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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 10.1 Can companies from Outside USA apply for this? (like, from India or Canada)

The Santa Cruz County Board of Supervisors has established that the County shall not purchase services from off-shore companies or where company employees are located off-shore when the services can be performed adequately by workers within the United States. The Board has not designated any countries (like India or Canada) be excluded from this policy.

10.2 Do we need to come over there for meetings? During the RFP process, Respondents must attend vendor demonstrations and/or presentations onsite, as applicable. During the implementation process, although the County prefers the Contractor to be onsite, the County will allow the Contractor to attend some project/planning meetings via conference calls.

10.3 Can we perform the tasks (related to RFP) outside USA? (like, from India or Canada) See 10.1.

10.4 Can we submit the proposals via email? No. Refer to RFP section 2.3.B. RFP Section 2.3.A is revised as follows:

Submit two (2) copies of the completed proposal, as specified herein including Exhibits and Attachments as follows: one (1) signed in blue ink or digitally signed and marked “ORIGINAL” and one (1) electronic copy in PDF (via USB drive or CD).

11.1 The functional requirements listed in Attachment #2 only refer to document capture capabilities, while earlier sections of the RFP (ex. table 3.1.D.3, Scope of Work Section 3.2) refer to requirements for a comprehensive EDM solution. Which one takes precedence? The County of Santa Cruz is seeking a eDMS solution that will allow us to meet the business needs of our departments for document management, including capture, indexing and workflow. Proposals should reflect a solution that meets the overall requirements of this RFP and the business needs of the County.

11.2 It is stated that that the County currently runs SharePoint 2013. Why not simply use SharePoint as EDM and identify third-party solutions that will complement? While the County has Sharepoint online licensing for some departments, we have not fully implemented Sharepoint for the County and lack significant experience and technical expertise in supporting this platform. Currently, the County has only 50 percent of its users under Office 365 and does not plan to have an internal version of Sharepoint implemented.

11.3 It is stated that solution should interface with Fortis, but Fortis is EOL end of 2017. Please advise. The solution should allow migration of data from Fortis (by Westbrooke) to a new solution.

County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 12.1 In your Standard Terms and Conditions in Section 4, subsection 4.11 Off-Shore

Outsourcing, the County states that “Contractor shall certify that all services performed on any purchase order or contract with County, either by Contractor or subcontractor(s) will be performed solely by workers within the United States”. I assume that this has been added for both security and practicality reasons and intended to restrict true off-shore or overseas outsourcing”. That said, would the County expand the restriction for this RFP to include “workers within the United States or Canada”? See 10.1.

13.1 Does the county have an active enterprise agreement with Microsoft? a. If there is a Microsoft Enterprise Agreement does that include an planning

services or training vouchers?  The County has an EA agreement. It does not have training or planning services available for this project. The County is not fully migrated to Office 365 and not all licensing is currently under the EA Agreement. (See 13.3.)

13.2 Was this RFP generated with internal county resources or was it generated by a private eternal resource?  Please identify consulting firm if yes.

The RFP was generated with internal County resources.

13.3 The RFP mentions both SharePoint 2013 and SharePoint online - please clarify: a. Does the County already own licenses for any of the following:

i. Office 365 - Which SKU? ii. SharePoint 2013 - Which edition (Standard or Enterprise) iii. SharePoint 2016 - Which edition (Standard or Enterprise)

b. Does the County have a preference to host their new ECM platform in SharePoint 2013 or SharePoint Online?

c. Has the county considered upgrading SharePoint 2013 to SharePoint 2016? d. Is the county interested in a SharePoint hybrid solution leveraging SharePoint

2016 and SharePoint Online?

The County currently is licensed for Office 365 G3 and is in a hybrid mode, with the remaining departments to be migrated by December 2017. Not all participating departments in the RFP will have Sharepoint licenses at the time of the award of this RFP.

The County’s future expansion of its small Sharepoint presence is not determined at this time, but we will migrate to newer versions as Microsoft requires. Again, the County is seeking a platform, cloud or premises based that meets the requirements of the RFP, whether it is hosted in Sharepoint or not.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 13.4 Does the county wish to host any ECM functionality within a public facing website?

a. With anonymous access? b. With authorization required?

Yes. There will be a need for public access to content within the eDMS in both anonymous and authorized access.

13.5 Will you allow us to run an assessment/inventory tool on your current SharePoint environment?  Upon award of the RFP, we will allow the awarded vendor to run any assessment tools.

13.6 How much content needs to be migrated from Fortis? a. Number of unique document repositories/document types? b. Approximate Number of documents per repository? c. Approximate total file size per repository?

• PDF • TIF • DOC/DOCX • XLS/XLSX • Any other formats

Refer to Attachment A – eDMS-Fortis Data for this response.

13.7 Does the county wish to be mentored and trained to configure software for specific departmental automation projects or have the supplier perform planning and deployment services? The County would prefer the Contractor to provide planning and deployment services, with training for administrators to configure software for future projects and requirements.

13.8 Does the county plan to use existing document imaging devices? If so what MFP and or single function scanners manufacturer and model numbers are available for this project? Yes. The County prefers that proposed solutions support scanners and multifunction scanners that support the TWAIN and WIA protocols.

13.9 Is this a multi-phase project? If so what departments are the first priority? Departmental priority will be determined prior to the execution of the project with input from the Contractor.

13.10 What is the amount of the initial budget for this project? The County is flexible on budget. Provide competitive pricing for your product/solution.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 13.11 Does the county prefer to have on-site planning and deployment services or re-mote?

The County prefers a predominance of onsite planning but is willing to perform some project deployment and project management through conference calls.

13.12 If the provider has software and labor under a pre-negotiated government contract (i.e. GSA) will the county honor that contracting agreement? The County has worked with major pre-negotiated agreements but reserves the right to further negotiate pricing and contract terms with the selected Contractor if desired.

13.13 There are no scope of work requirements for specific departmental processes. Can we assume that aside from the initial deployment of system software the actual configuration to automate departmental processes will be handled on a separate labor services proposal? No, proposals should include estimated rates for planning and implementing departmental processes.

13.14 Does the county have a fully implemented records management plan currently in use? Refer to Attachment B.

13.15 Does the county plan include use analytics and business intelligence services to ensure transparency, reporting and continual process improvement? Not at this time.

13.16 What BI reporting software is currently in use? The County is not currently using BI reporting software.

14.1 For the purpose of automatic data capture using zone OCR, ICR and OMR, please indicate which of the types listed below are applicable:

a. Structured Documents: Data fields are in fixed positions. Example: forms, applications, checks.

b. Semi-Structured Documents: Data fields are in logical groups but their exact position is unknown, and may include line-item details to be captured. Example: order forms, quotes, POs, invoices.

c. Unstructured Documents: Data fields may be anywhere in the document. Example: Correspondence.

The County currently captures structured documents, semi structured documents and unstructured documents.

14.2 Is the County currently using electronic forms? If yes, which technology? The County currently uses Adobe for forms, but is open to other vendors/applications.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 14.3 We understand that electronic forms will be filled out by County authorized users via

Internet, but will not be accessed by members of the public on the county portal. Please confirm. The County requires that forms that are to be part of the eDMS repository be managed through appropriate security as required by County codes and regulations.

14.4 Is the County currently using DocuSign? And is this the County's preferred electronic signature technology? Yes. The County preference is for Docusign.

14.5 Does the County expect the integration with SharePoint Online to be implemented within the scope of the proposal, or will this be a future (phase 2) effort? The County may be presenting content online. Proposals should provide a description and a cost of such services, if applicable (offered).

14.6 Does the County expect the integration with Microsoft Exchange Online to be implemented within the scope of the proposal, or will this be a future (phase 2) effort? The County will complete the migration to Exchange Online by December 2017. (See 13.3.) This is a separate but parallel effort to this project.

14.7 For the Microsoft Exchange Online integration, does the County require automatic archiving of email to the new EDMS? No, the County has a separate solution for email archiving.

14.8 Does the County expect the integration with any other line-of-business application be implemented within the scope of the proposal, or will this be a future (phase 2) effort? Please list any applications to be integrated within the scope of this proposal. There is no requirement for integration with eDMS as part of this proposal; however, there may be future integrations with other applications. Refer to requirements regarding APIs.

14.9 Does the County intend to retire the Westbrooke's Fortis system? And if so why have a requirement to integrate with it for Records Management? See 11.3.

14.10 Does the County have an established retention schedule and RM policy around electronic records? If not, will these be in place by the project start date? See 13.14.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 14.11 For the eDiscovery requirement, is the expectation that all records subject to discovery will

be in the EDMS? If not, please provide a list of all repositories for which eDiscovery needs to be implemented. All eDMS records will be subject to discovery.

14.12 Is the County currently using an eDiscovery tool?

For email, yes.

14.13 Is your requirement for Internet access to EDMS intended for County authorized users only, or is the intention to also provide external access to other parties for the purpose of collaboration on documents? See 13.4. There are no current requirements for collaboration on documents from outside the County. However, proposals should include this feature if available.

14.14 The Web Content tab of the Functional Requirements describes this as a requirement to publish Word documents prepared by users as web pages on a website. Is this requirement strictly about publishing Word documents, or are you looking for a complete web content management tool? The intent of the requirement is to be able to publish documents that reside in the eDMS solution for public access.

14.15 Regarding the publishing of Word documents to the public-facing website, has the county considered publishing to PDF/A? Is the County open to using PDF/A instead of HTML? The County is open to reviewing proposals that include PDF/A.

Also, a recap of the questions we asked during the pre-proposal conference... No minutes were recorded for the pre-proposal conference.

14.16 Does the county have a preference for working with a CMAS vendor? The County has no preference.

14.17 Will the county accept an electronic signature with Certificate of Completion from DocuSign in lieu of a blue inked signature on the response? Yes. See 10.4 for additional information.

14.18 Throughout various sections of the RFP you request cost or estimate information but also request the specific formatted cost proposal. Do you want us to repeat costs throughout our responses? Yes.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 14.19 If we are not proposing any 3rd party software, do we need to still fill out attached #5?

No.

14.20 Will you accept as a valid submission only one electronic copy via email or do you still require a physical, paper copy and electronic copy be shipped to you?

See 10.4.

14.21 Do you expect us to provide the full software end-user guides or is it ok to provide just some excerpts?

Respondents may provide examples of the end user guides if the content is reflective of the overall quality and content of the guides.

15.1 What version of Fortis are you currently running

Version 6.9.0.

15.2 What version of SQL Server are you running with Fortis? Microsoft SQL Server 2012.

15.3 How many documents are currently in your Fortis system? Refer to Attachment A – eDMS-Fortis Data for this response.

15.4 How many pages are currently in your Fortis system? Refer to Attachment A – eDMS-Fortis Data for this response.

15.5 How much storage does your Fortis data (.mag files) currently consume? Refer to Attachment A – eDMS-Fortis Data for this response.

15.6 On what type of storage does the Fortis data reside? Netapp CDOT.

15.7 On page 11 of the RFP there is an expectation that the vendor will integrate the new EDMS with Fortis, however on page 12 you require the vendor to convert the Fortis data (3.5 – C). With Fortis EOL in 2017 – can we assume you simply want all the data converted from Fortis? If not, what is the purpose of the integration of the new EDMS into the EOL Fortis system? The data will be migrated to the new eDMS system, not integrated.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 15.8 – 3.5 Section C. Do you require any work to be done on or with the legacy

mainframe PDF files? If so, please explain the requirement and volume of data (number of PDF’s and total GB’s). If there is an indexing database along with these files – which one is it, and what version? These files will need to be setup with a repository and ingested into new eDMS solution.

