CITY OF OAKLAND RECORDS RETENTION SCHEDULE Records Retention Schedule Effective Date Definitions Agency Any agency, department, division, unit, board, commission, or other group within the City of Oakland; any individual or organization authorized by the City of Oakland to conduct business with the City, perform duties for the City, or provide services for the City. Record All recorded information, regardless of form or characteristics, made or received and maintained by an Agency or function of the City in pursuance of its legal obligations or in the transaction of its “official” business. Non-Records * Chronological files are incoming or outgoing documents filed in date order. * Reference materials include books, magazines, newspapers, and newsletters. * Subject files are a collection of documents on a specific topic or issue for reference only. * Duplicates of the original, drafts where a final version exists, internal memoranda intended to be of a temporary nature, and published documents that are not created by this organization. Note: This policy defines non-records for records retention purposes only. A non-record may still be a record for purposes of the Public Records Act, litigation, discovery, subpoena, or government investigation purposes and, therefore, disclosable. Administrative Records Common to All Agencies Record Official Recordkeeper Accounting Financial Services Bank Statements Financial Services; individual agencies where applicable Budget City Manager Cash Receipts Financial Services; individual agencies where applicable Contracts & Agreements City Clerk; individual agencies working with contractors, consultants, or businesses providing services or goods Expense Reports Financial Services Grants Financial Services [original only]; individual agencies where applicable Inventories Financial Services; individual agencies where applicable Loans Financial Services [original only]; individual agencies where applicable Payroll Personnel Services; Financial Services Personnel Personnel Services Policies & Procedures Maintained by each agency where applicable Purchasing & Supplies Purchasing except for items less than $5000 The Records Retention Schedule is effective on the date shown on the attached schedule. All City agencies must comply with the retention periods as shown. The attached retention schedule addresses all records maintained by the City of Oakland, regardless of form or characteristics. Records in electronic form will be retained as decribed in this schedule.. The following records are considered nonrecords for records retention purposes. These records are maintained by users to assist in performance of their duties for the City and are not considered agency business records. Non-records should not be retained any longer than they are useful. The following records are maintained by each agency as working files and are not considered the official record for the City of Oakland, unless otherwise noted. Each record type includes all records related to the particular function or category. 8/1/2012 Office of the City Clerk, Records Management Division Page 1 of 40
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CITY OF OAKLANDRECORDS RETENTION SCHEDULE
Records Retention Schedule Effective Date
Definitions
Agency Any agency, department, division, unit, board, commission, or other group within the City of Oakland; any individual or organization authorized by the City of Oakland to conduct business with the City, perform duties for the City, or provide services for the City.
Record All recorded information, regardless of form or characteristics, made or received and maintained by an Agency or function of the City in pursuance of its legal obligations or in the transaction of its “official” business.
Non-Records
* Chronological files are incoming or outgoing documents filed in date order.* Reference materials include books, magazines, newspapers, and newsletters.* Subject files are a collection of documents on a specific topic or issue for reference only.
* Duplicates of the original, drafts where a final version exists, internal memoranda intended to be of a temporary nature, and published documents that are not created by this organization.
Note: This policy defines non-records for records retention purposes only. A non-record may still be a record for purposes of the Public Records Act, litigation, discovery, subpoena, or government investigation purposes and, therefore, disclosable.
Administrative Records Common to All Agencies
Record Official Recordkeeper
Accounting Financial ServicesBank Statements Financial Services; individual agencies where applicableBudget City ManagerCash Receipts Financial Services; individual agencies where applicableContracts & Agreements
City Clerk; individual agencies working with contractors, consultants, or businesses providing services or goods
The Records Retention Schedule is effective on the date shown on the attached schedule. All City agencies must comply with the retention periods as shown.
The attached retention schedule addresses all records maintained by the City of Oakland, regardless of form or characteristics. Records in electronic form will be retained as decribed in this schedule..
