powerpoint presentationfile.lacounty.gov/sdsinter/bos/supdocs/89010.pdf · 2016-08-21 · title:...
TRANSCRIPT
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Policy #: Title: Effective Date:
3.040
General Records Retention and Protection of Records Containing Personal and Confidential Information
Records Management and Archive of County Records
05/13/58
PURPOSE
_______________________________________________________________
Provides general guidelines to be followed by departments regarding the retention and destruction of records and specific procedures for the protection of records containing personal and confidential information. Provide departments with general records management and archiving guidelines in the creation/receipt, use, maintenance, and disposition of official County records.
REFERENCE _______________________________________________________________
May 13, 1958 Board Order, Synopsis 46
February 28, 2006 Board Order No. 23-A
May 2, 2006 Board Order No. 3
Government Code Sections 26201; 26202; 26205; 26205.1;and 12168.7
October 3, 2006 Board Order No. 16
Policy No. 6.100: Information Technology and Security
Policy No. 6.101: Use of County Information Technology and Security
Policy No. 6.106: Information Technology Physical Security
Policy No. 6.107: Information Technology Risk Assessment
May 8, 2007, Board Order No. 26
Policy No. 6.109: Security Incident Reporting
Policy No. 6.110: Protection of Information on Portable Computing Devices
Policy No. 6.111: Information Security Awareness Training
http://lacounty.info/bos/sop/supdocs/policy3.040.pdfhttp://lacounty.info/bos/sop/supdocs/23815.pdfhttp://lacounty.info/bos/sop/supdocs/25010.pdfhttp://www.leginfo.ca.gov/calaw.htmlhttp://lacounty.info/bos/sop/supdocs/27967.pdfhttp://countypolicy.co.la.ca.us/http://countypolicy.co.la.ca.us/6.101.htmhttp://countypolicy.co.la.ca.us/http://countypolicy.co.la.ca.us/http://lacounty.info/bos/sop/supdocs/31797.pdfhttp://countypolicy.co.la.ca.us/6.109.htm#TopOfPagehttp://countypolicy.co.la.ca.us/6.110.htm#TopOfPagehttp://countypolicy.co.la.ca.us/6.111.htm#TopOfPage
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Policy No. 6.112: Secure Disposition for Computing Devices
April 30, 2013; Board Order No. 71
Los Angeles County Code, Chapter 2.32 - Registrar-Recorder/County Clerk
POLICY
_______________________________________________________________
County departments are to comply with the following general guidelines on records retention and specific procedures pertaining to protection of records containing personal or confidential information pending 1) Board of Supervisors' approval of the General Retention Schedules for common administrative records, which will be applicable to all County departments; and (2) Board of Supervisors' approval of the Retention Schedule specific to the records maintained by a particular department. Thereafter, each department must follow the General Retention Schedules; its specific Retention Schedule; and any policies and procedures approved by the Board of Supervisors regarding records management practices.
Records Retention – Generally
County departments shall retain records that are useful and/or are required by law (including State or Federal law) to be filed and/or preserved. However, County departments may destroy any record, paper or document that:
1. Is more than two years old unless it is required to be held longer pursuant to State
or Federal law, County Charter or Ordinance, or Department policy;
2. Is of no further use to the department; and
3. Is not expressly required by any law (including State or Federal law) to be filed
and/or preserved.
Protection of Records Containing Personal or Confidential Information
County departments shall secure and appropriately dispose of all records, papers or documents with personal or confidential information.
Confidential information is information that is sensitive, proprietary or personal to which access must be restricted and whose unauthorized disclosure could be harmful to a person, process or to an organization.
Personal information is any information maintained by a department that identifies or describes an individual including, but not limited to, his or her name, social security number, physical description, home address, telephone number, education, financial matters, and medical or employment history.
http://countypolicy.co.la.ca.us/6.112.htmhttp://file.lacounty.gov/bos/supdocs/76520.pdfhttps://library.municode.com/HTML/16274/level3/TIT2AD_DIV2OF_CH2.32RECOCOCL.html#TIT2AD_DIV2OF_CH2.32RECOCOCL_2.32.370REMAPR
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Paper documents that contain personal or confidential information such as social security numbers, health-related information, or financial information must be properly stored and secured from view by unauthorized persons.
Secure measures must also be employed by all departments to safeguard personal or confidential data contained on all County information technology resources.
Departments must ensure that only authorized personnel may hold and have access to such information.
(See also Board of Supervisors Policies 6.100 Information Technology and Security, 6.101 Use of County Information Technology Resources, 6.106 Information Technology Physical Security, 6.107 Information Technology Risk Assessment, and 6.110 Protection of Information on Portable Computing Devices.)
Destruction of Records Containing Personal or Confidential Information:
When records containing personal or confidential information are ready for destruction, departments shall destroy the information completely to ensure that the information cannot be recognized or reconstructed. In addition, any personal or confidential data contained on computer media must be obliterated and/or made indecipherable before disposing of the tape, diskette, CD-ROM, zip disk, or other type of medium.
Each department must provide appropriate methods and equipment to routinely destroy personal or confidential information. The safeguards listed are in priority order with the most highly recommended safeguard listed first. At the minimum, one of the following safeguards must be implemented:
• Conduct due diligence and hire a document destruction contractor to dispose of material either offsite or onsite.
o Require that the disposal company be certified by a recognized trade association.
o Require and validate that the disposal company disk sanitizing software and/or equipment is approved by the United States Department of Defense.
o Review and evaluate the disposal company's information security policies and procedures.
o Review an independent audit of a disposal company's operations and/or its compliance with operations.
• Secure and utilize shredding equipment that performs cross-cut or confetti patterns.
• Secure and utilize disk sanitizing (i.e., erasing) software program approved by the United States Department of Defense.
• Secure and utilize disk erasing equipment (e.g., degausser) approved by the Department of Defense or the National Security Agency.
• Modify the information to make it unreadable, unusable or indecipherable through any means.
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(See also Board of Supervisors Policy 6.112 Secure Disposition of Computing Devices.)
Confidential Information Incident Reporting
Each department must disclose to the department's management including the Departmental Information Security Officer any actual or suspected incident in which confidential information is disclosed to, or obtained by, an unauthorized person. Notification of the security incident must be made in the most prompt and expedient manner after the incident has been discovered. In addition, any such incident must be reported to the Fraud Hotline at 800.544.6861 or the Auditor-Controller's Office of County Investigations website at www.lacountyfraud.org where protocols are in place to respond to the incident.
Within ten days, a letter notifying affected individuals of actual or suspected loss or disclosure of personal or confidential information must be sent by the impacted County department describing the types of information lost and recommended actions to be taken to mitigate the potential misuse of their information.
The Chief Information Security Officer must also be promptly informed of the security breach associated with electronic data in order to communicate with other County departments and identify appropriate measures and safeguards.
(See also Board of Supervisors Policy 6.109 Security Incident Reporting, and 6.111 Information Security Awareness Training.)