16.1 Is the County planning to keep installed clients, but simply use Office 365 licensing - or is the County planning to move all County users to the web based office applications by December 2017? See 13.1.

16.2 In addition to Environmental Health, Planning, Auditor/Tax Collector, Public Works, and Assessor, how many departments will be storing their information within the Electronic Document Management System? For the initial project installation these are the departments; however, the Board of Supervisors will be participating in the RFP process as they also are interested in implementing the solution.

16.3 What is the desired roll-out schedule for these departments? Note: A detailed project plan has been requested, which requires an understanding of the roll-out timeline envisioned by the County. The County would desire a planned rollout for the project with departments going in phases rather than a forklift approach.

16.4 What quantity of licensing will be required on a per department basis? Note: If the County desires to purchase licensing as the system is rolled-out, rather than up-front, then it will be important to understand what level of licensing each department will require. More information is needed to provide an answer as it will depend on the license model (concurrent or per user).

16.5 What specific records or documents does the County intend to use ICR to read the appropriate text? Legacy records and correspondences submitted to departments.

16.6 What level of accuracy is the County expecting from an ICR engine for these record types? Industry standard of 97 percent.

16.7 What specific systems and/or applications at the County currently conform to the Workflow Management Coalition (WFMC) standards? This is the County’s preferred standard for the eDMS since it may need to be integrated with other future systems on a common standard platform.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 16.8 Most of the RFP indicates that County would like to migrate from Fortis to a new Electronic

Document Management System; however, section 3.2.L on page 11 requests the “vendor to integrate the proposed EDMS with Fortis to manage electronic and/or digital records contained within the core EDMS.” Please clarify if the County plans to keep Fortis or would like to move from Fortis? The County intends to migrate all documents and data from Fortis.

16.9 If a hybrid solution with Fortis and the new Electronic Document Management System is being requested, please provide additional details describing the use case for both systems as well as the points of integration desired by the County? See 16.8.

16.10 How many GBs of information needs to be converted from the Fortis system to the new Electronic Document Management System? Refer to Attachment A – eDMS-Fortis Data for this response.

16.11 How many index/metadata fields, e.g. Author, Date, Address, need to be converted from the existing Fortis system to the new Electronic Document Management System? This number is unknown, varies by department and will require significant time to determine.

16.12 Please confirm the Anticipated Number of Users is the expected licensing requirements after 5 years? The anticipated number of users is to be used as a guide for potential users and is based on current usage patterns and estimated internet access of the system.

16.13 What percentage of this licensing would be expected to be needed each year, e.g. 20% in year-one, 20% in year two, and so on? Refer to Attachment A – eDMS-Fortis Data for current users count versus licenses (concurrent). This should be used as a guide for the initial year one purchase with additional licenses each year.

16.14 Is the County willing to commit contractually to purchasing the anticipated number of users over 5 years to secure discounts? Contractual items, such as this, may only be considered during contract negotiations.

16.15 Are the expected digital signers internal to the organization or are signatures required from outside parties? Both.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 16.16 What types of documents is the County looking to digitally sign?

Forms currently submitted via paper, such as applications and plans, as well as internal approval documents.

16.17 Please provide a use case scenario for e-discovery functionality. Departments will be able to respond to requests from the public on a specific item, for instance a Planning decision, and use the eDMS system to search and gather these related documents to be reviewed internally for applicability and then presented in either physical or electronic form to the requestor.

17.1 How much data from previous systems need to be (westbrooke’s fortis or legacy mainframe print system) migrated? And what is the data format? Refer to Attachment A – eDMS-Fortis Data for this response.

17.2 Page 9 “Reducing time spent on document retrieval from onsite and offsite locations” What offsite locations will be included? Will they all use the new system? This refers to physical documents that may be brought into the system that is currently archived at remote offices and the County warehouse. All County locations that would access the eDMS system are connected via LAN/WAN via the County network.

17.3 “Ability to extract patterns or trends from data for analysis” What kind of data analysis will be needed? Does the report will be enough for it? This is a future desire for departments to be able to analyze content for trends and patterns. Proposals should include this requirement if applicable.

17.4 “API/Integrating with other applications” What applications will be needed to integration with? The County has developed in-house applications that present data from vendor applications. Indicate if you support APIs or web interfaces to your system so that future integrations are possible.

17.5 How many and what electronic forms will be crated to collect data in a standardized format? This is unknown at this time. The County currently has a small number of electronic forms; however, several departments have indicated their intention in the near future to transition to electronic forms.

17.6 Does the County use SharePoint? What version is it? What level of integration will require to integrate with SharePoint? See 11.2.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 17.7 , P Web Content Management: this is not document management -but web

content management for web sites....like the homepage text changes? Is this required? Refer RFP Attachment #2 – Functional Requirements, Manage Web Content section.

17.8 Attachment #2, SRCH 2.00 question not complete? This means that if an index field population is to be used on several entries, can it be carried forward, such as a “type of document” being PERMIT for several sequential jobs.

17.9 Security: Will the outside user use this system? Or Non- Active Directory user use this system? If so, will these outside user be given a AD account or just create a new account in the new system? See 13.4. The determination of how access will be handled should be driven by the constraints and capabilities of the eDMS system security.

17.10 TECH 92.00; What does it mean? Does your application seamlessly integrate with ArcGIS to present data between the eDMS system and ArcGIS?

17.11 TECH 93.08; What GIS system? Does GIS provide API access? See 17.10. ArcGIS provides API information on their website.

17.12 From the attachment 2, if the solution is included in the Software Platform, do I need to specify which module is it? Yes.

17.13 From the attachment 2, if the solution is provided from the software add on (not 3rd party tool), what response code should I use?

This would be considered “YES” (Out of the box). Provide a pricing breakdown for the module from the base pricing in your proposal.

17.14 From the attachment 2, what :”RPT” means?

RPT refers to “Provided with Reporting Tool” as per the matrix at the top of the page.

18.1 Is it possible you can provide more detail about the legacy mainframe print system that has PDF files in them? We will provide the contractor reports in PDF format not in Fortis that the contractor must also load into the new system.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 18.2 How many documents are stored in each of the business line applications that we need to

migrate or connect with our EDMS system? Refer to Attachment A – eDMS-Fortis Data for this response.

18.3 How many paper documents do we need to scan in? None.

18.4 Can you confirm that we are to provide scanning hardware or will this be provided by the county? See 13.8. Indicate if you require proprietary scanning hardware for your system and indicate cost.

18.5 What are the sizes of the documents? The document size varies from department to department. Refer to Attachment A – eDMS-Fortis Data for for storage sizing and document count.

18.6 On page 13 of the RFP, it is indicated that “the County prefers to have either a site license or licensing by concurrent users rather than by named users.” Would our proposal still be considered if we were to provide named user licensing? Yes.

19.1 Concerning the Fortis EDMS that the County currently uses, what company provides the maintenance and support services for this system? Appleby and Co.

19.2 Do you have a budget for purchasing and implementing a new EDMS? If yes, what is the budgeted amount (ball park figure)? See 13.10.

19.3 Concerning conversion of existing electronic files and documents, beside those in PDF format, what are all of the other formats for the County’s electronic files? Are any formats proprietary? If yes, what are they, and will the help County facilitate documents conversion needs between the legacy and new system vendor? Also, what is the legacy mainframe print system that produces electronic PDF documents that are to be included in the new EDMS. What are the volume of documents to be converted for ingestion into the new EDMS? See 18.1. The files to be converted are .mag files from the Fortis Application.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 19.4 Are there any paper documents that will need to be backfile converted to the new EDMS?

If yes, please detail volume by type/size, include any medial like micro-fiche, micro-film, etc. No.

19.5 What are the County’s main line of business applications that need to integrate with the new EDMS? See 17.4.

19.6 Concerning Workflow, how many workflow would the County need configured for the initial EDMS implementation project? What are those workflows (please provide flow diagrams if available)? The County does not currently use workflows; however, County departments desire this functionality.

19.7 Concerning Electronic Forms, how many electronic forms would the County need

configured for the initial EDMS implementation project? Will the County make form samples available? See 17.5.

19.8 On page 11 of 38 of the RFP, under Records Management, the last sentence of that paragraph says, “The County expects the vendor to integrate the proposed EDMS with Fortis to manage electronic and/or digital records contained within the core EDMS.” Please explain this need to integrate the proposed EDMS with Fortis. Isn’t one of the County’s goals to replace Fortis with the proposed EDMS? See 11.3.

19.9 On page 11 of 38 of the RFP, under Functionality for e-discovery, please explain the County’s requirements in detail. See 16.7.

19.10 On page 11 of 38 of the RFP, under Web content management, please explain the County’s requirements in detail. See 17.7.

19.11 Does the County have an EDMS rollout sequence for its 26 departments? If so, what is the County’s preferred sequence? Please specify departments for the pilot phase, and subsequent phases. Refer to Attachment A – eDMS-Fortis Data for this response.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 20.1 How many documents are currently in Westbrook Fortis system?

Refer to Attachment A – eDMS-Fortis Data for this response.

20.2 Decentralized scanner requirement – how many stations? Users? Ten (10) scanning stations / licenses are used in the system.

20.3 CP 10.00: Fax documents captured directly into system. Do they use RightFax or is that part of the solution?

Propose your solution and indicate what fax solutions you support.

20.4 CP 13.00: Extract specific pages from a PDF file. Do they have Adobe Capture or is that part of the solution? Propose your solution and indicate what solutions such as Adobe Capture you support.

20.5 IN 3.00: Is this text searchable PDF searching? This refers to any indexing searching within the application.

20.6 View 4.00: Display a file whether or not application software is available. Does this mean PDF storage? No.

20.7 EDM 16.00: What does managing email and attachments mean? Will you have an email address defined that is monitored? This refers to emails that are indexed into the system as searchable electronic files.

20.8 EDM 19.00: Capture FAX’s No.

20.9 EDM 20.00: Printing directly into system. If you print any file to a PDF folder location and that folder is monitored for importing, is that sufficient? Describe how your solution provides this capability.

20.10 TECH 43.00: Must all scanners have the 11x17 ability or just one or two central scanners? Any provided scanners must be able to scan to 11 x 17.

20.11 TECH 59.00: What legacy systems are you referring to and can you give some examples of what you mean when you say “manage the output? If a document in a legacy format is in the system, reports should present the image in a human readable format.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers 20.12 CONT 1.00: What do you mean when you say you want to post a word document to the

web? Do you want to store a Word document as an eDoc on your system? The document should be able to be presented in human readable format for download and/or viewing.

21.1 Legacy Mainframe Print system PDF files. Do these need to be migrated into the system? Yes.

21.2 Are these records? If 21.2 references 21.1, no these are reports.

21.3 Does this include all documents in the Fortis system? Yes.

21.4 How many documents need to be migrated into the new system? Refer to Attachment A – eDMS-Fortis Data for this response.

21.5 The table lists 6100 Documents a month total, are these electronic or scanned or both? Both

21.6 If both what is the ratio? This varies by department requirements and will be determined as part of the project analysis.

21.7 Is there an idea of how many workflows need to be generated for the project? Not at this time, because this is a desired feature that is not used currently.

21.8 Is DOD 5015.2 Certified a MUST have? It is highly recommended since all records in the eDMS are considered public records.

21.9 What level of Maintenance does the county desire? Proposals should indicate (optional) levels of maintenance with applicable pricing over five years.

21.10 As far as training, how many persons need training or is the county ok with a “train the trainer” method? The overall costs and quantity of training will determine the County’s direction regarding training; therefore, provide training costs and types of training available.