The following records are considered nonrecords for records retention purposes. These records are maintained by users to assist in performance of their duties for the City and are not considered agency business records. Non-records should not be retained any longer than they are useful.
The following records are maintained by each agency as working files and are not considered the official record for the City of Oakland, unless otherwise noted. Each record type includes all records related to the particular function or category.
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CITY OF OAKLANDRECORDS RETENTION SCHEDULE
Strategic Planning, Goals & Objectives
Maintained by each agency
Time Sheets Maintained by each agency for its employeesTraining Personnel; individual agencies where applicable
Retention Schedule Field Descriptions
Functions/File CategoriesNumber A unique number assigned to the record type to identify the record on all storage transmittals and box labels, and to be
referenced on all destruction order resolutions by the City Council. If a unique number has not been assigned, the records will not be accepted at the commercial offsite storage facility.
Description Each file category listed would include all records related to the specific function and are subject to the same retention. For example, Payroll would include all documents, reports, and forms related to the payroll function.
Retention Trigger
Retention Period
Agency This is the time period established by the Agency for operations purposes.Legal This is the time period required by federal, state, or local government law.Audit This is the time period established by the City Auditor for potential or required audits.
DATE+5 The date of a particular event or occurrence, i.e., the date an inspection is done, the date a report is issued, are both events. The retention of these records is 5 years from the date of the event.
TERM As soon as an employee terminates, all unofficial personnel records are destroyed, unless otherwise noted, as the Personnel agency is the official recordkeeper for these records.
Disposition
Citation
With the exception of IND, PERM, and PERP, if no number follows the retention trigger key, the records are to be destroyed within one year. For example:
The retention period shown is the total retention period; records are destroyed at the end of this retention period unless destruction has been suspended due to legal or audit considerations. Records subject to a pending request by a Public Records Act request, litigation discovery, subpoena, or government investigation may not be destroyed without specific authorization by the City Attorney’s office.Records that may have historical or archival value to the City at the end of the retention period are designated HIST on the schedule and should be reviewed by the agency prior to destruction.
Most citations are from State of California, Local Government Records Management Guidelines, Attachment C;http://www.ss.ca.gov/archives/locgov/localgovrm3.pdf
The citation shown is the justification for the Legal retention period shown on the schedule. The citation key legend precedes the schedule.
The retention trigger is the activity that must occur to start or “trigger” the retention period. The retention trigger key legend precedes the schedule.
There are three types of retention periods for each record, as follows:
The number shown after the retention trigger key is the number of years the record is to be retained after the retention period is triggered. For example:
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CITY OF OAKLANDRECORDS RETENTION SCHEDULE
Retention Trigger KeyBOND When bond maturesBUD Budget cycleCAL Calendar yearCLS Current legislative sessionCOMP When complete, closed, ended, expired, resolved, or other similarDATE Date of an event or occurrenceDEC Active until no beneficiary or active until individual affected is deceasedDISC Date of dischargeELIM Until eliminatedEQUIP Life of the equipmentFAC Life of the facilityFY Fiscal yearGRANT End of grantIND Indefinite; review retention period every 10 years; if retention period is changed, all records eligible under the new
retention period can be scheduled for destructionLOAN End of loanPERM Permanent; not to be scheduled for destructionPERP PerpetualSFY State of California fiscal yearSOL Statute of LimitationsSY School yearSUP Current until supersededTERM Active until employee terminated, until a participant in a City program is terminated, or any other relationship with the
City is terminated.TERMS Per terms of the grant or loan.