County Records Management and Archives Program The Registrar-Recorder/County Clerk’s Records Management and Archives (RMA) is responsible for developing and administering records management and archiving protocols and guidelines. The RMA shall take steps to publish and disseminate record retention schedules and other records management protocols and guidelines to assist County departments in discharging their records management and archives responsibilities. Definition of a Record A record is any information, regardless of medium, that is created, received, or maintained pursuant to law, regulation, or in the normal course of doing County business and is kept as evidence of that activity. This definition includes all records maintained in County and applicable County contractor offices, storage areas, electronic systems, and electronic storage devices. These storage devices include networked servers, mainframes, data warehouses, storage area networks, electronic data interchanges, imaging and document management systems, personal computers, laptops, internal or external hard drives, magnetic tapes, optical disks, and any other system or device used to perform County business. All records are County property regardless of how or where they are stored, and they will remain the property of the County until their eventual disposition. Employees and third-party contractors shall not donate, sell, nor take sole physical control or possession of County records produced by the County. This includes records that have already met their
http://www.lacountyfraud.org/
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retention period and are set for disposition. The following examples are not considered to be records (i.e. non-records): 1) Duplicates of an official record made solely for convenience or reference 2) Working papers, notes and drafts 3) Transitory and informal communications used to develop an official record, unless they are specifically required to be retained by the RMA, law or regulation 4) Stocks of publications and blank forms 5) Material intended solely for reference or exhibition 6) Material with no requirement for retention under the RMA Non-records have no retention period and thus may be disposed of at any time unless needed as part of a Legal/Litigation Hold. Record Retention and Disposition The Board of Supervisors has authorized the RMA to develop and administer a comprehensive records management program. As part of this program, record retention schedules and disposition guidelines have been established. Record retention schedules must be initially approved by the Board of Supervisors and may be modified periodically thereafter upon approval by the RMA pursuant to County Code Section 2.32.370(B). Record Retention There are two types of records retention schedules. Both schedules provide minimum retention periods for maintaining County records. Once a record has met its minimum retention period, the process of disposition should begin. 1) General Records Retention Schedule (GRRS) The GRRS provides retention periods for records most commonly found throughout County departments. The GRRS does not cover program specific records produced by departments. The GRRS may be modified periodically by the RMA in conjunction with the affected departments, if necessary. Any subsequent modification to the GRRS must be approved by the RMA. 2) Departmental Records Retention Schedule (DRRS) A DRRS is issued by each individual County department and sets forth retention periods for records exclusive to each department. Any modification to a DRRS must be approved by the Department Head, County Counsel, and the RMA before the revised schedule goes into effect. Electronic Records The creation and maintenance of the GRRS and a DRRS includes records generated, received, and maintained electronically on County information systems. Records maintained electronically will be reviewed periodically by departments to ensure
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compliance with retention schedules and other RMA protocols and guidelines. The retention schedules shall be used in the management and retention of email that is received, stored, or sent by County employees. Applicable email and relevant attachments, should be created, distributed, maintained, and disposed of with the same care as any other County record. Records Not Included in a Retention Schedule If a department identifies a document that may qualify as a record but is not found in the GRRS or a DRRS, it should consult with the RMA to determine whether that document type should be incorporated into the appropriate records retention schedule. Record Disposition Disposition refers to the final stage in the management of a record, where a record has met its retention period and may be destroyed. Prior to the destruction of a record, the following criteria shall be considered :
• Is the record subject to a Legal/Litigation Hold?
• Does the record have a specific administrative or fiscal function?
• Does the record have a specific historical/archival value?
Departments are to review their records periodically, including those stored with County contractors, and dispose of them in adherence to the applicable schedules provided that the record is not subject to any of the considerations stated above. Legal Hold Departments must not destroy any records where a litigation/legal hold is issued by County Counsel. All inquiries regarding legal hold policies/procedures should be directed to County Counsel. Administrative and Fiscal, Value
A department may retain a record past its minimum retention period for operational purposes where it can demonstrate the record meets an extraordinary administrative or fiscal need. Historical/Archival Value Records with archival value are to be preserved because they contain information of continuing and enduring value to the County, provide valuable research data, or document
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the history and development of the County and its departments. Archival records may be in any format and media, including paper, electronic, photographs, motion pictures film, videos, and sound recordings. Departments should appraise their records periodically, prior to destruction, to determine if the records possess any archival value that warrants permanent retention. Archival record guidelines shall be provided by the RMA. Retention of Vital Records Departments will assist the RMA in identifying Vital Records. A Vital Record is essential for the ongoing operation of county business. Vital Records are those records that contain information critical to the operation of the County and require immediate recovery and access during or immediately following a natural disaster or other event disrupting normal operations. Such records include those that contain information protecting the County’s legal/financial interests and status. Departments should identify records specifically designated as Vital Records and include them as part of each department’s disaster recovery and business continuity planning. Necessary steps should be taken to protect and safeguard those records to ensure availability. Contracted Services that Store County Records and Non-Records The County retention schedules apply to all records, regardless of medium, data and/or information that may be stored on purchased, leased, or rented electronic storage equipment and devices that are geographically located within the County, or external to the County's boundaries. Departments will include prescriptive language in dealings/agreements with contractor(s) that maintain, process, and/or store records of the County to ensure that the data and information is appropriately destroyed in accordance with the County’s record retention schedules and guidelines. Contractor(s) must dispose of non-records as instructed by each individual department. Policy Exceptions
There are no exceptions to this policy.
RESPONSIBLE DEPARTMENTS _______________________________________________________________
Registrar-Recorder/County Clerk
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Chief Executive Office Chief Information Office Auditor-Controller Office of the County Counsel Internal Services Department
DATE ISSUED/SUNSET DATE
_______________________________________________________________
Issue Date: October 15. 2014 Sunset Review Date: October 3. 2018
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Policy #: Title: Effective Date:
3.041
Protection of Records Containing Personal and Confidential Information
10/03/14
PURPOSE _______________________________________________________________
Provides general guidelines to be followed by departments regarding the protection of records containing personal and confidential information.
