaneM, R= Reference,_S = Untfl $uperseded U, = As long as the documerrt is uaeful~ WP,= Work~ng.pa~ers _Y ~_Years,_AG OP = Attorney General Opinions. CFR ~Code of Federal Ragulatrons, CGC =,Califamia Governmer~ Code, ~G = Eiection Code6_, LC = legal Considerat~on, and.USC.= United States Code ~ " . . .. i In In Total DepUOiv Series,_Title pria• Vital Office Sto_ ra~e Retention Lega1 Citation T~ansportaii~n - Adm CHP SPAB ~lo No 4Y 4Y CGC34090/ADM transpo~tat~on - A~m Chronalogical No No ~+ zY C+ 2Y CGC34090 ?'ranspo~tation - Adm Complaints No Na C+ qy C+ 4Y CGC340901ADM Transportat~on - Adm Complamis, ADA Yes No C+ 4Y C+ 4Y CGC34090/ADM Transportat~on - Adm Complaants, Phone Calls Yes~ No G+ 4Y C+ 4Y CGC34090/ADM Transportatiqn - Adm Contract5 ~o No R R CGC34090 TransportatFan - Adm Cos! AAocat~vn Ptan No No C+ 2Y C+ 2Y CGC3409Q Transporialian - Adm Dady Dri~er Log Yes No 4Y 4Y CGC340901ADM Transportat~an - Adm Department Meeimg Mmuies Yes No l~ U CGC34a90/ADM Transportalian - Adm Qispatch Sheets Yes No C+~Y 4Y C+ 5Y US 26CFR31 6001 1 Transportation - Adm Qri~er ~ayroll Timesheet No No C+ 4Y C+ 4Y CGC3409~/ADM Transportat~on - Adm Drug Testing, Negative Yes No C+ 2Y C+ 2Y CGC34090 Transportation - Adm Drug Tesfmg, Pasiti~e Yes No C+~Y C+ 5Y 49CFR653 31 Transpor~ation - Adm ~mp~oyment Pay Ad~ustments Na No 2Y 2Y AbM Transportat~on - Adm ~xcurs~an Reconc~lEat~on Na No C C ADM Retent~on Codes_AA = ARer Audit, ACT = While Acpve, ADM, = Admmislrative qeciaian C= Current E= While Emplayed, I= Indefirnte, LA = Lde af Asset, ~V= Lrfe oi Vehi~le, PERM = Permaner~t,,R = Reference S= Untd Suoerseded, U= As long as the document is. usefu .. . .---~ . ~-- l, WP = VVark _ . ing,Papers. Y= Years, AG OP = Attorney General Opmions, CFR = Code of Federal Regulat~ons, CGC,= California Gavernment Code, EC = Election Codes, LC = " . . .. Legal Consideration, and USC = Un~ted 5tate& Cade . _ . __ 2 ~e~tlDi~ SerFes ~Ftle Org Vital In Office In. Stora,_ge Total Retention Legal Citation Transpartation - Adm Farebox Carcls IVo No C+ 2Y C~+ 2Y CGC34090 Transportation - Adm Finar~aal Reports Yes No C+ 4Y C+ 4Y CGC34090/ADM Trar~sporiat~on - Adm FLSA Report No NQ R R CGC340901ADM Transpartat~on - Adm Fuel Reports Na No C+ 3Y 27Y C+ 30 29CFR1910 12U ?'ransporiation - Adm Funding/Audit Seciion 15 Report Yes No C+ 1Y 3Y C+ 4Y CGC34090/AbM ?'ransporiation - Adm Grants, Capital No No LA LA CGC34090/ADM Transporlat~on - Adm Grants, Operatronal No No C+ 1Y 3Y C+ 4Y CGC34090/Al7M Transporlat~on - Adm Inter~al Audd Yes Na qA + 2Y qq + 2Y CGC34090/ADM Transportation - Adm invoices No No C+ 2Y C+ 2Y CGC34D90 Transportation - Adm Jour~al Entries Yes No C+ 1Y C+ 1Y ADM Transporlation - Adm Journal Vouchers Yes No C+ 1 Y C+ 