Citation Key
CPSR California Playground Safety RegulationGC Government Code, State of CaliforniaOMC Municipal Code, City of OaklandPC Penal Code, State of CaliforniaSOS Secretary of State, State of California, Local Government Records Management Guidelines, Attachment CUFC Uniform Fire CodeUS CRF United States Code of Federal Regulations
Laws Regarding Records That Apply to Local Governments
Ralph M. Brown Act, GC 54950 et seqCalifornia Public Records Act, GC 6250-6277Oakland Sunshine Ordinance, OMC Title 2, Chapter 2.20
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7300 Grant Accounting7301 CDBG-Fiscal Monitoring GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS7302 Cash Receipts GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS7303 CDBG-Annual Grantee Performance Report GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS7304 CDBG-Federal Cash Transaction Report GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS7305 Comprehensive Annual Financial Report [CFRA] IND IND IND IND IND GC 34090(a)7306 Grant Contracts IND IND IND IND IND GC 34090(a)7307 JTPA-Fiscal Monitoring GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS7308 Single Audit Report IND IND IND IND IND GC 34090(a)7309 WIA-Fiscal Monitoring GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS7310 WIA-Schedule of Budget, Drawdowns, GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS
Expenditures & Available Balance7311 WtW-Schedule of Budget, Drawdowns, GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS
Expenditures & Available Balance
Citation
FUNCTION/FILE CATEGORIES RETENTION PERIOD
FINANCE: SERIES 7000
Retention Trigger
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8100 Communications8101 Major Incidents DATE DATE+10 DATE+2 DATE+5 HIST GC 34090(d)
8200 Emergency Medical Services [EMS]8201 Emergency Response Medical [911] Records DATE DATE+7 DATE+2 DATE+5 DATE+7 GC 34090(d)8202 EMS Certification TERM TERM+7 TERM+2 TERM+5 TERM+7 GC 34090(d)8203 EMS Training TERM TERM+7 TERM+2 TERM+5 TERM+7 GC 34090(d)8204 Medical Records Requests DATE DATE+5 DATE+2 DATE+5 DATE+5 GC 34090(d)8205 OSHA EMS TERM TERM+5 TERM+30 TERM+5 TERM+30 US 29 CFR 1910.10208206 Paramedics TERM TERM+7 TERM+2 TERM+5 TERM+7 GC 34090(d)
8300 Field Operations8301 Company Journal CAL IND CAL+2 CAL+5 HIST GC 34090(d)8302 Company Record Book CAL IND CAL+2 CAL+5 HIST GC 34090(d)
8500 Office of Emergency Services [OES]8501 California Accidental Release Program Reports PERM PERM PERM PERM PERM US 40 CFR 122.218502 Emergency Plans IND IND IND IND IND GC 34090(a)
11100 Aquatics11101 Alameda County Facility Permits & Inspections DATE DATE+3 DATE+2 DATE+5 DATE+5 GC 34090(d)11102 Daily Pool Logs CAL CAL+2 CAL+2 CAL+5 CAL+5 GC 34090(d)11103 Program Information Forms CAL CAL+4 CAL+2 CAL+5 CAL+5 GC 34090(d)11104 Red Cross Course Records CAL CAL+3 CAL+2 CAL+5 CAL+5 GC 34090(d)
11200 Boating11201 American Sailing Association Certifications CAL CAL+5 CAL+2 CAL+5 CAL+5 GC 34090(d)11202 Grants GRANT GRANT+5 TERMS GRANT+5 TERMS TERMS11203 US Coast Guard Auxiliary Inspections DATE DATE+1 DATE+2 DATE+5 DATE+5 GC 34090(d)11204 Vessel Charter Agreements CAL CAL+1 CAL+2 CAL+5 CAL+5 GC 34090(d)11205 Vessel Title & DMV Registrations EQUIP EQUIP+5 EQUIP+2 EQUIP+5 EQUIP+5 GC 34090(d)