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County of Santa Cruz RFP 16P1-004 Electronic Document Management System Addendum #1 – Written Questions and Answers

Attachment A – eDMS/FORTIS Data

1. Total Amount of data indexed in the eDMS Fortis system: 774 GB

2. Total Amount of .mag files: 8,600,000 in 39,998 folders

3. Total Amount of PDFs from Mainframe system: ~18,000

4. Total Size of the SQL Databases: System Databases

i. Master 5MB ii. Model 8 MB iii. MSDB 105MB iv. TempDB 1307MB

User Databases i. Assessor 390MB ii. Auditor/PR 715MB iii. Auditor 785MB iv. DPW/Fiscal 37MB v. DPW/Central 839MB vi. ENV Health 630MB vii. Planning 491MB viii. DPW Sanitation 170MB ix. Redevelopment 9MB x. Tax Collector 2279MB

5. Licensing information (Concurrent. Total actual users = 625)

Department Scan Edit View Assessor 1 20 Auditor-Controller 1 1 6 Environmental Health 1 2 15 Planning 1 10 Public Works 2 2 10 Redevelopment 1 2 Tax Collector 1 1 5 Totals 7 27 48

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COUNTY OF SANTA CRUZ Attachment B POLICY AND PROCEDURES Title IV - Records Management 100 - General Information

Purpose

The purpose of this section is to establish a systematic approach to the management of county records. Records management is the responsibility of each department/agency to maintain and control their own records using the guidelines set out in this title.

200 - General Provisions

1. Records management falls into two categories: records maintained within the facilities of the department/agency and records transferred to the Records Retention Center for maintenance by the Purchasing Division of the General Services Department.

2. It should be the goal of each department/agency to reduce records retention, both internal and external, to the minimum required by law and prudent management. In an effort to carry out this goal, all departments are required to take the following actions:

a. Assign a department manager to evaluate, prepare and maintain a departmental records management and storage plan.

b. Keep the General Services Department advised of the name of the departmental designee.

c. Review overall lists of records maintained at the Warehouse on an annual basis, and authorize destruction of unneeded records as appropriate.

d. Review list of records scheduled for destruction as provided by General Services annually, and authorize destruction of records in accordance with approved retention schedules. For any records the department believes may be historically significant, they shall notify General Services Department that the Historical Resources Commission should be given the opportunity to review for historical significance prior to destruction.

3. Records retention space in the Center is at a minimum and only absolutely necessary records can be retained. It should also be noted that records maintained in the Center are not easily accessible; and, therefore, the Center should not be used as an extension of department/agency working files. It should be used for limited access records, which must be retained for extended periods of time.

4. It is the policy of the Board of Supervisors to preserve records of historic significance. Records that are considered to be of potential historic significance should be identified and described as completely as possible prior to their transfer to the records retention Center. The following types of records are normally considered by departments for permanent, or archival, retention: organization charts and reorganization studies; minutes of meeting of boards and commissions; minute, agenda, and proposals of meetings of ad hoc committees and task forces; legal opinions and comments on legislation; creative directive; public relations records; news release; original publications, posters, brochures, and in-house newsletters; and unique research. Records can also be considered for permanent retention because the record meets one or more of the following criteria:

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COUNTY OF SANTA CRUZ Attachment B POLICY AND PROCEDURES Title IV - Records Management

a. It establishes a precedent and results in a major policy or procedural change;

b. It is involved in extensive litigation;

c. It receives widespread attention from the news media;

d. It is widely recognized for its uniqueness by specialists or authorities outside the County; or

e. It is selected to document agency procedures.

5. Purchasing provides a detailed "Paperwork Management Handbook" for use by departments in conjunction with their records management program. This handbook contains information on carrying out records reduction programs and offers suggestions for in-house records management procedures.

300 - Government Code Sections on Records Retention and Dispensation

It is important to note that the decision to retain or destroy a record may be influenced by factors other than the state codes. Some records may be retained beyond the minimum required retention period because of practical reasons of usefulness, historical interest or other reasons such as pending litigation. When establishing disposition schedules, departments are to review applicable codes and comply with recent revisions.

In other cases the records may be needed in connection with an audit of final settlement under federal or state programs, such as Welfare, Medi-Cal, gas tax, flood damage, etc.

"Retention period" refers to the length of time a record must be kept.

The date in brackets which follows each code citation is the date the code section there summarized was most recently amended (or the date the section was added, if never amended), as of the date of this policy's revision. This is for reference in future policy revisions.

The following is a list of code sections which generally pertain to retention and disposition of various types of records and which will apply to a number of departments.

1. Government Code Section 26201 (1963) provides that the board of supervisors may authorize the destruction of any duplicate record if the original or a permanent photographic reproduction is on file with the county.

The board may authorize the destruction of a duplicate or copy of a notice to or promise to appear in court that is on file with the county, 12 months after its original has been filed with the magistrate or magistrate's designee.

18

COUNTY OF SANTA CRUZ Attachment B POLICY AND PROCEDURES Title IV - Records Management 2. Government Code Section 26202 (1963) allows the destruction of any record older

than 2 years that was prepared or received other than pursuant to state statute or county charter, when there is authorization by the board of supervisors. Authorization for destruction of records older than 2 years which were prepared or received pursuant to state statute or county charter is allowed if documents or records are not expressly required by law to be filed and preserved, and if the board determines by a 4/5 vote that retention of the records is no longer necessary for county purposes. Such records need not be reproduced prior to destruction and no copy need be retained.

3. Government Code Section 26202.1 (1957) provides that the board may authorize the destruction of any unaccepted bid or proposal for the construction or installation of any structure, bridge or highway or other public works, which is more than 5 years old.

4. Government Code Section 26202.5 (1982) provides that the board of supervisors may authorize by 4/5 vote the destruction of any record, paper or document inadvertently exposed to asbestos fiber in a quantity which presents a health and safety risk to the records handlers. Risk must be determined to be greater than the benefit to be derived from the retention of the records, or cost of sterilizing the records must far exceed their value.

5. Government Code Section 26202.6 (1981) provides that the head of a county department, public safety communications center or the head of a special district may, after 100 days, destroy recordings of telephone and radio communications maintained by the department or special district. Destruction shall be approved by the legislative body and the written consent of the agency attorney shall be obtained. In the event such recordings are evidence in a claim filed or litigation pending, recordings shall be preserved until pending litigation is resolved. ("Recordings of telephone and radio communications" means the routine daily taping and recording of telephone communications to and from a city, county, city and county, or special district department and all radio communications relating to the operations of such departments or special district.)

6. Government Code Section 26205 (1989) allows, at the request of the county officer concerned, the destruction of original records not required by law to be preserved, if the Board of Supervisors has authorized the destruction and the document is reproduced appropriately* and is accessibly filed for use.

* Reproduction must be in compliance with the section, which provides in part:

(a) The record, paper, or document is photographed, micro photographed, reproduced by electronically recorded video images on magnetic surfaces, recorded in the electronic data-processing system, recorded on optical disk, or reproduced on film or any other medium which does not permit additions, deletions, or changes to the original document of a type approved for permanent records by the National Institute of Standards and Technology.

19

COUNTY OF SANTA CRUZ Attachment B POLICY AND PROCEDURES Title IV - Records Management

(b) The devised used to reproduce the record, paper, or document on film, optical disk, or any other medium is one which accurately reproduces the original thereof in all details and which does not permit additions, deletions, or changes to the original document images.

(c) The photographs, microphotographs, electronically recorded video images on magnetic surfaces, records in the electronic data-processing system, records recorded on optical disk, or other reproductions on film or any other medium are placed in conveniently accessible files and provision is made for preserving, examining, and using the files.

Notwithstanding any other provision of this section, destruction of the original records, papers, or documents is not authorized when the method of reproduction pursuant to this section is reproduction of electronically recorded video images on magnetic surfaces unless a duplicate video tape of the images is separately maintained. A duplicate copy of a record contained in the electronic data-processing system, on optical disk, or on any other medium which does not permit additions, deletions, or changes to the original document images shall also be separately maintained."

7. Government Code Section 26205.1 (1992) provides for the destruction by a county officer having custody of non- judicial public records, documents, instruments, books and papers of such records, etc., if the board of supervisors has adopted a resolution authorizing the officer to destroy such records.

NOTE: By Resolution No. 66-94, adopted February 8, 1994, the board of supervisors has authorized departments heads, upon the review and approval of the county administrative officer and auditor-controller, to be completed within 60 days of receipt of notice for record destruction, to destroy non judicial records which are more than 2 years old, which are not prepared or received pursuant to state statute, which are not expressly required by law to be filed and preserved, which are no longer required for audit, and which are not of historical significance. General Services (200.2.d) will inform the Historic Resources Commission and allow for Commission review of any historic or potentially significant historic records prior to destruction. The Ralph M. Brown Act

400 - Destruction of Records

Summary of the provisions relating to destruction of county records, beginning with General Provisions, followed by more specific provisions arranged by department affected. See Attachment 1.

402 - Rules and Laws Applicable to Boards, Commissions and Committees

Refer to Ralph M. Brown Act (California Government Code 54950 et sec.).

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http://countyintranet.co.santa-cruz.ca.us/PolAndProc/ProceduresManual/PM4400.htm


COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management 400 - Destruction of Records Following is a summary of the provisions relating to destruction of county records, beginning with General Provisions, followed by more specific provisions arranged by department affected. GENERAL PROVISIONS: Government Code Section 26201: (1963) Type of Record: Any duplicate record, paper or document When May Destroy: At any time Conditions: Original or permanent photographic reproductions in county files;

authorization of board of supervisors Government Code Section 26201: (1963) Type of Record: Duplicate or copy of notice to or promise to appear in court When May Destroy: 12 months after original has been filed with magistrate Conditions: Original filed with magistrate or person authorized by magistrate to

receive a deposit of bail; authorization of board of supervisors Government Code Section 26202: (1963) Type of Record: Any record, paper or document When May Destroy: If more than 2 years old Conditions: If prepared or received in a manner other than pursuant to county

charter or state statute; by order of board of supervisors. No copy need be retained.

Where prepared or received pursuant to county charter or state statute and not expressly required by law to be filed and preserved: After board determines by 4/5 vote that retention is longer necessary. No copy need be retained.

Government Code Section 26202.1: (1957) Type of Record: Unaccepted bid or proposal for construction or installation of any

building, structure, bridge, highway or other public work

21

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When May Destroy: If more than 5 years old Conditions: By authorization of board of supervisors Government Code Section 26202.5: (1982) Type of Record: Any record, paper or document inadvertently exposed to asbestos

fiber in a quantity which presents a health and safety risk to document handlers

When May Destroy: No time specified Conditions: By authorization of board of supervisors by 4/5 vote; and if board

determines the risk to document handlers is greater than the benefit of retention of the records, or that the cost of sterilizing the records far exceeds their value. Board decision shall be final.

Government Code Section 26202.6: (1981) Type of Records: Recordings of telephone and radio communications maintained

by county departments, the public safety communications center or special districts

When May Destroy: After 100 days Conditions: Not withstanding Government Code Sections 26202, 26205, and

26205.1, upon approval of the legislative body, and with written consent of the agency attorney. If recordings are evidence in any claim filed or in pending litigation, such recordings shall be preserved until litigation is resolved.