1 Y ADM Transportatfon - Adrn LACMTA Granis No No ACT + 3Y ACT + 3Y CGC34090/ADM Transportatran - Adm LACMTA Granis Yes No R R CGC34090/ADM Transportation - Adm Memorandum of lJndersianding No No R R ADM ~ransporiat~on - Adm Mileage Repo~ts yes No C+ 3Y C+ 3Y CGC340901ADM Retentlon Codeg AA. =,After Audd, ACt = Whde Actrve A~M = Admqnstratnre deolsion, C= Current, E= Whi1e Emnlaved _I = IndeflnRe LA = Llfe of Asset, LV = Life .. , -~---~....._,._ _a - .,.---~---..._.._ ._ of Veh~cle~PER,M =, Permanent, ft= Reference~$ =,Ur~t~l 5uper~eded, U= As long as the document Ms useTul, WP = Working Papers,_Y = Years,,_AG OP = Attorney General OplnionslCFR_._Code.o! Federaf Regulal~ons, CGC =,_California Governmenl,Cade, EC =._Election Codes, LC = legal Consideratlon, and U3C.,= United_ S, tates, Code 3 In In Total DeptlDi~ Series.7itle pri9• Vital Office Sta_ ra~e Retention Lecaal Citation ~ransportatior~ - Adm Monthly Excursion Report Yes Na C+ 1Y C+ 1Y AQM Transportaiion - Adm Monkhly Qperation Summary (WP~ No No C+ 2Y C+ 2Y CGC34090 Transportation - Adm Monthiy Operatian Summary Report No No R R CGC34090 Transportation - Adm MTA Laan Agreement No Na qCT + 2Y ACT ~ 2Y CGG34a9Q/ADM Transporiatian - Adrr~ NTD Reports (SCC 1 S) No No C+~y C+ 5Y CG34090/ADM Transporiation - Adm NTD Surveys No No C~ 3Y C+ 3Y CGC3409Q/ADM Trarrspartat~ar~ - Adm Operatian Bulle#rns Na No ~~ 2y C+ 2Y CGC3409Q Transportation - Adm Passenger Count (WP) Yes No ~+ Zy G+ 2Y CGC34090 Transportatfon - Adm past Employee Info Cards Yes No ~ I ADM TranspoRation - Adm payrail Closmg Repart No No C+ ZY C+ 2Y CGC3409{1 Transpartat~an - Adm Personnel ~des No No ~ E CGC3409U/ADM 7ransporiat~on - Adm f'olice Repori No No C+ 2Y C+ 2Y CGC34090 Transportation - Adm Policies and Procedures Yes No ~+ ~py ~+ ~Qy CGC340901ADM Transporiaiion - Rdm Purehase Orders No Na C+ 1Y ~ f fY Ap~ ~ransporiation - Adm Request for Warranis Yes No C+ 1Y C+ 1Y ADM Retent~on Codes AA = ARer A udd, ACT = Whde Act~ve, ADM = Admmistratnre Decrsion, C= Current E= Whde Employed, I= IndeBnite, LA = Lifa o( Asset, LV = Lite ~-~---- o} Ve,hlcle, PERM =..Permanent, R. x_Reterence, 5= Unttl Sunerseded. U_As long as. the documerit is useful ~ - , WP = Working Papers,..Y = Years~G OP = AHamey . General..OQmion_~R_=,Code af Federal Regulat~ons, CGC = Caldomia Government Codc, EC = Election,Codes, LC = Legaf Cansideration, and USC = Urnted -" 5tates Code - --. , . ,. Q DeptlDi_v Series_Title pria• Vital In Office !n Total 5tora~e Retentian Legal Citation Transporlation - Adm Rev Recon Y~s No C+ 1Y C+ 1Y ADM TransportaE~on - Adm Re~enue 8 Operating Reparts No No C+ 4Y C+ 4Y CGC34090/ADM Transportation - Adm Re~enue Operata~g Summaries No No C+ 2Y C+ 2Y CGC34090 