11300 Capital Improvements11301 AsBuilts-Parks, Public Facilities & Landscaping PERM PERM PERM PERM PERM GC34090(a)
11400 Feather River Camp11401 Health Histories-Parental Signatures of Minors FY FY+3 FY+2 FY+5 FY+5 GC 34090(d)11402 Health Services-Water Sampling Records FY FY+3 FY+2 FY+5 FY+5 GC 34090(d)11403 Nurses Daily Medical Log FY FY+3 FY+2 FY+5 FY+5 GC 34090(d)
11500 Park Maintenance11501 Park & Sport Field Projects COMP COMP+1 COMP+2 COMP+5 COMP+5 GC 34090(d)11502 Park Supervisors Daily Work Records CAL CAL+1 CAL+2 CAL+5 CAL+5 GC 34090(d)11503 Project Site Plans & Maps DATE DATE+20 DATE+2 DATE+5 DATE+20 GC 34090(d)
11700 Reservations11701 Building Use Permits DATE DATE+5 DATE+2 DATE+5 DATE+5 GC 34090(d)11702 Facility Checklists DATE DATE+2 DATE+2 DATE+5 DATE+5 GC 34090(d)11703 Park Use Permits DATE DATE+5 DATE+2 DATE+5 DATE+5 GC 34090(d)11704 Restroom Checklists DATE DATE+2 DATE+2 DATE+5 DATE+5 GC 34090(d)11705 Weekly Schedules DATE DATE+3 DATE+2 DATE+5 DATE+5 GC 34090(d)
11800 Sports Facilities11801 Field Reservations CAL CAL+2 CAL+2 CAL+5 CAL+5 GC 34090(d)11802 Game Schedules-Youth, Middle School & Adult CAL CAL+2 CAL+2 CAL+5 CAL+5 GC 34090(d)
11900 Tree Maintenance11901 Illegal Tree Removal COMP COMP+1 COMP+2 COMP+5 COMP+5 GC 34090(d)11902 Street Tree Reports/Filed Orders IND IND IND IND IND GC 34090(a)11903 Tree Removal Permits COMP COMP+1 COMP+2 COMP+5 COMP+5 GC 34090(d)11904 Tree Supervisors Daily Work Records CAL CAL+1 CAL+2 CAL+5 CAL+5 GC 34090(d)
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12100 Benefits12101 Health & Welfare-Active Employees RET RET RET RET --- GC 34090(d)12102 Health & Welfare-Retired Employees DEC DEC+7 DEC+2 DEC+5 DEC+7 GC 34090(d)12103 Heath & Welfare-Terminated Employees TERM TERM+7 TERM+2 TERM+5 TERM+7 GC 34090(d)12104 Retirement-OMERS DEC DEC+7 DEC+2 DEC+5 DEC+7 GC 34090(d)12105 Retirement-PERS-Active Employees RET RET RET RET --- GC 34090(d)12106 Retirement-PERS-Retired Employees DEC DEC+7 DEC+2 DEC+5 DEC+7 GC 34090(d)12107 Retirement-PERS-Terminated Employees TERM TERM+7 TERM+2 TERM+5 TERM+7 GC 34090(d)12108 Retirement-Police & Fire DEC DEC+7 DEC+2 DEC+5 DEC+7 GC 34090(d)
13100 Animal Control13101 Animal Control Records DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)13102 Bite Reports DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)13103 Dangerous & Vicious Dogs DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)13104 Medical Records DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)13105 Pet Licenses DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)13106 Problem Pet Owners DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)
13251 Caseload DATE DATE+10 DATE+2 DATE+5 DATE+10 GC 34090(d)14252 Product Proficiency Tests DATE DATE+5 DATE+2 DATE+5 DATE+5 GC 34090(d)13253 Testimony Records COMP DATE+5 DATE+2 DATE+5 DATE+5 GC 34090(d)13254 Training TERM TERM+5 TERM+2 TERM+5 TERM+5 GC 34090(d)
Case Tracking13255 Case Control, Case Assignment, Victim Name IND IND FY+2 IND IND GC 34090(d)13256 Drug Destruction Log IND IND FY+2 IND IND GC 34090(d)13257 Lab Number Log Book IND IND FY+2 IND IND GC 34090(d)