REFERENCE _______________________________________________________________
May 13, 1958 Board Order, Synopsis 46 February 28, 2006 Board Order No. 23-A May 2, 2006 Board Order No. 3 Government Code Section 26202 October 3, 2006 Board Order No. 16 Policy No. 6.100: Information Technology and Security Policy No. 6.101: Use of County Information Technology and Security Policy No. 6.106: Information Technology Physical Security Policy No. 6.107: Information Technology Risk Assessment May 8, 2007, Board Order No. 26 Policy No. 6.109: Security Incident Reporting Policy No. 6.110: Protection of Information on Portable Computing Devises Policy No. 6.111: Information Security Awareness Training Policy No. 6.112: Secure Disposition for Computing Devices
POLICY _______________________________________________________________
http://lacounty.info/bos/sop/supdocs/policy3.040.pdfhttp://lacounty.info/bos/sop/supdocs/23815.pdfhttp://lacounty.info/bos/sop/supdocs/25010.pdfhttp://www.leginfo.ca.gov/calaw.htmlhttp://lacounty.info/bos/sop/supdocs/27967.pdfhttp://countypolicy.co.la.ca.us/http://countypolicy.co.la.ca.us/6.101.htmhttp://countypolicy.co.la.ca.us/http://countypolicy.co.la.ca.us/http://lacounty.info/bos/sop/supdocs/31797.pdfhttp://countypolicy.co.la.ca.us/6.109.htm#TopOfPagehttp://countypolicy.co.la.ca.us/6.110.htm#TopOfPagehttp://countypolicy.co.la.ca.us/6.111.htm#TopOfPagehttp://countypolicy.co.la.ca.us/6.112.htm#TopOfPage
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County departments are to comply with the following general guidelines pertaining to protection of records containing personal or confidential information. Protection of Records Containing Personal or Confidential Information County departments shall secure and appropriately dispose of all records, papers or documents with personal or confidential information. Confidential information is information that is sensitive, proprietary or personal to which access must be restricted and whose unauthorized disclosure could be harmful to a person, process or to an organization. Personal information is any information maintained by a department that identifies or describes an individual including, but not limited to, his or her name, social security number, physical description, home address, telephone number, education, financial matters, and medical or employment history. Paper documents that contain personal or confidential information such as social security numbers, health-related information, or financial information must be properly stored and secured from view by unauthorized persons. Secure measures must also be employed by all departments to safeguard personal or confidential data contained on all County information technology resources. Departments must ensure that only authorized personnel may hold and have access to such information. (See also Board of Supervisors Policies 6.100 Information Technology and Security, 6.101 Use of County Information Technology Resources, 6.106 Information Technology Physical Security, 6.107 Information Technology Risk Assessment, and 6.110 Protection of Information on Portable Computing Devices.) Destruction of Records Containing Personal or Confidential Information: When records containing personal or confidential information are ready for destruction, departments shall destroy the information completely to ensure that the information cannot be recognized or reconstructed. In addition, any personal or confidential data contained on computer media must be obliterated and/or made indecipherable before disposing of the tape, diskette, CD-ROM, zip disk, or other type of medium. Each department must provide appropriate methods and equipment to routinely destroy personal or confidential information. The safeguards listed are in priority order with the most highly recommended safeguard listed first. At the minimum, one of the following safeguards must be implemented: Conduct due diligence and hire a document destruction contractor to dispose of
material either offsite or onsite.
o Require that the disposal company be certified by a recognized trade association.
o Require and validate that the disposal company disk sanitizing software and/or
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equipment is approved by the United States Department of Defense.
o Review and evaluate the disposal company's information security policies and procedures.
o Review an independent audit of a disposal company's operations and/or its
compliance with operations. Secure and utilize shredding equipment that performs cross-cut or confetti patterns. Secure and utilize disk sanitizing (i.e., erasing) software program approved by the
United States Department of Defense. Secure and utilize disk erasing equipment (e.g., degausser) approved by the
Department of Defense or the National Security Agency. Modify the information to make it unreadable, unusable or indecipherable through
any means.
(See also Board of Supervisors Policy 6.112 Secure Disposition of Computing Devices.) Confidential Information Incident Reporting Each department must disclose to the department's management including the Departmental Information Security Officer any actual or suspected incident in which confidential information is disclosed to, or obtained by, an unauthorized person. Notification of the security incident must be made in the most prompt and expedient manner after the incident has been discovered. In addition, any such incident must be reported to the Fraud Hotline at 800.544.6861 or the Auditor-Controller's Office of County Investigations website at www.lacountyfraud.org where protocols are in place to respond to the incident. Within ten days, a letter notifying affected individuals of actual or suspected loss or disclosure of personal or confidential information must be sent by the impacted County department describing the types of information lost and recommended actions to be taken to mitigate the potential misuse of their information. The Chief Information Security Officer must also be promptly informed of the security breach associated with electronic data in order to communicate with other County departments and identify appropriate measures and safeguards. (See also Board of Supervisors Policy 6.109 Security Incident Reporting, and 6.111 Information Security Awareness Training.) At each sunset review of this policy, the Chief Information Security Officer shall submit a summary report (e.g., number of records breached/potentially breached) of all reported County information security and privacy incidents that includes but not limited to Board of Supervisors Policy # 6.109 – Security Incident Reporting, which is associated with the unauthorized release or theft of confidential information. Policy Exceptions There are no exceptions to this policy.
http://www.lacountyfraud.org/
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RESPONSIBLE DEPARTMENT
_______________________________________________________________
Chief Information Office
DATE ISSUED/SUNSET DATE _______________________________________________________________
Issue Date: October 15, 2014 Sunset Review Date: October 3, 2018
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ATTACHMENT I LETTER TO THE BOARD 1
ATTACHMENT II RECORDS RETENTION SCHEDULES
GRRS 9 DRRS 39
ATTACHMENT III THE BOARD RESOLUTION 219
PAGE
ATTACHMENT INDEX
Los Angeles County Registrar-Recorder/County Clerk
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ATTACHMENT I LETTER TO THE BOARD
Note: The proposed draft attachment is non-operative and has not been approved by the Board of Supervisors
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October 9, 2014 The Honorable Board of Supervisors County of Los Angeles 383 Kenneth Hahn Hall of Administration 500 West Temple Street Los Angeles, California 90012 Dear Supervisors:
RECOMMENDATION TO APPROVE REVISED BOARD POLICY NO. 3.040, BOARD POLICY NO. 3.041, THE COUNTY GENERAL RECORDS RETENTION SCHEDULE, 36
DEPARTMENTAL RECORDS RETENTION SCHEDULES, AND RESOLUTION (ALL SUPERVISORIAL DISTRICTS) (4 VOTES)
SUBJECT The Los Angeles County Registrar-Recorder/County Clerk ("RR/CC") seeks approval of the County General Records Retention Schedule and 36 Departmental Records Retention Schedules in order to establish minimum retention periods for official County records. Upon approval, these schedules will serve as the record retention schedules for each County department/agency and will supersede any other retention schedule currently in use. IT IS RECOMMENDED THAT YOUR BOARD: 1. Approve revised Board Policy No. 3.040 (Attachment I) General Records Retention and
Protection of Records Containing Personal and Confidential Information by changing title to "Records Management and Archive of County Records" in order to support application of the record retention schedules.
2. Approve new Board Policy No. 3.041 (Attachment II) Protection of Records Containing
Personal and Confidential Information.
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Honorable Board of Supervisors 10/9/2014 Page 2 3. Approve the County General Records Retention Schedule ("GRRS") (Attachment III).