TranspoRation - Adm Revenue/Opt ~xpenses Yes No R R CGC340901ADM Transportat~on - Adm Re~enuelOpt Expenses Na No C+ 2y C+ 2Y CGC34090 Transportation - Adm Roadcafls No No C+ 3Y C+ 3Y CGC34090/ADM Transportat~on - Adm Sche~ule of Runs No No R R CGC344801ADM Transportation - Adm Shake Up (Pro~ect Fdes) Yes No C+ 2Y C+ 2Y CGC340S0lADM Transportat~on - Adm Sick Lea~e ~requsncy No No C+ 3Y C+ 3Y CGC34090/ADM Transportation - Adm S~ck Repart Yes No C+ 3Y C+ 3Y CGC3~090/ADM Transportal~on - Adm SPAB Bulletin No No 4Y 4Y CGC3409U/ADM Transportation - Adm SF'AB Charter Count (WP) Yes No 4Y 4Y CGC34090/ADM Transportatian - Adm SPAB Charter RepoR Yes No 4Y 4Y CGC3~4090/ADM Transportation - Adm BPAB Safety Class Sign in Sheei No No 4Y 4Y CGC34~901ADM Transportation - Adm Summary oF Dady Passenger Counk No No C+ 2Y C+ 2Y CGC34090 Retentian Codes_AA = After Aud~t,,ACT = Whde Aclrve, ADM = Admirnstratrve,.Decision, C,_. Current, E= Whde. Emgloyed, I= IndeMile, LA = Lite,of Asset, LV_= L~fe_ oF Vehicle, PERM ,=Permanent, R= Reference, 5.= Untrl, 5uperseded, U= As IonQ as. the document, Is useful, WP.= Wto.rkm~PaQers,, Y, = Years, AG OP = Attqrney__ General apirn,ons, CFR = Code of Federa_I R~ulations, CGC = Callfarnla Goyemment_Code, EC = Election Codes,, LC = Legal Cons~deral~o1and USC = United 8tates Cade ~ DeptlDiv Series Title pri~• Vital In Office In Total Storage Retention Le~al Citatron Transportation - Adm Summary of Delinquent Accounts No Nfl C+ 1Y C+ 1Y CGC34090/ADM Trar~sportation - Adm Supplemsnkal Time Sheet No No ~+ 21( C+ 2Y CGC34090 Transportation - Adm Time Card Worksheet No No C+ 2Y C+ 2Y CGC34090 'Transportation - Adm Time Cards Yes No C+ 2Y 8Y C+ 10Y CGC34090/ADM Transporiation - Adm Travef Expense Reports No No C+~Y C+ 2Y CGC34090 Transportat~on - Adm Vacation B~ds Yes No C+ 2Y C+ 2Y CGC34090 Transportation - Adm Worker's Comp Forms ~Io No G+ 2Y C+ 2Y CGC34090 Transpo~tation - Mainl AdmirnstraUve Files Na No U ~J ADM Transpo~tat~on - Maint Air Quality I~otrces No No C+ 3Y 27Y C+ 30Y 29C~R1910 12~ Transportat~on - Maint A~r Toxics Reports No IVo C+ 3Y 27Y C+ 30Y 29CFR1910 ~20 Transportalion - Mamt Bus F~le Yes No ~~ + 3y LV + 3Y CGC34080/ADM Transportalion - Maint Consumption, Oil & Mdeage No No C+ 2Y C+ 2Y CGC34090 TransportaE~on - Mamt Fuel Recorc! Sheet No No 2 Y 2Y ADM Transportation - Marnt Parts Order Sheet Yes No 3 mos 3 mos ADM Transporlation - Mamt Purchase Orders Na Na C+ 2Y C+ 2Y CGC34Q9Q Retentlon Codes AA,= After Audd, AC~. = Whde ActNe~ ADM = Administratrye Decision C= Current,, E= Whde Employed, I=.,IndeMde, LA = Lde ot Asset, LV = Life o( Vehicle, PERM = Permaner~t,,_R = Relerence, S= Untif 3uperseded, U= As lons7 as the document Is. useful1WP = UVorklns~ Papers, Y..