Government Code Section 26205: (1989) Type of Record: Any record, paper or document When May Destroy: No time specified Conditions: If record, etc. is not expressly required by law to be filed and

preserved; and if reproduced and copy is stored in compliance with Government Code Section 26205; by order of the board of supervisors

Government Code Section 26205.1(a), (b),(d): (1989)

22

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Non judicial public records, documents, instruments, books and

papers When May Destroy: No time specified Conditions: If (1) board of supervisors has adopted a resolution authorizing the

county officer having custody of the records to destroy them pursuant to Government Code Section 26205.1(a) (Resolution may impose conditions in addition to those specified in this subdivision.); and if (2) the county officer who destroys such records pursuant to this subdivision shall maintain for public use a photographic or micro photographic film, electronic recorded video production, a record contained in the electronic data-processing system, a record recorded on optical disk or recorded by any other medium which does not permit changes to the original document; and if (3) the device used for reproducing is one which accurately reproduces the original and which does not permit changes to the original.

Nos. 2 and 3 above do not apply to records prepared or received

other than pursuant to a state statute or county charter, or records not expressly required by law to be filed and preserved.

Not withstanding any other provision of this section, destruction of

original records, etc. is not authorized when reproduction is by electronically recorded video images on magnetic surfaces unless a duplicate videotape is separately maintained. A duplicate of a record contained in the electronic data-processing system, or optical disk, or on any other medium which does not permit changes to the original, shall be separately maintained.

ASSESSOR Revenue and Taxation Code Section 465: (1968) Type of Record: Any document containing information obtained from Taxpayers When May Destroy: 7 years since lien date for taxes for which information was obtained Conditions: Provided that the documents may be destroyed when 3 years have

elapsed since the lien date, when such documents have been microfilmed

Revenue and Taxation Code Section 2928: (1961)

23

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Any original unsecured roll containing the information set forth in

the delinquent roll or in an abstract list When May Destroy: When roll or abstract list is more than 5 years old Conditions: By board order. Delinquent roll or abstract list must first be certified

as correct and complete by the auditor. On destruction, any taxes on any property or any interest thereon which became delinquent but do not appear on the delinquent roll or abstract list are conclusively presumed paid and the delinquency satisfied, pursuant to Revenue and Taxation Code Section 2928.1.

AUDITOR-CONTROLLER Government Code Section 24051: (1967) Type of Record: Inventories submitted by county officers or persons in charge of

any county office, department, service or county institution, each officer of a judicial district, each judge or the clerk, secretary or administrative officer of each court of record and the executive head of each special district whose affairs and funds are under the supervision and control of the board of supervisors or for which the board is ex- officio the government body showing property in his or her possession or charge

When May Destroy: After on file for 5 years or more Conditions: By board order (A true copy of the inventory must be delivered by

the person making it to his or her successor in office.) Government Code Section 24356: (1986) Type of Record: Records required to be submitted to auditor by county officers

pursuant to Government Code Section 24352, on collection of money and payment into county treasury pursuant to Government Code Sections 24350 and 24353

When May Destroy: 5 years from date filed with auditor Conditions: In accordance with Government Code Section 26907 Government Code Section 26907: (1985)

24

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: County, school, or special districts claim, warrant or other paper

issued as a warrant voucher When May Destroy: If more than 5 years old; or at any time, after the following

conditions are met: Conditions*: Not withstanding Government Code Sections 26201, 26202, or

26205, documents must be photographed, micro photographed, reproduced by electronically recorded video images on magnetic surfaces, or reproduced on film approved for permanent photographic records by the National Bureau of Standards. Documents may be destroyed at any time if copy is kept for 5 years from date of document.

* Conditions do not apply to documents more than 5 years old. Government Code Section 26907: (1985) Type of Record: Index or warrant register When May Destroy: At any time Conditions: A photographic record of the index or warrant register must be

made before destruction of such document or register if it is less than 15 years old. No photographic record is needed if the document is more than 15 years old.

Government Code Section 26907.1: (1957) Type of Record: County, school or special district bonds or coupons which

have been canceled or paid When May Destroy: Not less than 5 years since bonds or coupons were canceled or

paid Conditions: None Government Code Section 26907.2: (1963) Type of Record: Copies of any county deposit permits or deposit receipts issued

by county auditor When May Destroy: If more than 5 years old

25

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: By authorization of the board of supervisors Revenue and Taxation Code Section 4377: (1979) Type of Record: Delinquent tax roll and original secured role upon which it is

based containing the information set forth in abstract list. Exception: Abstract list prepared under Revenue and Taxation Code Section 4373,or its photographic record shall be retained by the tax collector at least 2 years after the lien has been removed.

When May Destroy: If more than 12 years old Conditions: Do not destroy original Secured Tax Role for fiscal year 1912/13;

destroy only upon order of board of supervisors; abstract list must first be certified as correct and complete by auditor.

BOARD OF SUPERVISORS Government Code Section 26201: (1963) Type of Record: Any duplicate record, paper or document When May Destroy: At any time Conditions: Original or permanent photographic reproductions in county files;

authorization of board of supervisors Government Code Section 26201: (1963) Type of Record: Duplicate or copy of notice to or promise to appear in court When May Destroy: 12 months after original has been filed with magistrate

Conditions: Original filed with magistrate or person authorized by magistrate to receive a deposit of bail; authorization of board of supervisors

Government Code Section 26202: (1963) Type of Record: Any record, paper or document When May Destroy: If more than 2 years old

26

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: If prepared or received in a manner other than pursuant to county

charter or state statute; by order of board of supervisors. No copy need be retained.

Where prepared or received pursuant to county charter or state

statute and not expressly required by law to be filed and preserved: After board determines by 4/5 vote that retention is no longer necessary. No copy need be retained.

Government Code Section 26202.1: (1957) Type of Record: Unaccepted bid or proposal for construction of installation of any

building, structure, bridge, highway or other public work When May Destroy: If more than 5 years old Conditions: By authorization of board of supervisors Government Code Section 26202.5: (1982) Type of Record: Any record, paper or document inadvertently exposed to

asbestos fiber in a quantity which presents a health and safety risk to document handlers

When May Destroy: No time specified Conditions: By authorization of board of supervisors by 4/5 vote; and if board

determines the risk to document handlers is greater than the benefit of retention of the records, or that the cost of sterilizing the records far exceeds their value. Board decision shall be final.

Government Code Section 26205.1(a),(b),(d): (1989) Type of Record: Non judicial public records, documents, instruments, books and

papers When May Destroy: No time specified

Conditions: If (1) board of supervisors has adopted a resolution authorizing the county officer having custody of the records to destroy them pursuant to Government Code Section 26205.1(a) (Resolution may impose conditions in addition to those specified in this subdivision.); and if (2) the county officer who destroys such records pursuant to this subdivision shall maintain for public use a photographic or micro photographic film, electronic recorded video production, a record

27

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management

contained in the electronic data-processing system, a record recorded on optical disk or recorded by any other medium which does not permit changes to the original document; and if (3) the device used for reproducing is one which accurately reproduces the original and which does not permit change to the original.

No. 2 and 3 above do not apply to records prepared or received other

than pursuant to a state statute or county charter, or records not expressly required by law to be filed and preserved.

Notwithstanding any other provision of this section, destruction of

original records, etc. is not authorized when reproduction is by electronically recorded video images on magnetic surfaces unless a duplicate videotape is separately maintained. A duplicate of a record contained in the electronic data-processing system, or optical disk, or on any other medium which does not permit changes to the original, shall be separately maintained.

Government Code Section 29940: (1947) Type of Record: Unsold bonds issued for county purposes When May Destroy: After 2 years from date of any election authorizing the bond issuance Conditions: Upon determination by board of supervisors that the sale of remaining

unsold bonds is inexpedient; and upon board order; and destruction shall be pursuant to Government Code Section 29940, et seq.

CORONER Government Code Section 27463.5: (1975) Type of Record: Original official file for each deceased person in lieu of coroner's

register When May Destroy: At any time after completion of coroner's investigation and the

closing of the particular case involved Conditions: Photograph or microphotograph the contents of file in accordance with

provisions of Government Code Section 26205 and place in conveniently accessible files. Make provisions for preserving, examining, and using the same. Authorization of the board of supervisors is required under Government Code Section 26205.

28


NOTE: Section 27463.5 does not authorize the destruction of "Coroner's Registers". (See Government Code Section 27463.)

COUNTY ADMINISTRATIVE OFFICER-CLERK OF THE BOARD Government Code Section 25105 (1989) provides, in part, that the board of supervisors may authorize the making of reproductions of all records, books and minutes of the board and that such reproductions shall be deemed and considered originals. (See statute for specifics.) However, this section does not authorize the destruction of the records, books and minutes of the board. Government Code Section 25105.5: (1985) Type of Record: Assessment appeals applications; claims against the county or

special districts for which the board of supervisors is the governing body

When May Destroy: When documents have been retained by the clerk for not less

than 5 years after final action on the application or claim. As used in this section, "final action" means date of final decision by Assessment Appeals Board, or in case of a claim, the date of payment or settlement of claim, or denial or approval of claim by board of supervisors, or by operation of law, whichever occurs first.

Conditions: If there is no action pending involving application or claim, clerk of

the board may destroy documents in compliance with this section without complying with any other provisions of law.

Government Code Section 50115: (1985) Type of Record: Any paper or document filed with or submitted to the board of supervisors When May Destroy: More than 1 year after document's filing or submission to

board Conditions: If no other provision of law requires a longer retention period, and if the

board doesn't determine there is a need for the document's retention. In determining whether there is a need for retention, consideration shall be given to factors such as future public need, the effect of statutes of limitations, and historical significance.

COUNTY CLERK

29

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Elections Code Section 402: (1977) Type of Record: Spoiled affidavits of (voter) registration When May Destroy: Affidavits shall not be destroyed. Conditions: Name and residence of elector for whom it was intended shall be

entered on the stub, and stubs and affidavits are each marked with the word "spoiled".

Elections Code Section 611.1: (1987)

Type of Record: Data-processing tape file of index by precinct of all people voting in the previous statewide general election

When May Destroy: County clerk shall maintain this file until the next November

general election in an even-numbered year. Conditions: (This section does not provide for destruction of the index in forms

other than the data-processing tape file.) Elections Code Section 702: (1976) Type of Record: Un cancelled affidavits of (voter) registration When May Destroy: County clerk shall preserve affidavits. (No provision is made in

this section for destruction.) Conditions: None Elections Code Section 703: (1989) Type of Record: Canceled affidavits of (voter) registration When May Destroy: Preservation shall occur as required in Elections Code Section 14500. Conditions: See Elections Code Section 14500. Elections Code Section 10003: (1980) Type of Record: Ballot paper or punch cards furnished or released by Secretary of

State for specific election

30

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When Shall Destroy: No time specified Conditions: If ballot paper or punch cards were not used in the election they

were specified for, were not authorized in writing for retention for further elections, or were not returned to Secretary of State: Authorization for storage, if obtained, shall include amount to be stored for audit controls. If destroyed, certificate of destruction setting forth the date of destruction and amount of ballot paper or punch cards destroyed shall be transmitted to Secretary of State.

Elections Code Section 14500: (1987) Type of Record: Canceled original affidavits of registration When May Destroy: When affidavits are 5 or more years old (originals) Conditions: If filmed or recorded in other suitable method, clerk may destroy the

canceled affidavits following the first general election after the date of cancellation.

Elections Code Section 14510: (1987) Type of Record: Copy of index to affidavits of registration described in

Elections Code Section 600 When May Destroy: Copy of index shall be kept on file as a public record for election,

political research a governmental purposes for 5 years. (Section does not specifically provide for subsequent destruction.)