4. Approve the Departmental Records Retention Schedules ("DRRS") (Attachment IV) for the
following departments/agencies: Agricultural Commissioner/Weights and Measures; Alternate Public Defender; Animal Care and Control; Arts Commission; Assessor; Auditor-Controller; Beaches and Harbors; Chief Executive Office; Chief Information Office; Child Support Services; Children and Family Services; Community and Senior Services; Consumer Affairs; Medical Examiner-Coroner; County Counsel; District Attorney; Executive Office of Board of Supervisors; Fire; Health Services; Human Resources; Internal Services; Mental Health; Military and Veteran Affairs; Museum of Art; Museum of Natural History; Parks and Recreation; Probation; Public Defender; Public Health; Public Library; Public Social Services; Public Works; Regional Planning; Registrar-Recorder/County Clerk; Sheriff; and Treasurer and Tax Collector (Attachment IV).
5. Approve Resolution (Attachment V) authorizing County departments to use the County
record retention schedules and to destroy old, duplicate or reproduced records. PURPOSE/JUSTIFICATION OF RECOMMENDED ACTION: On October 3, 2006, your Board approved revised Policy No. 3.040 General Record Retention and Protection of Records Containing Personal and Confidential Information to establish guidelines for retaining records, describe personal and confidential information and steps to protect such data, and mandate safeguards for the destruction of confidential records. These record retention guidelines were intended to remain in place until your Board approved the general retention schedules for common administrative records applicable to all County departments, as well as retention schedules specific to the records maintained by individual departments. This policy will sunset on October 3, 2014. In April of 2013, Section 2.32.370 of the County Code was amended to direct the RR/CC to develop and administer a comprehensive county-wide records management program. As part of this directive, the RR/CC has consulted with County departments to develop a general as well as department specific record retention and disposition schedules for your Board's approval. Revised Board Policy No. 3.040, Records Management and Archive of County Records, sets forth these new record retention guidelines and how the retention schedules are to be used. Record Retention Schedules The GRRS relates to the retention and destruction of records that are commonly produced county-wide. In order to produce a comprehensive general schedule, the RR/CC engaged all 36 County departments for their perspective and expertise. Through a focused and deliberative process, the RR/CC considered the feedback of all departments in authoring a schedule that provides an operationally appropriate retention period for every record produced throughout the County. Assigned retention requirements were then further confirmed through
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Honorable Board of Supervisors 10/9/2014 Page 3 close consultation with County Counsel for compliance with all federal, state and local regulations. The RR/CC has also coordinated the review and update of all Departmental Records Retention Schedules (DRRS). These schedules are meant to provide the authority for retention and disposition of records unique to each department. Each schedule has been reviewed and approved by the corresponding Department Head and County Counsel. These retention schedules are applicable to all records regardless of the medium in which they are created or stored. Any future amendments to these schedules must be approved by the Registrar-Recorder/County Clerk under the authority provided for in Title 2, Administration, Section 2.32.370 of the County Code. Recommended Updates to County Policy 3.040 To support the application of these retention schedules, the RR/CC recommends updates to County Policy 3.040. Additional materials are currently in development to further support and educate County departments in efficient records management and archiving practices. All proposed changes are the culmination of a multi-departmental collaboration with the purpose of enhancing the overall effectiveness of Board Policy No. 3.040. These discussions have focused on providing more detailed content and guidance for the effective management of County records and archives. Also, these discussions have focused on the bifurcation of the existing policy to separate the content related to County records management and archive guidance from the content related to the protection of records containing personal and confidential information. This bifurcation has resulted in the recommended creation of Board Policy No. 3.041 Protection of Records Containing Personal and Confidential Information. Implementation of Strategic Plan Goals This request supports the County Strategic Plan Goal No. 1: Operational Effectiveness/Fiscal Sustainability, “Maximize the effectiveness of processes, structure, operations and strong fiscal management to support timely delivery of customer-oriented and efficient public services.” Upon approval of these schedules and policy revisions, departments will be required to follow a universal standard in the discharge of their records management and archives responsibilities, including the retention and disposition of records.
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Honorable Board of Supervisors 10/9/2014 Page 4 FISCAL IMPACT/FINANCING: Financial relief is expected as routine disposal of obsolete records reduces the storage and space demands required under inconsistent, or non-existent, disposition practices. Furthermore, judicious management of electronic records will also reduce the costs associated with unnecessary or excessive electronic storage and maintenance. FACTS AND PROVISIONS/LEGAL REQUIREMENTS: Pursuant to Government Code section 26202, the Board of Supervisors may, by four-fifths vote, authorize the destruction of County records where those records have been maintained for the requisite period of time. Upon your Board's approval of the attached resolution, the record retention schedules will serve as guidelines for departments to retain their respective records and then destroy them at the appropriate time. Additionally, approval of the resolution will also authorize departments, where appropriate and permissible, to reproduce (e.g., digitize) their records, for County or public use, with any medium that is a trusted system which accurately reproduces the original; does not permit additions, deletions, or changes to the original, and complies with Government Code section 12168.7. Properly reproduced records may be destroyed. In October 2014, a Records and Trusted Systems committee was formed and is comprised of key departments to publish standards and establish a compliance process to certify trusted systems throughout the County. These standards will guide individual departments who desire to reproduce their records through a trusted system that complies with Government Code section 12168.7. The revised Board Policy No. 3.040, record retention schedules, and resolution have been reviewed with County Counsel and the Audit Committee on October 15, 2014. IMPACT ON CURRENT SERVICES: As County departments improve the organization of records, several enhancements to County efficiency and service will result, specifically in the records management areas of security, preservation, and customer service.
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Honorable Board of Supervisors 10/9/2014 Page 5 CONCLUSION: Approve revised Board Policy No. 3.040 (Attachment I) General Records Retention Approval of Attachment I - Revised Board Policy No. 3.040, Attachment II - new Board Policy No. 3.041, Attachment III - General Records Retention Schedule, Attachment IV - 36 Departmental Records Retention Schedules, and Attachment V - Resolution (Attachment V) authorizing County departments to use the County record retention schedules and to destroy old, duplicate or reproduced records, will support the County’s responsibility in the creation/receipt, use, maintenance, and disposition of official County records in an efficient, cost-effective and legally compliant manner. Respectfully submitted, ______________________________ Dean C. Logan Registrar-Recorder/County Clerk DCL:DM:es:eg:jp Attachments c: Chief Executive Office County Counsel
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ATTACHMENT II RECORDS RETENTION
SCHEDULES
Note: The proposed draft attachment is non-operative and has not been approved by the Board of Supervisors
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GENERAL
Los Angeles County
Records Retention Schedule
GRSS 2014
9
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Item
Ser
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Reco
rd S
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s Pa
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26-2
7
Reco
rds M
anag
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rchi
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Gen
eral
Rec
ords
Ret
entio
n Sc
hedu
le (G
RRS)
- Co
unty
wid
e
A re
tenti
on sc
hedu
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the
corn
erst
one
of a
n eff
ectiv
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s man
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, the
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the
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t in
a p
rogr
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ars
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. Its
pur
pose
is t
o pr
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ploy
ees
with
di
recti
on a
s to
how
long
thei
r offi
cial
reco
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ust b
e re
tain
ed in
acc
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nce
with
law
s, re
gula
tions
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bus
ines
s nee
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The
Los
Ange
les
Coun
ty G
RRS
has
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nto
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nctio
n-ba
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s. T
his
type
of
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divi
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r rec
ord
type
s th
at a
re
assig
ned
the
sam
e re
tenti
on p
erio
d. T
he f
uncti
on-b
ased
app
roac
h eff
ectiv
ely
redu
ces
the
over
all n
umbe
r of
rec
ords
list
ed o
n th
e sc
hedu
le a
nd m
akes
it e
asie
r for
em
ploy
ees t
o us
e.