= Yeara AG OP_-,Attorney General, Qpin~ans, CFR = Code of Federal Regulations~ CGC = Califomia Govemment Code, EC = Election Codes, ~C = Legal Conslderation, and U5C = Unded 5taies Code. 6 DeptlDiv Series Title Or~ Vital Ir~ (n Office St_ arage Total Retention Le al Citation Transporlation - Mamt Re~eclion Leiters Yes Na C+ 2Y C+ 2Y CGC34090 TransportatEOn - Mainl Service Vehicle F~le Yes No LV 3Y LV + 3Y CGG340901ADM Transporiat~on - Maint T~me Cards No No C+ 2Y 8Y C+ 1~Y CGG340901ADM Transporlation - Maint Train~ng Materials No No S S CGC34090 Transportalran - TDD Administraii~e Fflss No No IJ U A~M Transportat~on - TD^ Agenda, Outside Organizations No Na R R CGC340901ADM Transportation - T~D Call for Pro~ec# No No C+ 2Y G+ 2Y CGC34D90 Transportat~an - TDD Chronalagica~ Fdes No No C+ 2Y C+ 2Y CGC3409Q Transporiation - TDD Contract No No R R CGC340901ADM Transportat+on - TD^ Federal Register No No R Ft ADM Transportatxon -'fDD Ferguson Group Reports Na No R R ADM ~ransportation - TDD LACM~A (LAGTC/SCRT~) No No R R CGC34090/ADM Transportat~on - tOD I.ACMTA Funding No No R R GGC34a9d/ADM 7ransporlation - TDD Leg~slatfon, Proposed No No ACT + 2Y ACT + 2Y CGC34U9U/ADM Transportation - TDD Legislation, Statue No No R R CGC340901ADM Retenkion Codea AA = ARer Audit, ACT =,While Active, AQM = Administratrve Deasion, C= Current,. E= WhNe EmploXed. I= Indefin~t_e, LA = Life,of Asset, LV.= Lrie of Vehlcle, P@RM,=__P_ermanent, R= Reference, 8= Until 5uperseded, U= As long a_s the documerit Is..useful,llVP.= INorking Papers,,Y F YeayG OP = Attarney General Qpqnons, CFi2 = Code of FederaE Regulatians, CGC = Cali(omia Governmerit Code, EC = Election Codes, ~C =_Legal Consideralfon, and USC = Un~ted States Code 7 DeptlDi~ Series Title pr.'ig,_ Vital In In Office Storaae Total Retention ~egal Citation Transpartation - TDD Markeimg Research No No R R None Transpflr~atron -~DD M~n~tes, l.ACMTA No No R R CGC3409~IADM Transporlation - TDD Newsfetier Yes No PERM PERM CGC34Q90/ADM Transportation - TOD Promotion Matenals Yes Nfl I I CGC34Q90/ADM Transportatron - TDD Request for Praposal, Accepted Yes No C+ 5Y C+ 5Y CGC3409afADM Transporlat~on - TDD Request for Prapasal, Non submitted Yes No 1Y 1Y ADM TransportatFOn - TDD Request for Proposal, Re~ected Yes Na C+ 2Y C+ 2Y CGC34090 ~ransportatron - TDD Resolut~an, C~ty of Santa Mon~ca ~!o No R R CGC34090/ADM Transparlation - TDD Ridecheck A~alysis No No 1flY 1aY CGC340901AaM Transporlation - TDD SCAG No No R R CGC340901ADM ~ransportation -'fDD Serv~ce lmpravement Plar~ (WP} Y~s No 3Y 3Y ADM Transportation - TDQ Shor# Range Trans~t Plan (WP) Yes No 3Y 3Y CGC34Q901ADM T'ransportat~on - TDb Staff RepoRs No No R R CGC34Q~0lADM Transportat~an -~DD Streetscape Plans No Na R R CGC3~4Q9~/ADM Transportatran - TDD tjde Shuttle Yes I~o ACT + 2Y ACT + 2Y CGC34Q90/ADM ReEention Codes. AA =,ARer Audd, ACT .