Elections Code Section 14600: (1987) Type of Record: All nomination documents and signatures in lieu of filing fee

petitions When Shall Destroy: As soon as practicable after 4 years after the expiration of the

term of office to which they relate Conditions: If they are not in evidence in an action/ proceeding then pending,

and if the elections official has not received written request that the documents be preserved (as specified in Elections Code Section 14600(b))

Elections Code Section 14700: (1987)

31

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Initiative or referendum (statewide, county or municipal initiative

and referendum petitions); municipal city charter amendment petitions; district initiative and referendum petitions

When Shall Destroy: As soon as practicable after 8 months after certification of results

of election for which petition qualified, or if measure isn't submitted to the voters, 8 months after final examination of petition by elections official

Conditions: If they are not in evidence in an action/ proceeding then pending;

and if elections official has not received written request that the documents be preserved (as specified in Elections Code Section 14700(b))

Elections Code Section 14800: (1987) Type of Record: Roster of voters or combined rosters and indexes as provided for in

Elections Code Section 14006 When May Destroy: 5 years after election (or see following section) Conditions: None Elections Code Section 14800: (1987) Type of Record: Roster of voters or combined rosters and indexes as provided for in

Elections Code Section 14006 When May Destroy: After the next general election Conditions: If original roster is filmed or recorded in another suitable method Elections Code Section 14810: (1988) Type of Record: Ballot packages for elections of President, Vice President, U.S.

Senators or U.S. Representatives containing: voted polling place and voted absent voter ballots; absent voter identification envelopes; spoiled and canceled ballots; unused absent voter ballots surrendered by voters pursuant to Elections Code Section 1012; ballot receipts

When May Destroy or Recycle: After 22 months subsequent to date of declaration of the

result of the election

32

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: If neither a contest nor criminal prosecution involving specific

fraudulent treatment of ballots (as specified in Election Code Section 14811) is commenced within the 22-month period, either of which may involve the vote of the precinct from which voted ballots were received.

Elections Code Section 14811: (1988) Type of Record: Ballot packages for all state or local elections not provided for in

Elections Code Section 14810(a), (Elections in which votes for candidates for federal office may not be cast on the same ballot as votes for state or local candidates.) packages which contain: voted polling place and voted absent voter ballots; absent voter identification envelopes; spoiled and canceled ballots; unused absent voter ballots surrendered by voters pursuant to Elections Code Section 1012; ballot receipts.

When May Destroy or Recycle: After 6 months subsequent to the date of declaration of

election results Conditions: If neither a contest nor criminal prosecution involving fraudulent

treatment of ballots (as specified in Elections Code Section 14811) is commenced within the 6 months, either of which may involve the vote of the precinct from which voted ballots were received.

Elections Code Section 14820: (1988) Type of Record: Packages for elections of President, Vice President, U.S. Senators,

or U.S. Representatives containing: 2 tally sheets; copy of index used as voting record; challenge lists; assisted voters list

When May Destroy or Recycle: After 22 months Conditions: If neither a contest nor criminal prosecution involving fraudulent

treatment of ballots (as specified in Elections Code Section 14820) is commenced within the 22-month period, either of which may involve a vote of the precinct from which voted ballots were received.

Elections Code Section 14821: (1988) Type of Record: Packages for all state or local elections not provided for in Elections

Code Section 14820(a), (Elections in which votes for candidates

33


for federal office may not be cast on the same ballot as votes for state or local candidates.) packages which contain: 2 tally sheets; copy of index used as the voting record; challenge lists; assisted voters list.

When May Destroy or Recycle: After 6 months Conditions: If neither a contest nor criminal prosecution involving fraudulent

treatment of ballots (as specified in Elections Code Section 14821) is commenced within the 6-month period, either of which may involve a vote of the precinct from which voted ballots were received

Elections Code Section 14830: (1987) Type of Record: Ballot cards for elections of President, Vice President, U.S. Senators,

or U.S. Representatives When May Destroy: After 22 months or, for any contest involving the vote at the

election, after determination of the contest Conditions: Notwithstanding any other provision of the Elections Code, the

final disposition of all voted ballot cards shall be determined by the elections official.

Elections Code Section 14831: (1987) Type of Record: Ballot cards for all state or local elections not provided for in

Elections Code Section 14830(a) (Elections where votes for candidates for federal office may not be cast on the same ballot as votes for state or local candidates.)

When May Destroy: After 6 months, or, for any contest involving the vote at the

election, after the determination of the contest. Conditions: Notwithstanding any other provision of the Elections Code, the

final disposition of voted ballot cards shall be determined by the elections official.

Elections Code Section 14900: (1987) Type of Records: Recall petitions

34

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When Shall Destroy: As soon as practicable after 8 months from results of election for

which petition qualified, or, if no election is held, 8 months after clerk's final examination of petition

Conditions: If it is not in evidence in some action or proceeding pending;

and if elections official has not received a written request from the Attorney General, Secretary of State, Fair Political Practices Commission, a district attorney, grand jury, or the governing body of a county, city and county, city or district, including a school district, that the petition be preserved for use in a pending or ongoing investigation into election irregularities, or into a violation of the Political Reform Act of 1974.

Elections Code Section 14970: (1981) Type of Record: From elections where candidates for President, Vice

President, U.S. Senators, or U.S. Representatives are being voted on: precinct officers' declaration of intention required by Elections Code Section 1637; precinct board member applications specified in Elections Code Section 1637.5; order appointing members of several precinct boards and designating the polling places specified in Elections Code Section 1638; nominations for appointment to the precinct board by the county central committee of each qualified political party specified in Elections Code Section 1639; written orders appointing precinct board members or designating polling place for precinct pursuant to Elections Code Section 1648.

When May Destroy: Records shall be preserved for 22 months from

Election date. (Section does not specifically provide for destruction of records.)

Conditions: None Elections Code Section 14971: (1987) Type of Record: From all state or local elections not provided for in Elections

Code Section 14970(a) (An election is not deemed "state" or "local" if votes for candidates for federal office may be cast on same ballot as votes for candidates for state or local office.): precinct officers' declaration of intention required by Elections Code Section 1637; precinct board member applications specified in Elections Code Section 1637.5; order appointing members of several precinct boards and designating the polling

35


places specified in Elections Code Section 1638; nominations for appointment to the precinct board by the county central committee of each qualified political party specified in Elections Code Section 1639; written orders appointing precinct board members or designating polling place for precinct pursuant to Elections Code Section 1648.

When May Destroy: Records shall be preserved until 6 months from election date.

(Section does not specifically provide for destruction of records.) Conditions: None Elections Code Section 17134: (1975) Type of Record: Package containing voted election ballots When May Destroy: After final determination of any contests or criminal

prosecution Conditions: Package is subject to the order of the court in which contest or

criminal prosecution is pending. Elections Code Section 17136: (1987) Type of Record: Unused ballots remaining in control of the clerk When May Be Recycled: After holding the ballots for the purposes of Elections Code

Division 10 (Sections 14000, et seq.), immediately upon the hour polls are required to close

Conditions: Notwithstanding any other provision of law, recycling for any

other lawful purposes may occur of ballots, which clearly identify election for which they were prepared, in lieu of procedure in Elections Code Section 14306. Clerk shall file written affidavit as to the number of ballots recycled.

Health and Safety Code Section 10064: (1985) Type of Record: Copies of registration of births and deaths When May Destroy: After 1 year from date of registration Conditions: Retention period is 1 year, provided that the State Registrar has

the original copies and approves and supervises disposal, and that the copies are on file with the county recorder. Disposal

36


pursuant to Health and Safety Code Section 10064 is notwithstanding any other law to the contrary.

Civil Code Section 4213.2: (1982) Type of Record: Original certificates of confidential marriages When May Destroy: After 1 year from date of filing Conditions: If certificates are microfilmed, and if original negative of each

micro photographic film is made, sealed and stored as to assure its preservation indefinitely against loss, theft, defacement or destruction. Microphotograph must be made in compliance with minimum standards of quality approved by National Bureau of Standards. Every reproduction shall be deemed an original. A certified copy of any reproduction shall be deemed a certified copy.

Civil Code Section 4307: (1969) Type of Record: Certificate (of premarital examination) forms and court orders (to

issue marriage license without certificate) When May Destroy: After 1 year from date of filing Conditions: None Business and Professions Code Section 17927: (1986) Type of Record: Original fictitious business name statements; statements of

abandonment of use of fictitious business name; statements of withdrawal from partnership operating under fictitious name

When May Destroy: Fictitious business name statement: 4 years after statement

expires. Abandonment of use or statement of withdrawal: When fictitious business name statement to which it relates is destroyed pursuant to Business and Professions Code Section 17927(a).

In lieu of retaining original statement on file, a copy may be

retained in accordance with Government Code Section 69844.5. Conditions: None Government Code Section 8213: (1988)

37

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Notary oaths of office When May Destroy: 1 year after term of the commission expires Conditions: None Government Code Section 8209: (1982) Type of Record: Records of any notary public who has died, resigned, been

disqualified, been removed from office, or allowed his or her appointment to expire without reappointment within 30 days

When May Destroy: After 10 years from date of deposit with the county clerk Conditions: Upon order of the court, and if no request for, or reference to such

records has been made Government Code Section 24051: (1967) Type of Record: Inventories submitted by county officers or persons in charge of

any county office, department, service or county institution, each officer of a judicial district, each judge or the clerk, secretary or administrative officer of each court of record and the executive head of each special district whose affairs and funds are under the supervision and control of the board of supervisors or for which the board is ex- officio the government body showing property in his or her possession or charge

When May Destroy: After on file for 5 years or more Conditions: By board order (A true copy of the inventory must be delivered by

the person making it to his or her successor in office.) Government Code Section 26205.1(c): (1989) Type of Record: Original or copies of articles of any corporation ("articles" includes

articles of incorporation, amendments thereto, amended articles, restated articles, certificate of incorporation, certificates of determination of preferences, dissolution certificates, merger certificates and agreements of consolidation or merger)

When May Destroy: No time specified Conditions: None

38

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Government Code Section 26809: (1986) Type of Record: Any paper or document filed with or submitted to county clerk

more than 1 year previously When May Destroy: 1 year after paper or document is filed with or submitted to county

clerk Conditions: Unless another provision requires a longer retention period, if

county clerk determines there is no need for its retention. Consideration shall be given to such factors as future public need, the effect of statutes of limitation and historical significance.

Government Code Section 27207: (1967) Type of Record: Any or all filed papers or record books created under Land Title

Law (repealed 1955) When May Destroy: No time specified Conditions: At the request of county recorder; and by authorization of the

board of supervisors; and after compliance with Government Code Section 26205.5(a) through (d).

Government Code Section 69955: (1974) Type of Record: Reporting notes of both official and pro tempore court reporters,

whether kept by reporter on direction of the court or filed with the clerk of the court on order of the court

When May Destroy: After 5 years from taking notes Conditions: By order of the court. Destruction may only be by clerk of the court,

rather than by an official or pro tempore court reporter. SUPERIOR COURT Code of Civil Procedure Section 1952: (1984) Type of Record: Exhibit or deposition in civil proceeding When May Destroy: Upon final determination or dismissal of the action or proceeding Conditions: By order of the court on its own motion

39


No exhibit or deposition shall be ordered destroyed or disposed of pursuant to this section until 60 days after notice of proposed action has been mailed by clerk to attorneys of records and to all parties without an attorney of record.

Notice is complete upon mailing of notice by the clerk to the attorney

or to the party, if he or she has no attorney, at his or her last address shown in the file. Notice may also be given by the clerk by indicating on Notice of Entry of Judgment that if no appeal is filed the court may order exhibit or deposition destroyed after 60 days from expiration of appeal time.