DRAF
T D
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DRA
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DRA
FT
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DRA
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DRA
FT
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RAFT
DRA
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RAFT
DRA
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RAFT
DRA
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DRA
FT
DRAF
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RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
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RAFT
DRA
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RAFT
DRA
FT
DRAF
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RAFT
DRA
FT D
RAFT
DRA
FT
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RAFT
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RAFT
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FT
10
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Pag
e 1
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.01
0
Adm
inis
trativ
e R
ecor
ds:
Rou
tine,
Tra
nsm
ittal
&
Pro
gram
Rou
tine
corr
espo
nden
ce is
sued
from
or r
ecei
ved
by a
dep
artm
ent t
hat r
equi
res
no
furth
er a
ctio
n - c
reat
ed p
rimar
ily fo
r the
per
petu
atio
n of
kno
wle
dge
(fina
l/offi
cial
ver
sion
on
ly).
Incl
udes
, but
is n
ot li
mite
d to
• Mem
os &
Pub
licat
ions
• Pro
gram
Ove
rvie
ws/
Pla
ns/D
evel
opm
ent
• Ack
now
ledg
emen
ts/A
war
ds• P
roje
ct F
iles
& L
ogs
• Sur
veys
& S
ugge
stio
n Fo
rms
• Stu
dies
& F
inal
ized
Dat
a S
ets
• Fin
aliz
ed R
epor
ts &
Atta
chm
ents
• Ind
ivid
ual/D
epar
tmen
tal A
ssoc
iatio
n M
embe
rshi
p In
form
atio
n• I
nvita
tions
• Mee
tings
/Sym
posi
ums
- Min
utes
/Age
ndas
/Med
ia (p
aper
& e
-file
s)• H
ours
of O
pera
tion
& S
taff
List
s
Rec
ords
use
d to
con
trol w
orkf
low
and
to re
cord
rout
ine
actio
ns. I
nclu
des,
but
is n
ot
limite
d to
• Job
con
trol r
ecor
ds &
wor
k pr
oces
sing
she
ets
• Dep
artm
enta
l out
reac
h &
trai
ning
mat
eria
ls• C
ompl
eted
inte
rnal
form
s
2 ye
ars
GC
262
02
G.0
1.02
0A
dmin
istra
tive
Stu
dies
&
Spe
cial
Pro
ject
sFi
nal r
epor
ts a
nd s
uppo
rting
dat
a re
gard
ing
maj
or d
epar
tmen
tal s
tudi
es a
nd s
peci
al
man
agem
ent p
roje
cts
orde
red
by th
e B
oard
or a
t the
dire
ctio
n of
a d
epar
tmen
t hea
d.
Incl
udes
, but
is n
ot li
mite
d to
• Age
ndas
, min
utes
& m
embe
r lis
ts• R
epor
ts &
cor
resp
onde
nce
• Rec
ords
of k
ey e
vent
s an
d pr
ogra
ms
impa
ctin
g C
ount
y op
erat
ions
& s
ervi
ces
P ex
cept
Aud
io/V
isua
l: 10
yea
rs; S
uppo
rting
D
ocs:
revi
ew e
very
5
year
s
GC
262
02
REC
OR
DS
MA
NA
GEM
ENT
& A
RC
HIV
ESG
ENER
AL
REC
OR
DS
RET
ENTI
ON
SC
HED
ULE
(GR
RS)
- C
OU
NTY
WID
EA
DM
INIS
TRAT
IVE
FUN
CTI
ON
S
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
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RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
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RAFT
DRA
FT
DRAF
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RAFT
DRA
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DRA
FT
DRAF
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11
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Pag
e 2
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.03
0A
nnua
l Rep
orts
Ann
ual p
rogr
am, n
arra
tive
and
stat
istic
al re
ports
issu
ed b
y th
e B
oard
of S
uper
viso
rs o
r de
partm
ent h
eads
that
con
tain
sub
stan
tial e
vide
nce
of g
over
nmen
t pol
icy,
pro
cedu
res,
pl
ans,
act
iviti
es, a
ccom
plis
hmen
ts a
nd d
irect
ions
for t
he p
revi
ous
year
. May
als
o in
clud
e bi
enni
al re
ports
.
*Sup
porti
ng d
ocum
enta
tion
may
incl
ude
grap
hs a
nd d
iagr
ams
PG
C 2
6202
G.0
1.04
0C
ellu
lar T
elep
hone
In
vent
ory
Offi
cial
inve
ntor
y of
cel
lula
r pho
nes
and
mob
ile d
evic
es re
gist
ered
to a
ppro
ved
coun
ty
empl
oyee
s.
Whe
n su
pers
eded
by
new
ver
sion
. Not
e:
disp
ositi
on o
f old
ve
rsio
n m
ust w
ait i
f the
re
cord
has
not
met
the
Cou
nty
min
imum
of 2
ye
ars
CFM
4.7
.0
G.0
1.05
0 C
omm
issi
on, C
omm
ittee
&
Task
For
ce R
ecor
dsR
ecor
ds a
ssoc
iate
d w
ith p
erm
anen
t and
tem
pora
ry c
omm
issi
ons,
com
mitt
ees
or ta
sk
forc
es n
ot d
irect
ly a
dmin
iste
red
by th
e B
oard
of S
uper
viso
rs. I
nclu
des,
but
is n
ot li
mite
d to
• Age
ndas
, min
utes
, mee
ting
note
s, h
earin
g re
cord
s, tr
ansc
ripts
• Pol
icie
s &
pro
cedu
res,
cor
resp
onde
nce,
con
stitu
te fo
rms
and
requ
ests
for a
ssis
tanc
e• R
epor
ts, m
embe
r lis
ts, a
nd re
late
d re
cord
s
5 ye
ars
unle
ss o
utsi
de
auth
ority
, reg
ulat
ion
or
law
requ
ires
long
er
rete
ntio
n
GC
262
02
G.0
1.06
0C
ompl
aint
s: C
itize
ns,
Con
sum
ers
or E
mpl
oyee
sC
ompl
aint
s re
gard
ing
serv
ices
rece
ived
. Doe
s no
t inc
lude
cla
ims
of h
aras
smen
t or
disc
rimin
atio
n am
ong
empl
oyee
s or
any
oth
er p
erso
nnel
mat
ter.