Fingerprint Evidence13258 Ten Prints DATE DATE+20 SOL DATE+20 SOL PC 800,801,802
Citation
FUNCTION/FILE CATEGORIES RETENTION PERIOD
POLICE SERVICES: SERIES 13000
Retention Trigger
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Laboratory Reports13259 Drug Report File COMP COMP+10 COMP+2 COMP+5 COMP+10 GC 34090(d)13260 Laboratory Case File IND IND COMP+2 IND IND GC 34090(d)13261 Latent Print Service Requests IND IND FY+2 IND IND GC 34090(d)13262 Major Criminalistics LAB Case Notes IND IND COMP+2 IND IND GC 34090(d)13263 OCJP Cold Hit Program IND IND IND IND IND GC 34090(d)13264 OCJP Cold Hit Program Batch Number IND IND IND IND IND GC 34090(d)
Logs-Miscellaneous13265 Balance QA/QC Manual PERP PERP SOL PERP PERP PC 800,801,80213266 Blood Standard Typing PERP PERP SOL PERP PERP PC 800,801,80213267 Chemical Batch QC Files PERP PERP SOL PERP PERP PC 800,801,80213268 Controlled Substance Reagent Quality Control Log PERP PERP SOL PERP PERP PC 800,801,80213269 DNA Instrument Temperature & pH Meter Log PERP PERP SOL PERP PERP PC 800,801,80213270 DNA Kit Log Binder PERP PERP SOL PERP PERP PC 800,801,80213271 Drug Standard Quality Control Log PERP PERP SOL PERP PERP PC 800,801,80213272 Equipment Performance PERP PERP SOL PERP PERP PC 800,801,80213273 Hot Shaker Log PERP PERP SOL PERP PERP PC 800,801,80213274 Pipette Calibration Binder PERP PERP SOL PERP PERP PC 800,801,80213275 Serology/DNA Laboratory Clean-up Log PERP PERP SOL PERP PERP PC 800,801,80213276 Thermocycler 480 Log PERP PERP SOL PERP PERP PC 800,801,80213277 Thermometer Calibration Reports PERP PERP SOL PERP PERP PC 800,801,802
Technician Reports13278 Homicide COMP COMP+10 SOL COMP+5 SOL PC 800,801,80213279 NonHomicide COMP COMP+3 SOL COMP+5 SOL PC 800,801,802
13300 Identification13301 Applicants-Departmental CAL CAL+1 CAL+2 CAL+5 CAL+5 GC 34090(d)13302 Applicants-NonDepartmental CAL CAL+1 CAL+2 CAL+5 CAL+5 GC 34090(d)13303 Bookings-Superior Court CAL CAL+2 CAL+2 CAL+5 CAL+5 GC 34090(d)13304 Clearance Letters DATE DATE+2 CAL+2 DATE+5 CAL+5 GC 34090(d)13305 CORPUS Printouts DATE DATE+29D DATE+29D DATE+29D DATE+29D13306 Evidence Photos-Court Orders COMP COMP+2 COMP+2 COMP+5 COMP+5 GC 34090(d)13307 Evidence Photos-Solved IND IND SOL IND SOL PC 800,801,80213308 Evidence Photos-Unsolved IND IND SOL IND SOL PC 800,801,80213309 Evidence Photos-Unsolved Homicides PERM PERM PERM PERM PERM PC 799
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13311 PC 290 Registrants [Sexual Offender] DEC DEC SOL --- DEC PC 800,801,80213312 PC 457.1 Registrants [Arson] DEC DEC DEC --- DEC PC 457.113313 Photo Chemical Logs & Effluent Documentation DATE DATE+5 DATE+2 DATE+5 DATE+5 GC 34090(d)
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13700 Youth Services13701 CLASS-Felony IND IND IND IND IND WIC 826(b)13702 CLASS-Misdemeanor IND IND IND IND IND WIC 826(b)13703 Juveniles IND IND IND IND IND WIC 826(b)
ACRONYMS
OCJP Office of Criminal Justice Planning State of CaliforniaCLASS Campus Life & School Safety
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