No such exhibit or deposition shall be ordered destroyed or disposed

of pursuant to this section if a party to the proceeding files written notice with the court requesting the preservation of any exhibit or deposition for a stated time, not to exceed 1 year. Exhibit or deposition may be destroyed after that time unless another notice is filed.

Code of Civil Procedure Section 1952.3: (1985) Type of Record: Exhibit or deposition in civil action or proceeding When May Destroy: 5 years after time for appeal expires if appeal is not taken, or 5

years after final determination of appeal if appeal was taken, or 5 years after any of the following: (a) motion for new trial granted and memo to set has not been filed, or motion to set for trial has not been made within such 5 years; (b) Filing of remittitur, where after appeal action has been remanded to trial court for new trial and same has not been brought to trial within 5 years of filing of remittitur; (c) Dismissal of such action or proceeding*.

Conditions: By order of the court on its own motion and entry There of made

in the registers of actions, and notwithstanding any other provision of the law

No such exhibit or deposition shall be ordered destroyed or

disposed of pursuant to this section if a party to the proceeding files written notice with the court requesting the preservation of any exhibit or deposition for a stated time, not to exceed I year. Exhibit or deposition may be destroyed after that time unless another notice is filed.

40

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management * Any sealed file shall be retained at least 2 years after date that

destruction would otherwise be authorized by this statute. NOTE: Code of Civil Procedure Section 1952.2 (1984) 1 authorizes the

court to return exhibits and depositions to the attorneys for the parties at the expiration of the appeal period. See "Review of Selected 1969 Code Legislation" pages 94 and 95 for a discussion of the application of Sections 1952, 1952.2 and 1952.3 of the Code of Civil Procedure. It is there pointed out that Section 1952.3 does not require that notice be given to attorneys which provision is contained in Section 1952.

Code of Civil Procedure Section 1952.3: (1985) Type of Record: Exhibit or deposition that remains in the custody of the court or

clerk 10 years after introduction or filing of the action or proceeding

When May Destroy: After 10 years from the introduction or filing of action or, Conditions: If in discretion of the court, exhibit or deposition should be

disposed of or destroyed. Order shall be entered in registers of action.


disposed of pursuant to this section if a party to the proceeding files written notice with the court requesting the preservation of any exhibit or deposition for a stated time, not to exceed 1year. Exhibit or deposition may be destroyed after that time unless another notice is filed.

* Any sealed file shall be retained at least 2 years after date that destruction would

otherwise be authorized by this statute. Government Code Section 69503: (1989) Type of Record: All papers in a regular civil case (any civil action or proceeding for

damages or specific relief, except for: probate, water rights, land title, domestic relations, adoption, mental health and juvenile matters) filed or lodged in a Superior Court action or proceeding.

When May Destroy: 1 year after case is closed* Conditions: Notwithstanding any other provisions of law regarding destruction of

court records; and if a case has been closed*; and if papers** have

41


not been designated for sampling (See Government Code SS 69503(e).); and if all of the following have been micro formed***: Judgment and Stipulation for Judgment; Dismissal Order; Satisfaction of Judgment; Confessions of Judgment; Request for Default.

*, **, *** See page 33. Upon application by a party for preservation of a record, presiding

judge may order papers micro formed prior to destruction, costs to be borne by applicant. Papers are given to party and micro formed copy is retained by court.

Clerk of court shall store at least one original of each micro formed

copy as to assure its preservation indefinitely. Destruction shall be in accordance with Government Code 5

69503.4, which provides for notice of intention to destroy records to various entities. (See below.)

Government Code Section 69503: (1989) Type of Record: All papers** of domestic relations case (for dissolution, separation,

paternity, harassment, child or spousal support, or a uniform reciprocal enforcement of support action) filed or lodged in a Superior Court action or proceeding.

When May Destroy: 5 years after case is closed* Conditions: Notwithstanding any other provision of law regarding destruction of

court records; and if a case has been closed; and if papers have not been designated for sampling (See Government Code Section 69503(e).); and if all of the following have been micro formed***: Petition, Interlocutory Judgment of Dissolution, Final Judgment, Order or Modification signed by judge which amends Interlocutory or Final Judgment, Financial Declaration, Confession of Judgment, reciprocal support document, Minute Order.

Upon application by a party for preservation of a record, presiding

judge may order papers micro formed prior to destruction, costs to borne by applicant. Papers are given to party and micro formed copy is retained by court.


copy as to assure its preservation indefinitely.

42

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management *, **, *** See page 33. Destruction shall be in accordance with Government Code Section

69503.4which provides for notice of intention to destroy records to various entities. (See below.)

Government Code Section 69503: (1989) Type of Record: Transcripts of preliminary hearing or coroner's inquests, and

depositions filed or lodged in a Superior Court action or proceeding When May Destroy: 3 years since filing Conditions: Notwithstanding any other provision of law regarding destruction of

court records; and if a case has been closed*; and if papers** have not been designated for sampling (See Government Code SS 69503(e).); and if entire document is micro formed***.




copy as to assure its preservation indefinitely. Destruction shall be in accordance with Government Code SS

69503.4, which provides for notice of intention to destroy records to various entities. (See below).

Government Code Section 69503: (1989) Type of Record: All papers** and any not delivered pursuant to Probate Code Section

320 in any other Superior Court action or proceeding not otherwise provided for in Government Code SS 69503

When May Destroy: 5 years after case is closed* Conditions: Notwithstanding any other provisions of law regarding destruction of

court records; and if a case has been closed*; and if papers have not been designated for sampling (See Government Code Section 69503(e).); and if all documents have been micro formed***.

43

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Upon application by a party for preservation of a record, presiding



copy as to ensure its preservation indefinitely. Destruction shall be in accordance with Government Code Section

69503.4, which provides for notice of intention to destroy records to various entities.

(See Page 33) Government Code Section 69503: (1989) Type of Record: Any will delivered pursuant to Probate Code Section 320 in Superior

Court proceedings When May Destroy: 8 years after delivery of will Conditions: Notwithstanding any other provision of law regarding destruction of

court records; and if no case connected with the will has been filed; and if papers have not been designated for sampling (See Government Code Section 69503(e).); and if entire document has been micro formed***.




copy as to ensure its preservation indefinitely. Destruction shall be in accordance with Government Code Section 69503.4, which provides for notice of intention to destroy records to various entities. (See below.)

Government Code Section 69503(e) (1989) provides for a scientifically valid sampling of judicial records to be preserved for historical or other research. See code for specifics.

44

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management * As used in Government Code Section 69503, "closed" means dismissal or final

judgment has been entered and the case file contains no indication that any hearing is to be scheduled and case is not on appeal or subject to review in any court.

** As used in Government Code Section 69503, "papers" means documents,

pleadings, motions, instruments, books, depositions, transcripts, minute orders, case folders, and other similar written material filed or lodged with clerk of Superior Court in connection with actions or proceedings. "Papers" DOES NOT INCLUDE evidentiary exhibits, court management records, such as indexes, or micro formed records.

*** As used in Government Code Section 69503,"microform" means permanent

preserving and certifying in accordance with Evidence Code Section 1531 an exactly reproducible image of a document, by microfilm, microfiche, electronic, laser disk or other accepted method to allow the public convenient access to a record and to copying a record.

Government Code Section 69503.1: (1987) Type of Record: Any records, papers, case files and exhibits in any Superior Court

action or proceeding, except records of probate, real property, juvenile, criminal or adoption actions or proceedings. Exceptions: minute book entries, minute books and judgment books may not be destroyed unless microfilmed in accordance with Government Code Section 69503.

When Play Destroy: After 30 years from the filing of any paper in the action or

proceeding Conditions: Notwithstanding Government Code Section 69503 or any law

regarding destruction of court records, except the provisions of this section and Government Code Section 69503.2; and when records of the county clerk do not show an appeal pending; and if clerk gives notice of proposed disposition to Secretary of State, and Secretary does not request records within 60 days, county clerk may destroy them.

Government Code Section 69503.1: (1987) Type of Record: Case files of dismissed Superior Court civil actions, except records of

probate, real property, juvenile, criminal or adoption action or proceedings

When May Destroy: 7 years after dismissal

45

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: If notice of proposed disposition is given to Secretary of State prior to

disposition, and Secretary of State does not request the records within 60 days, county clerk may destroy them.

Government Code Section 69503.1: (1987) Type of Record: Case files of Superior Court civil actions for tortuous personal injury

or for wrongful death for cases not dismissed, except records of probate, real property, juvenile, criminal or adoption proceedings. Exception: For actions involving filing of petition pursuant to C.C.P. SS 372.

When May Destroy: 15 years after final judgment Conditions: If no action is pending or under appeal, judgment has not been

enjoined, or time in which to enforce judgment has not been extended by court order or by operation of law.

Government Code Section 69503.2: (1988) Type of Record: All records and papers in any Superior Court civil action dismissed

pursuant to C.C.P. 5 583.210, 583.310, or 583.410, or upon request of plaintiff

When May Destroy: After notice of dismissal advises plaintiff that no microfilm will be

made Conditions: If no document other than the request for dismissal has been filed

subsequent to the complaint (It is unclear from the statute whether a court order is necessary for destruction of these records, and whether a period of 60 days from the date of the order is necessary before destruction.)

If court record is disposed of under this section, clerk shall enter the

information on the index as pursuant to Government Code Section 69842 or on a separate dismissal index.

Government Code Section 69503.4 (1989) requires that prior to destruction of any court papers and records open to public inspection, the clerk of the Superior Court give notice to: Secretary of State; any city or county museum in the county; any law school in the state accredited by the State Bar; any university or college in California. It provides for discontinuing notice of entities which respond in writing that they do not wish possession of records now or in the future.

46

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management If any entities request the records within 60 days of the mailing of the notice, records shall be permanently transferred upon written order of the presiding judge, unless request is denied for good cause. Costs to be borne by requesting party. If no request for transfer has been received within 6 months, or for historical records as provided for in Government Code Section 69503, 2 years after mailing of notice, clerk may destroy those records not designated for sampling as provided for in Government Code Section 69503(e), per written order of presiding judge. Clerk shall enter destruction information on the index per Government Code Section 69842, or on a separate destruction index. Government Code Section 69503.5: (1989) Type of Record: Statement or transcript on appeal from Municipal or Justice Court on

file in Superior Court appellate department When May Destroy: 5 years after decision becomes final Conditions: Notwithstanding any other provision of the law, and by order of

presiding judge of Superior Court appellate department. No micrographic print or copy is required.

Government Code Section 69504.6: (1989) Type of Record: Pleadings, motions, instruments, books, depositions, transcripts,

minute orders and any other material on file with Superior Court When May Destroy: In compliance with Government Code Section 69503 Conditions: Notwithstanding any other provisions of law, and if recorded on

microform as defined in Government Code Section 69503, including electronic imaging equipment. No changes to original report are permitted. Originals may be destroyed in compliance with Government Code Section 69503.

Government Code Section 69844.5: (1953) Type of Record: Minute books, judgment books, orders and decrees in Superior

Court When May Destroy: In lieu of keeping, clerk may photograph, microphotograph or

photocopy (no time limit specified), but this section does NOT authorize destruction of originals

47

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: If copying is in compliance with minimum standards of National

Bureau of Standards; if copies are properly indexed, preserved and kept accessible; and if duplicate of each microfilm roll is kept in a safe and separate place

Government Code Section 69845: (1987) Type of Record: Entire register of actions (in Superior Court) or portions deemed

unnecessary by the clerk When May Destroy: No time specified Conditions: If clerk determines the register is not necessary in order to conduct

the business of the clerk's office, register may be destroyed without copying, if the clerk has given prior notice of proposed destruction to Secretary of State, who shall have 60 days to request transfer of the records.