2 ye
ars
GC
262
02
G.0
1.07
0 E
xecu
tive
File
s:
Ope
ratio
nal (
Day
-to-D
ay)
and
Suc
cess
ion
Rec
ords
Rec
ords
use
d to
brie
f man
ager
s on
a d
ay-to
-day
bas
is o
r tra
nsfe
r gov
erna
nce
of a
n of
fice
due
to a
cha
nge
in a
ppoi
nted
lead
ersh
ip.
Incl
udes
, but
is n
ot li
mite
d to
• Brie
fing
book
s &
sup
porti
ng m
ater
ials
• Iss
ue s
umm
arie
s• O
rgan
izat
iona
l & fu
nctio
nal d
ocum
enta
tion
• Doc
umen
ts d
etai
ling
logi
stic
al in
form
atio
n• R
ecor
ds o
f the
rout
ine
activ
ities
of a
dep
artm
ent h
ead
5 ye
ars
GC
262
02
G.0
1.08
0In
com
ing
Doc
umen
t Log
Logs
(pap
er o
r ele
ctro
nic)
that
trac
k in
com
ing
docu
men
ts re
quiri
ng d
istri
butio
n or
ac
tion.
2 ye
ars
GC
262
02
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
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RAFT
DRA
FT
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RAFT
DRA
FT
12
-
Pag
e 3
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.09
0M
ail:
Und
eliv
erab
le F
irst
Cla
ss
Con
sist
s of
mai
l ret
urne
d to
sen
der a
s un
deliv
erab
le d
ue to
insu
ffici
ent p
osta
ge o
r an
inco
rrec
t add
ress
of t
he in
tend
ed p
erso
n or
age
ncy.
*Doe
s no
t inc
lude
cas
es w
here
pro
of o
f atte
mpt
to n
otify
may
be
requ
ired
Und
eliv
erab
le +
5
year
sG
C 2
6202
G.0
1.10
0 O
ffice
Soc
ial A
ctiv
ity
Rec
ords
Incl
udes
fina
l doc
umen
ts in
sup
port
of C
ount
y sp
onso
red
phila
nthr
opic
org
aniz
atio
ns
and
caus
es.
2 ye
ars
GC
262
02
G.0
1.11
0O
rgan
izat
ion
Cha
rts
Org
aniz
atio
nal c
harts
that
sho
w li
nes
of a
utho
rity
and
resp
onsi
bilit
y w
ithin
a s
ingl
e de
partm
ent o
r cou
ntyw
ide.
Incl
udes
, but
is n
ot li
mite
d to
• Rec
ords
doc
umen
ting
chan
ges
in a
dep
artm
ent's
org
aniz
atio
nal s
truct
ure
• Fun
ctio
nal s
tate
men
ts &
form
ally
pre
pare
d de
scrip
tions
of t
he re
spon
sibi
litie
s as
sign
ed in
the
orga
niza
tion
PG
C 2
6202
G.0
1.12
0P
endi
ng F
iles
Rec
ords
arr
ange
d in
chr
onol
ogic
al o
rder
as
a re
min
der t
hat a
n ac
tion
is re
quire
d on
a
give
n da
te o
r tha
t a re
ply
to a
n ac
tion
is e
xpec
ted.
2
year
sG
C 2
6202
G.0
1.13
0 P
olic
ies,
Pro
cedu
res,
R
egul
atio
ns (D
epar
tmen
tal)
Fina
l ado
ptio
n of
pol
icie
s, p
roce
dure
s an
d re
gula
tions
to g
over
n th
e da
y-to
-day
im
plem
enta
tion
and
man
agem
ent o
f dep
artm
enta
l bus
ines
s fu
nctio
ns a
nd p
rogr
ams.
In
clud
es, b
ut is
not
lim
ited
to
• Offi
cial
man
agem
ent s
tate
men
ts o
f pol
icy
for t
he d
epar
tmen
t• O
pera
ting
proc
edur
es
Kee
p fo
r 2 y
ears
afte
r su
pers
eded
by
new
ve
rsio
n
GC
262
02
G.0
1.14
0P
rogr
am o
r Pro
ject
File
s -
Cou
nty
and
Sta
te S
peci
al
Rel
atio
ns
Coo
rdin
atio
n an
d co
mm
unic
atio
n be
twee
n C
ount
y an
d/or
Sta
te a
genc
ies
that
fall
outs
ide
of th
e de
partm
ent’s
bou
ndar
ies,
but
who
se fu
nctio
ns o
verla
p. In
clud
es, b
ut is
no
t lim
ited
to • M
emos
, let
ters
, rep
orts
& b
ackg
roun
d m
ater
ials
• Pro
ject
pla
nnin
g do
cum
enta
tion
& re
late
d co
rres
pond
ence
AA
+ 5
year
s; if
no
audi
t: 7
year
sG
C 2
6202
G.0
1.15
0P
rogr
am o
r Pro
ject
File
s:
Ext
erna
l Pro
gram
Rel
atio
nsC
onsi
sts
of th
e co
ordi
natio
n be
twee
n th
e de
partm
ent a
nd o
utsi
de in
stitu
tions
, as
soci
atio
ns, p
rogr
ams
and
indi
vidu
als.
Incl
udes
, but
is n
ot li
mite
d to
• Bac
kgro
und
supp
ort d
ocum
enta
tion
• Rep
orts
& jo
int p
ropo
sals
• Sur
veys
, que
stio
nnai
res
& re
late
d co
rres
pond
ence
AA
+ 5
year
s; if
no
audi
t: 7
year
sG
C 2
6202
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
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RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
13
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Pag
e 4
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.16
0P
rogr
am o
r Pro
ject
File
s:
Inte
r-D
epar
tmen
tal
Rel
atio
ns
Con
sist
s of
the
coor
dina
tion
betw
een
the
depa
rtmen
t and
oth
er g
over
nmen
t or
regu
lato
ry a
genc
ies
espe
cial
ly w
hen
appr
oval
, ove
rsig
ht o
r coo
rdin
atio
n of
effo
rts is
in
volv
ed. I
nclu
des,
but
is n
ot li
mite
d to
• Bac
kgro
und
supp
ort m
ater
ials
• Rep
orts
& fo
rmal
opi
nion
s• P
ropo
sals
, pro
ject
s, s
urve
ys, q
uest
ionn
aire
s &
rela
ted
corr
espo
nden
ce
AA
+ 8
year
s; if
no
audi
t:10
year
sG
C 2
6202
G.0
1.17
0P
rogr
am o
r Pro
ject
File
s:
Intra
-Dep
artm
enta
l R
elat
ions
Con
sist
s of
the
mon
itorin
g, o
vers
ight
, rev
iew
, coo
rdin
atio
n an
d co
mm
unic
atio
n be
twee
n a
depa
rtmen
t's u
nits
and
offi
ces.