=Whde Actrve, ADM = Adminlstraiive bec~sion, C= Currenta E_=Whrle Emplayed, I= indetnde, LA = tife of Asset, E~V = Life oi_Vehicle, PEF2M = Permanent. R=_Reference, 5= Untd_Superseded, U=.As fon as the document fs useful, VIIP =1Norkin~a~ers1_Y_= Years, AG OP = ARorney.. General QDinions, CFR = Code af Federal Regulations. CGC = Califomfa Government Code~EC~_ Electfon Codes, LC = LegaF Censideration, and U_SC = Umted 5tates Code 8 In In 7'otal DeptlDiv Series 7itle p_ r~~. Vital Office 5tor~ aetent~an Le~al Citatian ~ranspartat~on - TDD ~se Para 7ransit Yes No ACT + 2Y AGT + 2Y CGC34090/ADM G i i ~-~ ., f Resofutian No. ~ ~~~ ~'~ ~ ~ ~ - ~~- ~ ~ ~~;~~~j c~_ Date• _.~ Retention Codes qq = A6er Audd, ACT = Whde Active, A~M = Administrative t]easion, C= Current, E= While Employed, I=. Ende~nlle,,LA =_ Life of Asset~ LV. = Life. _ . . _._ .. af Vehicle, PERM =._,PermanenE, R= Reference, S- Untd 5uperseded, U= As long as the dacument is us~tul, WP = Work~n~Pa~ers,_Y. .Years AG OP = Atlorney,,,. General dpinions. CFR =,Cade of Federal Re~uiations, CGC,,= Califomia Gavernment Code, EC = Election Codes, LC = Legal CansEderation, and USC = United States Code ~~ ~ ~~ ~ - 9 Add to 9-B t219197 ~. ~~~ }~~~~ ~ ~ ~~ ~i~~~~i~1S ~~~~$~~~~~~~ ~'~~1~~~~~ ~~~ ~-~ -r ~tvS:'.~ll.1,if 16`,f rnp c,r~~ cre~~•.~ rts~~~ ~i .t~~!'t4~iY~' !, iJi3 3. ,~~ -~ , ~~'~ ~ ~~~~' s ~~ - r4_ • tFi~ir~ C~an ~+s~ ot ~ec~,r[35 tiieEl aie a~Ve~ ~ ae ;e~se~ a ui{~c~ i.ers3~t~~Ri sFi~~~:~ a~~:~r~~ism~3t~E1 ~~~ ~ 3ii~ ~li €?~~~~ t~~i~~ ~:;:~:;~~~y i~~ ~~ti~r,tiaPt..r ° ~nrerec~r~iS~J~P~Cr~a~~~flflil~2~it#E vv:i~ij!i ~I~iiii i~1~ ui3.ii~i~1l~~a ~~t~~il~ei :i3~alid`:~ -ii r~~~ z:i:l. +3~i~ yi[id ',:lt~~ =~x'l~ii€i Fi:~ 5. ~` ~`~~ C~rr~n# fl~p~~at~nr~ -~ -~' - ~4i~ltEi~ls c~~res are sent oi~-s~te "~ _ - ~o ehECks o~ ~hat [lepartment 3~as the y off~ctst cn~~ - E~tantl~ie - ~ii+lyets ann statf re~ar~s ~ Lft# ~;I~t~( ~ ~)t~iES ltl~i~ t1a11~ ~l3~ al![r~;t~l ~il;~~# ~ '~5~~ ~~ _ ~~ .# _ Rccurds are a nuuwnce, Recards are a y bo[e Recorcis, Re~~ards Even•whem - in ihc hal}s aod on lhe fioor Recards in tde closet, Rer.ords in the Aisle Now wha hs~s tde records' VVhere d~d she store that file' Z. 4. ~" - , sx~ i~hat ~~ R~cOr~s ~Ita~ag~ment? ~.~ ~ y~~~he s~siemat~c vuntroi of all recorded ~~ i int~rmatw~i t~iat ai~ ur~ar~fiat~nn needs ~o d~ u~~s~€~ess ~ ~ 6. _~-' ~ ~~ Pl~~s~~ t s~ I~ ~ :_- a • Phas"~I ' _: ° -1n~~ntarv Pracess "~ _ - Ass~gn Uahies ' ~ ~r~s~ r~ - liie~[I#y Ultal ~~~.:3ed, - Nx~i~~~:[ii~ll f ~' ~ 7. ,~ Recar~s 1~~~ ~;i~l~ }e-~j~ C0. 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