Health and Safety Code Section 11361.5(a),(c): (1984) Type of Record: Records of any court of California or any public agency that

provides services upon referral under Penal Code Section 1000.2, or records of any local public agency pertaining to the arrest or conviction of a person for violation of Health and Safety Code Sections 11357(b), (c), (d) or (e), or of Health and Safety Code Section 11360(b) (See also Health and Safety Code Section 11361.5(d).)

When Shall Destroy: 2 years from date of convictions, or from date of arrest if there

was no conviction. Exception: Regarding records of a violation of Health and Safety Code Section 11357(e), records shall be retained until offender reaches age 18.

Conditions: Destruction shall be accomplished by permanent obliteration of all

entries or notations upon the records pertaining to the arrest or conviction; and record shall be prepared again so it appears that arrest or conviction never occurred. But where the only entries upon the record pertain to the arrest or conviction and the record can be destroyed without necessarily effecting destruction of other records, then document constituting the record shall be physically destroyed.

48

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management This subdivision does not apply to records of any conviction

occurring before January 1, 1976, or records of any arrest not followed by a conviction occurring before that date.

Health and Safety Code Section 11361.5(d): (1984) Notwithstanding Health and Safety Code Section 11361.5(a) or (b), written transcription of oral testimony in court and published judicial appellate reports are not subject to this section. And no records shall be destroyed per Health and Safety Code Section 11361.5(a) if defendant has filed a civil action against the arresting law enforcement jurisdiction or jurisdiction that instituted prosecution, and if the agency that is custodian of the records has received a certified copy of the complaint, until the action has been resolved. Destruction of these records subject to Health and Safety Code Section 11361.5(a) shall occur immediately after final resolution of the civil action, pursuant to Health and Safety Code Section 11361.5(c) if more than 2 years Penal Code Section 1269: (1955) Type of Record: Bail bonds in Superior, Municipal or Justice Courts When Shall Destroy: After 3 years since exoneration or release of bail

Conditions: Affidavit or testimony in open court that more than 3 years have elapsed since exoneration or release of the bail, and by direction of the court

Penal Code Section 1417: (1985) Type of Record: All exhibits in any criminal action or proceeding When Shall Destroy or Dispose Of: After final determination of action or proceeding

(See Penal Code Section 1417.1.) Conditions: As provided for in Penal Code Section 1417 through 1417.7 (See

below.) Penal Code Section 1417.1:(1985) For the purposes of these sections pertaining to destruction of exhibits in a criminal action or proceeding, the date when such action or proceeding becomes final is: (a) When no notice of appeal is filed, 30 days after last day for filing that notice; (b) When notice of appeal is filed, 30 days after date on which clerk of court receives remittitur affirming the judgment; (c) When order for rehearing, new trial, or other proceeding is granted, and the ordered proceedings have not commenced within 1 year, 1 year after date of that order; (d) In cases where a death penalty is imposed, 30 days after the date of execution of sentence. Penal Code Section 1417.3: (1986)

49

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Any exhibits in any criminal action or proceeding which pose a

security, storage, safety or health problem, as recommended by the clerk of court

When Shall Return (to party offering them): At any time prior to final determination or

action or proceeding Conditions: By order of the court and in compliance with Penal Code

Section1417.7. If exhibit is by nature sever able, court may order clerk to retain a portion of exhibit and shall order clerk to return the rest to the district attorney. Clerk shall, on court order substitute a complete photographic record of any part of or full exhibit returned under this section.

Penal Code Section 1417.5(a): (1986) Type of Record: Except as provided for in Penal Code Section1417.6, all exhibits in a

criminal action or proceeding remaining in clerk's possession if applied for by owner of exhibit, by person entitled to possession, or by agent designated in writing by owner.

When Shall Return: 60 days after final determination of action or proceeding (See

Penal Code Section 1417.1above.) Conditions: By court order upon application by above-mentioned person, if

release will not prejudice state. Disposition pursuant to this section must also be in compliance with

Penal Code Section 1417.7. (See below.) Penal Code Section 1417.5(b): (1985) Type of Record: All exhibits in criminal action or proceeding remaining in clerk's

custody not applied for before the date for disposition as provided for in Penal Code Section 1417.5(a)

When Shall Be Disposed Of: After 60 days after final determination of proceeding (See

Penal Code Section 1417.1 above.) Conditions: Exhibits of stolen or embezzled property, other than money, shall be

disposed of by court order as provided for in Penal Code Section 1417.6.

50

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Exhibits of property not stolen or embezzled* or consisting of money

shall, unless otherwise provided for in this section, be transferred to appropriate county agency as specified in Penal Code Section 1417.5. If county determines any property is needed for a public use, it may be retained by the county.

Exhibits of money shall be disposed of pursuant to Penal Code

Section 1420. Disposition pursuant to this section must also be compliance with Penal Code Section 1417.7.

*If this property is determined by the court to have no value at public sale, it shall be destroyed/disposed of by court order. Penal Code Section 1417.6: (1985) This section states that the provisions of Penal Code Section 1417.5 shall not apply to dangerous or deadly weapons, narcotic or poisonous drugs, explosives or any property the possession of which is prohibited by law and which was used by the defendant in commission of the crime of which defendant was convicted, or with which defendant was armed or which defendant had upon his or her person at the time of his or her arrest. Any of this property introduced or filed as an exhibit shall be destroyed or disposed of by court order, by provisions of the order, after 60 days following final determination of the criminal action or proceeding. (See Penal Code Section 1417.1.) Disposition pursuant to this section shall also be in compliance with Penal Code Section 1417.7. Penal Code Section 1417.7: (1985) This section states that not less than 15 days before proposed disposition of an exhibit pursuant to Penal Code Section 1417.3, 1417.5, or 1417.6, the court shall notify the district attorney (or other prosecuting attorney), attorney of record for each party, and each party not represented by counsel, of the proposed disposition. The section provides that before disposition each party may have photographic record taken of the exhibit, to be observed and certified by the clerk and retained for 60 days after final determination of the criminal action or proceeding. (See statute for specifics.) Welfare and Institutions Code Section 826(a): (1981) Type of Record: Juvenile Court records, including all records and papers, minute

book entries, dockets and judgment dockets. Exception: Exhibits shall be destroyed as provided for in Penal Code

Sections 1418, 1418.5, and 1419.

51

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When Shall Destroy or Dispose Of: Destruction: If subject of the record was alleged or adjudged to be a person described by Welfare and Institutions Code Sections 300 or 601 - when the subject reaches age 28. If subject was alleged or adjudged to be a person described by welfare and Institutions Code Section 602 - when subject reaches age 38. Disposition to subject of records: 5 years after jurisdiction of Juvenile

Court has terminated. Conditions: Destruction: By court order, and if court has not determined records

shall be retained, or if record is not released to the subject pursuant to this section.

Disposition to subject of records: If subject of record requests the

records by written notice, unless court determines record shall be retained.

Welfare and Institutions Code Section 826(b): (1981) Type of Record: Juvenile Court records as in Welfare and Institutions Code Section

826(a) retained by an agency other than Juvenile Court. When Shall Destroy: After destruction or disposition of those Juvenile Court records by

court clerk pursuant to Welfare and Institutions Code Section 826(a)

Conditions: By court order, if subject of records discovers another agency retains

the record, and if subject petitions the court for destruction of the records, as specified in Welfare and Institutions Code Section 826(b), and if court does not order to the contrary.

Court shall send a copy of order to each agency and agency shall

destroy those records in its custody, then advise court of its compliance.

Court shall then destroy copy of petition, order and notice of

compliance. Welfare and Institutions Code Section 826(c): (1981) Type of Record: Juvenile Court traffic matter records: all records and papers, minute

book entries, dockets and judgment dockets When May Destroy: After 5 years after termination of court's jurisdiction

52

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: Original record may be microfilmed or photocopied Welfare and Institutions Code Section 826.5: (1981) Type of Record: All (juvenile Court) records and papers, the Juvenile Court record,

any minute book entries, dockets and judgment dockets in the proceedings concerning a person as a minor. Per this section, exhibits shall be destroyed pursuant to Penal Code Sections 1418, 1418.5 and 1419 (now repealed).

When May Destroy: At any time before a person reaches the age when his or her

records are required to be destroyed Conditions: Notwithstanding Welfare and Institutions Code Section 826; and if

the records are microfilmed or photocopied prior to destruction EMERGENCY SERVICES Government Code Section 26202.6: (1981) Type of Records: Recordings of telephone and radio communications maintained by

county departments, the public safety communications center or special districts

When May Destroy: After 100 days Conditions: Notwithstanding Government Code Sections 26202, 26205, and


HEALTH OFFICER Business and Professions Code Section 4065(a): (1986) Type of Record: Records of the kind and amounts of drugs purchased, administered

and dispensed at a surgical clinic, as defined in Health and Safety Code Section 1204(b)(1)

When May Destroy: After 7 years (rev. 1/93) Conditions: None

53

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Business and Professions Code Section 4232: (1987) Type of Record: All records of sale, purchase or disposition of dangerous drugs or

devices When May Destroy: After 3 years from date of making records Conditions: None Civil Code Section 4305: (1978) Type of Record: Copies of (premarital certificate of examination lab work) reports When May Destroy: After 2 years Conditions: If reports/records are submitted to State Department of Health

Services as is required by regulation Health and Safety Code Section 460: (1969) Type of Record: X-ray photographs and case records taken by county health

officer in performance of his or her duties with regard to tuberculosis

When May Destroy: When more than 5 years old. The board of supervisors may

authorize destruction of the records or disposition to a public or private medical library.

Conditions: By authorization of the board of supervisors if (1) the health officer

determines that such x-rays in conjunction with case records do not show existence of tuberculosis in the infectious stage, or (2) the individual of whom the x-rays were taken has been deceased not less that 2 years, or the individual's 102nd birthday has occurred, and it cannot be reasonably ascertained whether he or she is still living, or (3) the place of residence of the individual of who the x-ray was taken has been unknown for 10 years.

Health and Safety Code Section 7501: (1965) Type of Record: Original or duplicate of permit for removal of interred remains (Permit

for Disposition of Human Remains) When May Destroy: Issuer of permit shall retain a copy.

54

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: None Health and Safety Code Section 10376.5: (1985) Type of Record: Original or duplicate Permit for Disposition of [cremated] Human

Remains (from place of cremation or interment) When May Destroy: After 1 year (Statute is unclear whether it means I year after permit

was issued, after date of final disposition, or after local registrars receive their copy.)

Conditions: None Health and Safety Code Section 10379: (1985) Type of Record: Original or duplicate of permit to inter human body (Permit for

Disposition of Human Remains) When May Destroy: 1 year after permit is returned to local registrar with date of

interment or cremation endorsed thereon (Statute is unclear whether it means 1 year after permit was issued, after date of final disposition, or after local registrars receive their copy.)

Conditions: None JUSTICE COURTS AND MUNICIPAL COURTS Code of Civil Procedure Section 1952: (1984) Type of Record: Exhibit or deposition in civil proceeding When May Destroy: Upon final determination or dismissal of the action or

proceeding Conditions: By order of the court on its own motion No exhibit or deposition shall be ordered destroyed or disposed of

pursuant to this section until 60 days after notice of proposed action has been mailed by clerk to attorneys of records and to all parties without an attorney of record.