Incl
udes
, but
is n
ot li
mite
d to
• Bac
kgro
und
mat
eria
ls• M
emos
, let
ters
, rep
orts
& re
late
d co
rres
pond
ence
AA
+ 8
year
s; if
no
audi
t:10
year
sG
C 2
6202
G.0
1.18
0P
rogr
am o
r Pro
ject
File
s:
Intra
-Gov
ernm
enta
l C
oord
inat
ion
Con
sist
s of
the
inte
ract
ion
and
coor
dina
tion
of S
tate
and
Cou
nty
depa
rtmen
tal a
ctiv
ities
w
here
func
tiona
l res
pons
ibili
ties
over
lap.
Incl
udes
, but
is n
ot li
mite
d to
• Let
ters
of a
gree
men
t, un
ders
tand
ing
or in
tent
• Pla
ns, p
ropo
sals
, spe
cial
stu
dies
and
rela
ted
corr
espo
nden
ce
AA
+ 8
year
s; if
no
audi
t:10
year
sG
C 2
6202
G.0
1.19
0P
rogr
am o
r Pro
ject
File
s:
Sta
te a
nd F
eder
alC
onsi
sts
of d
epar
tmen
tal r
elat
ions
with
oth
er S
tate
or F
eder
al a
genc
ies
or b
odie
s th
at
have
regu
lato
ry o
vers
ight
ove
r dep
artm
enta
l affa
irs a
nd b
usin
ess.
Incl
udes
, but
is n
ot
limite
d to
• Orig
inal
app
rove
d pr
ojec
t con
tract
s &
agr
eem
ents
• Aw
ards
• Lin
e-ite
m b
udge
ts, b
udge
t am
endm
ents
& c
ash
requ
ests
• Aud
it re
ports
*Che
ck w
ith C
ode
of F
eder
al R
egul
atio
ns (C
FR) f
or a
ny a
dditi
onal
requ
irem
ents
AA
+ 5
year
s; if
no
audi
t: 7
year
sG
C 2
6202
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
14
-
Pag
e 5
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.20
0 R
ides
hare
Pro
gram
Con
tain
s em
ploy
ee c
omm
ute
redu
ctio
n pr
ogra
m im
plem
enta
tion
files
. Inc
lude
s, b
ut is
no
t lim
ited
to
• Ann
ual T
rip R
educ
tion
Pla
ns• I
ncen
tive
log
shee
ts• R
ides
hare
fair
docu
men
tatio
n• C
omm
uter
sur
veys
• Car
pool
/van
pool
app
licat
ions
• Rid
esha
re a
nnou
ncem
ents
, bul
letin
s &
cor
resp
onde
nce
3 ye
ars
Sou
th C
oast
Air
Qua
lity
Mgm
t Dis
trict
Rul
e 22
02
G.0
1.21
0Vi
sito
r Log
sR
ecor
ds d
ocum
entin
g em
ploy
ee a
nd v
isito
r ent
ranc
e in
to a
dep
artm
ent o
r Cou
nty
build
ing
durin
g an
d/or
afte
r offi
ce h
ours
.
2 ye
ars
GC
262
02
REC
OR
DS
MA
NA
GEM
ENT
G.0
1.22
0R
ecor
ds In
vent
ory
Fina
l lis
ts o
f rec
ords
foun
d du
ring
the
inve
ntor
y pr
oces
s fo
r the
pur
pose
of r
ecor
ds
rete
ntio
n.W
hen
supe
rsed
ed b
y ne
w v
ersi
on. N
ote:
di
spos
ition
of o
ld
vers
ion
mus
t wai
t if t
he
reco
rd h
as n
ot m
et th
e C
ount
y m
inim
um o
f 2
year
s
GC
262
02
G.0
1.23
0R
ecor
ds R
eten
tion
Sch
edul
esR
ecor
ds re
tent
ion
sche
dule
s th
at fu
rnis
h pu
blic
age
ncie
s w
ith c
lear
lega
l aut
horit
y to
m
ake
disp
ositi
on o
f the
ir re
cord
s. In
clud
es, b
ut is
not
lim
ited
to
• Gen
eral
Rec
ords
Ret
entio
n S
ched
ules
• Dep
artm
ent R
ecor
ds R
eten
tion
Sch
edul
es• R
ecor
ds m
anag
emen
t pro
gram
doc
umen
ts
Kee
p fo
r 2 y
ears
afte
r su
pers
eded
by
new
ve
rsio
n
GC
262
02
G.0
1.24
0R
ecor
ds T
rans
fer F
orm
sFo
rms
used
to tr
ansf
er re
cord
s to
a re
cord
s ce
nter
/sto
rage
faci
lity.
2 ye
ars
GC
262
02
STR
ATEG
IC P
LAN
NIN
G
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
15
-
Pag
e 6
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.25
0S
trate
gic
Pla
nsA
depa
rtmen
t’s c
urre
nt a
nd p
ast s
trate
gic
plan
s.P
GC
262
02
RIS
K M
AN
AG
EMEN
TG
.01.
260
Acc
iden
t/Inc
iden
t Rep
orts
Rec
ords
rela
ted
to th
e in
vest
igat
ion
of a
n in
jury
or a
ccid
ent i
nvol
ving
a C
ount
y em
ploy
ee o
r a th
ird p
arty
.C
ount
y: C
+ 1
0
3rd
party
: C +
5 y
ears
29 C
FR 1
904.
229
CFR
190
4.6
G.0
1.27
0D
isab
ility
and
Wor
kers
' C
ompe
nsat
ion
File
sR
ecor
ds re
late
d to
dis
abili
ty a
nd w
orke
r's c
ompe
nsat
ion.
T +
10 y
ears
G.0
1.28
0In
sura
nce
Pol
icie
s -
Liab
ility
(per
sonn
el)
Rec
ords
rela
ted
to a
con
tract
of i
nsur
ance
pur
chas
ed b
y th
e C
ount
y de
scrib
ing
the
term
, cov
erag
e, p
rem
ium
s an
d de
duct
ible
s.
*Inc
lude
s th
e ac
tual
insu
ranc
e po
licy
T +
30 y
ears
29 C
FR 1
910.
1020
G.0
1.29
0In
sura
nce
Pol
icie
s -
Liab
ility
(pro
perty
- re
al &
pe
rson
al)
Rec
ords
rela
ted
to a
con
tract
of i
nsur
ance
pur
chas
ed b
y th
e C
ount
y de
scrib
ing
the
term
, cov
erag
e, p
rem
ium
s an
d de
duct
ible
s.
*Inc
lude
s th
e ac
tual
insu
ranc
e po
licy
10 y
ears
CC
P 33
7.15
(a)
G.0
1.30
0In
sura
nce
Pol
icie
s - N
on-
Liab
ility
Rec
ords
rela
ted
to a
con
tract
of i
nsur
ance
pur
chas
ed b
y th
e C
ount
y de
scrib
ing
the
term
, cov
erag
e, p
rem
ium
s an
d de
duct
ible
s.
