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
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