*Inc
lude
s th
e ac
tual
insu
ranc
e po
licy
C +
5 y
ears
GC
262
02
G.0
1.31
0O
ccup
atio
nal S
afet
y an
d H
ealth
Adm
inis
tratio
n fil
esR
ecor
ds re
late
d to
the
docu
men
tatio
n of
requ
ired
OS
HA
form
s fo
r los
ses
asso
ciat
ed
with
em
ploy
ee in
jury
or i
llnes
s. In
clud
es, b
ut is
not
lim
ited
to
• For
m 3
00, F
orm
300
a, F
orm
301
• Priv
acy
Cas
e Li
sts
5 ye
ars
8 C
CR
143
00.3
3
G.0
1.32
0R
etur
n-to
-Wor
k Fi
les
Incl
udes
sho
rt-te
rm d
isab
ility
reco
rds.
T +
2 ye
ars
29 C
FR 1
602.
31
29 C
FR 1
602.
14
G
C12
946
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
16
-
Pag
e 7
of 2
7
G.0
1.00
0Fu
nctio
n A
rea:
AD
MIN
ISTR
ATIV
E FU
NC
TIO
NS
Rec
ord
Cod
eR
ecor
d Ti
tle
R
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
1.33
0R
isk
Man
agem
ent W
orki
ng
File
sO
pera
tiona
l rec
ords
rela
ted
to C
ount
y ris
k m
anag
emen
t (co
mm
erci
al &
sel
f-ins
uran
ce)
prov
ided
that
they
are
not
pro
tect
ed b
y at
torn
ey-c
lient
or w
ork-
prod
uct p
rivile
ge.
Incl
udes
, but
is n
ot li
mite
d to
• Ins
uran
ce re
ports
• Los
s C
ontro
l Ins
pect
ion
Rep
orts
*Exc
lude
s th
e ac
tual
insu
ranc
e po
licy
5 ye
ars
GC
262
02
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
17
-
Pag
e 8
of 2
7
REC
OR
DS
MA
NA
GEM
ENT
& A
RC
HIV
ESG
ENER
AL
REC
OR
DS
RET
ENTI
ON
SC
HED
ULE
(GR
RS)
- C
OU
NTY
WID
EEQ
UIP
MEN
T/SU
PPLI
ES/F
AC
ILIT
IES
G.0
2.00
0Fu
nctio
n A
rea:
EQ
UIP
MEN
T/SU
PPLI
ES/F
AC
ILIT
IES
Rec
ord
Cod
eR
ecor
d Ti
tleR
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
2.01
0A
DA
Tran
sitio
n P
lans
Rec
ords
rela
ted
to d
ocum
entin
g co
mpl
ianc
e w
ith th
e A
mer
ican
s w
ith D
isab
ilitie
s A
ct.
Incl
udes
tran
sitio
n an
d se
lf-ev
alua
tion
plan
s.5
year
s; If
em
ploy
ee
rela
ted:
T +
2 y
ears
29 C
FR 1
602.
31
G.0
2.02
0B
uild
ing
Ass
essm
ents
Rec
ords
use
d to
des
crib
e ex
istin
g bu
ildin
g co
nditi
ons.
Incl
udes
, but
is n
ot li
mite
d to
• As-
built
dra
win
gs &
arc
hite
ctur
al s
urve
ys• H
azar
dous
mat
eria
l• S
truct
ural
& b
uild
ing
asse
ssm
ents
Ret
ain
until
sol
dG
C 2
6202
G.0
2.03
0C
apita
l Pro
ject
Pro
gram
Fi
les
Pla
ns fo
r cap
ital e
xpen
ditu
res
to b
e in
curr
ed e
ach
year
ove
r a fi
xed
perio
d of
yea
rs.
Doc
umen
ts fo
r new
stru
ctur
es (o
r add
ition
s of
squ
are
foot
age
to s
truct
ures
) tha
t cos
t in
exce
ss o
f $10
0,00
0.
10 y
ears
(but
mus
t m
aint
ain
curr
ent p
lans
un
til s
uper
sede
d)
GC
240
51
C
CP
337.
15(a
)
G.0
2.04
0C
apita
l Pro
ject
s -
Ref
urbi
shm
ents
Rec
ords
of f
unds
cre
ated
to a
ccou
nt fo
r fin
anci
al re
sour
ces
used
for t
he a
cqui
sitio
n or
co
nstru
ctio
n of
maj
or c
apita
l fac
ilitie
s (o
ther
than
thos
e fin
ance
d by
pro
prie
tary
fund
s an
d tru
st fu
nds)
.
Rec
ords
rela
ted
to b
uild
ing
reno
vatio
ns in
exc
ess
of $
100,
000
(may
incl
ude
mul
tiple
ite
ms
from
one
wor
ksite
if c
ombi
ned
cost
s ex
ceed
100
k). I
nclu
des
Boa
rd a
ppro
vals
, pl
ans,
nee
ds a
sses
smen
ts, b
udge
ts, a
nd o
ther
rela
ted
reco
rds.
C +
10
year
sG
C 2
4051
C
CP
337.
15(a
)
G.0
2.05
0E
quip
men
t Los
s R
epor
ts
Con
sist
s of
repo
rts o
f equ
ipm
ent t
hat i
s m
issi
ng, s
tole
n or
des
troye
d.5
year
sC
FM 6
.9.0
G.0
2.06
0Fi
xed
Ass
et E
quip
men
t In
vent
orie
sA
nnua
l equ
ipm
ent i
nven
tory
whi
ch in
clud
es m
ovea
ble
pers
onal
pro
perty
of a
rela
tivel
y pe
rman
ent n
atur
e or
if th
e eq
uipm
ent i
s su
scep
tible
to th
eft.
5 ye
ars
CFM
6.1
.3
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
DRAF
T D
RAFT
DRA
FT D
RAFT
DRA
FT
18
-
Pag
e 9
of 2
7
G.0
2.00
0Fu
nctio
n A
rea:
EQ
UIP
MEN
T/SU
PPLI
ES/F
AC
ILIT
IES
Rec
ord
Cod
eR
ecor
d Ti
tleR
ecor
d D
escr
iptio
nR
eten
tion
Perio
dA
utho
rity
Cita
tions
G.0
2.07
0Fl
eet V
ehic
le R
ecor
dsR
ecor
ds re
gard
ing
vehi
cles
use
d an
d m
aint
aine
d by
a d
epar
tmen
t inc
ludi
ng h
ome-
assi
gned
veh
icle
s an
d po
ol v
ehic
les.
Incl
udes
, but
is n
ot li
mite
d to
• Usa
ge, f
uel a
nd m
aint
enan
ce lo
gs (i
nclu
ding
car
was
h)
Ass
igne
d ve
hicl
es:
T
+ 2
year
s: F
leet
: 5
year
s or
unt
il ve
hicl
e is
so
ld/d
estro
yed
GC
262
02
G.0
2.08
0M
ater
ial S
afet
y D
ata
She
ets
(MS
DS
) M
SD
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ture
rs.
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ears
29 C
FR 1
910.
1020
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List
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ost
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t cos
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ess
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ontro
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