Notice is complete upon mailing of notice by the clerk to the attorney

or to the party, if he or she has no attorney, at his or her last address shown in the file. Notice may also be given by the clerk by indicating on Notice of Entry of Judgment that if no appeal is filed the court may

55


order exhibit or deposition destroyed after 60 days from expiration of appeal time.

No such exhibit or deposition shall be ordered destroyed or disposed

of pursuant to this section if a party to the proceeding files written notice with the court requesting the preservation of any exhibit or deposition for a stated time, not to exceed 1 year. Exhibit or deposition may be destroyed after that time unless another notice is filed.

Code of Civil Procedure Section 1952.3: (1985) Type of Record: Exhibit or deposition in civil action or proceeding When May Destroy: 5 years after time for appeal expires if appeal is not taken, or 5

years after final determination of appeal if appeal was taken, or 5 years after any of the following: (a) Motion for new trial granted and memo to set has not been filed, or motion to set for trial has not been made within such 5 years; (b) Filing of remittitur, where after appeal action has been remanded to trial court for new trial and same has not been brought to trial within 5 years of filing of remittitur; (c) Dismissal of such action or proceeding*.

* Any sealed file shall be retained at least 2 years after date that destruction would

otherwise be authorized by this statute. Conditions: By order of the court on its own motion and entry thereof made in

the registers of actions, and notwithstanding any other provision of the law


disposed of pursuant to this section if a party to the proceeding files written notice with the court requesting the preservation of any exhibit or deposition for a stated time, not to exceed 1 year. Exhibit or deposition may be destroyed after that time unless another notice is filed.

NOTE: Code of Civil Procedure Section 1952.2 (1984) authorizes the court to return exhibits and depositions to the attorneys for the parties at the expiration of the appeal period. See "Review of Selected 1969 Code Legislation" pages 94 and 95 for a discussion of the application of Sections 1952, 1952.2 and 1952.3 of the Code of Civil Procedure. It which provision is contained in Section 1952. Code of Civil Procedure Section 1952.3: (1985)

56

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Exhibit or deposition that remains in the custody of the court or

clerk 10 years after introduction or filing of the action or proceeding When May Destroy: After 10 years from the introduction or filing of action or

proceeding* * Any sealed file shall be retained at least 2 years after date that destruction would

otherwise be authorized by this statute. Conditions: If, in discretion of the court, exhibit or deposition should be

disposed of or destroyed. Order shall be entered in registers of action.


disposed of pursuant to this section if a party to the proceeding files written notice with the court requesting the preservation of any exhibit or deposition for a stated time, not to exceed 1 year. Exhibit or deposition may be destroyed after that time unless another notice is filed.

Health and Safety Code Section 11361.5(a),(c): (1984)] Type of Record: Records of any court of California or any public agency that

provides services upon referral under Penal Code Section 1000.2, or records of any local public agency pertaining to the arrest or conviction of a person for violation of Health and Safety Code Sections 11357(b), (c), (d) or (e), or of Health and Safety Code Section 11360(b) (See also Health and Safety Code Section 11361.5(d).)

When Shall Destroy: 2 years from date of convictions, or from date of arrest if there was

no conviction. Exception Regarding records of a violation of Health and Safety Code Section 11357(e), records shall be retained until offender reaches age 18.



57


occurring before January 1,1976, or records of any arrest not followed by a conviction occurring before that date.

Health and Safety Code Section 11361.5(d): (1984) Notwithstanding Health and Safety Code Section 11361.5:)(a) or (b), written transcription of oral testimony in court and published judicial appellate reports are not subject to this section. And no records shall be destroyed per Health and Safety Code Section 11361.5(a) if defendant has filed a civil action against the arresting law enforcement jurisdiction or jurisdiction that instituted prosecution, and if the agency that is custodian of the records has received a certified copy of the complaint, until the action has been resolved. Destruction of these records subject to Health and Safety Code Section 11361.5(a) shall occur immediately after final resolution of the civil action, pursuant to Health and Safety Code Section 11361.5(c) if more than 2 years have elapsed from date of conviction or arrest without conviction. Penal Code Section 1269: (1955) Type of Record: Bail bonds in Superior, municipal or Justice Courts When Shall Destroy: After 3 years since exoneration or release of bail Conditions: Affidavit or testimony in open court that more than 3 years have

elapsed since exoneration or release of the bail, and by direction of the court

Penal Code Section 1417: (1985) Type of Record: All exhibits in any criminal action or proceeding When Shall Destroy or Dispose Of: After final determination of action or proceeding

(See Penal Code Section 1417.1.) Conditions: As provided for in Penal Code Section 1417 through 1417.7 (See below.) Penal Code Section 1417.1: (1985) For the purposes of these sections pertaining to destruction of exhibits in a criminal action or proceeding, the date when such action or proceeding becomes final is: (a) When no notice of appeal is filed, 30 days after last day for filing that notice; (b) When notice of appeal is filed, 30 days after date on which clerk of court receives remittitur affirming the judgment; (c) When order for rehearing, new trial, or other proceeding is granted, and the ordered proceedings have not commenced within 1 year, 1 year after date of that order; (d) In cases where a death penalty is imposed, 30 days after the date of execution of sentence.

58

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Penal Code Section 1417.3: (1986) Type of Record: Any exhibits in any criminal action or proceeding which pose a

security, storage, safety or health problem, as recommended by the clerk of court

When Shall Return (to party offering them): At any time prior to final determination or

action or proceeding Conditions: By order of the court and in compliance with Penal Code Section

1417.7. If exhibit is by nature sever able, court may order clerk to retain a portion of exhibit and shall order clerk to return the rest to the district attorney. Clerk shall, on court order substitute a complete photographic record of any part of or full exhibit returned under this section.

Penal Code Section 1417.5(a): (1986) Type of Record: Except as provided for in Penal Code Section 1417.6, all exhibits

in a criminal action or proceeding remaining in clerk's possession if applied for by owner of exhibit, by person entitled to possession, or by agent designated in writing by owner.

When Shall Return: 60 days after final determination of action or proceeding (See Penal

Code Section 1417.1 above.) Conditions: By court order upon application by above-mentioned person, if

release will not prejudice state Disposition pursuant to this section must also be in compliance with Penal Code Section 1417.7. (See below.)

Penal Code Section 1417.5(b): (1986) Type of Record: All exhibits in criminal action or proceeding remaining in clerk's

custody not applied for before the date of disposition as required by Penal Code Section 1417.5(a)

When Shall Be Disposed Of: 60 days after final determination of proceeding (See Penal

Code Section 1417.1 above.) Conditions: Exhibits of stolen or embezzled property, other than money, shall be

disposed of by court order as provided for in Penal Code Section 1417.6.

59

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Exhibits of property not stolen or embezzled* or consisting of money

shall, unless otherwise provided for in this section, be transferred to the appropriate county agency as specified in Penal Code Section 1417.5. If county determines any property is needed for a public use, it may be retained by the county.

Exhibits of money shall be disposed of pursuant to Penal Code

Section 1420. Disposition pursuant to this section must also be compliance with

Penal Code Section 1417.7. *If this property is determined by the court to have no value at public sale, it shall be destroyed/disposed of by court order. Penal Code Section 1417.6: (1985) This section states that the provisions of Penal Code Section 1417.5 shall not apply to dangerous or deadly weapons, narcotic or poisonous drugs, explosives or any property the possession of which is prohibited by law and which was used by the defendant in commission of the crime of which defendant was convicted, or with which defendant was armed or which defendant had upon his or her person at the time of his or her arrest. Any of this property introduced or filed as an exhibit shall be destroyed or disposed of by court order, by provisions of the order, after 60 days following final determination of the criminal action or proceeding. (See Penal Code Section 1417.1. Disposition pursuant to this section shall also be in compliance with Penal Code Section 1417.7. Penal Code Section 1417.7: (1985) This section states that not less than 15 days before proposed disposition of an exhibit pursuant to Penal Code Sections 1417.3, 1417.5, or 1417.6, the court shall notify the district attorney (or other prosecuting attorney), attorney of record for each party, and each party not represented by counsel, of the proposed disposition. The section provides that before disposition each party may have a photographic record taken of the exhibit, to be observed and certified by the clerk and retained for 60 days after final determination of the criminal action or proceeding. (See statute for specifics.) Government Code Section 68089: (1953) Type of Record: Vouchers (civil action or proceeding) When May Destroy: 2 years after judgment has become final

60

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: By court order, deliver to party filing or party's attorney; if such person

can't be located or fails after a reasonable time to obtain them, court may order to destroy same.

Government Code Section 71007: (1980) Type of Record: Original docket or register of actions (docket in criminal matters)

required by Penal Code Section 1428 and Code of Civil Procedures Section 1052, in Municipal and Justice Courts

When May Destroy: Upon making reproduction by photography, microphotography, or

mechanically or electronically storing all records necessary to the keeping of a docket or register of actions

Conditions: If completeness and chronological sequence of the record are not

disturbed, and if such reproduction is made in compliance with minimum standards of quality approved by National Bureau of Standards. All reproductions shall be indexed and kept in convenient, accessible files. Each microfilm role shall be a book and shall be available for public use. Duplicates of reproductions as are provided for in this section shall be kept in a separate place to assure their preservation for the time prescribed in Government Code Section 71008.

Government Code Section 71007.1: (1989) Type of Record: Municipal and Justice Court documents as follows: pleadings,

motions, instruments, books, depositions, transcripts, minute orders, complaints, dockets, registers of action, and any other records which are part of the court file or are lodged with the Municipal or Justice Courts

When May Destroy: In conformity with Government Code Section 71008 Conditions: Notwithstanding any other provision of law, upon reproduction of the

above records, by microfilm (as defined in Government Code SS 69503), or by electronic imaging equipment. No changes to original are permitted.

Government Code Section 71008(b): (1989) Type of Record/ When May Destroy: All papers/records in Municipal and Justice Courts proceedings other than those set forth in Government Code Section 71008(c). [Retention periods below shall be measured from the determination of the proceeding or

61

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management of the forfeiture of bail in cases where no other proceedings are had during a like period following forfeiture. (See Government Code Section 71008(a).)] (1) 2 years for: cases alleging violations of Vehicle Code Division 11,

Chapter 9 (Section 22500, et seq.), or violations of local ordinance adopted pursuant thereto, or violations of Food and Agricultural Code Division 14, (Section 30501, et seq.), or violations of local ordinance adopted pursuant thereto regarding regulation or licensing of dogs, or for cases regarding stopping, standing, or parking.

Records for cases alleging violations of Health and Safety Code

Section 11357(b) or (c), or of Health and Safety Code Section 11360(c) may be destroyed after 2 years in accordance with Health and Safety Code Section 11361.5.

(2) 3 years for: records specified in Penal Code Section 1269 (bail

bonds), and for all other records not specified in Government Code Section 71008.

3) 3 years for: all infraction cases not specified in (1), and for any

misdemeanor case alleging violations of Vehicle Code other than Sections 14601,14601.1, 20002, 23103, 23104, 23105, 23106, 23152, and 23153.

(4) Except as specified in (5), 5 years for: all other misdemeanor

cases, including cases alleging violations of Vehicle Code Sections 14601, 14601.1, 20002, 23104, 23105, or 23106; and all felony cases.

(5) 7 years for: any misdemeanor cases alleging violation of Vehicle

Code Sections 23103, 23152, or 23153. (6) 10 years for: any civil action or special proceeding, including

small claims, from date on which judgment became final. (7) 5 years for: any civil action or special proceeding, including small

claims, from date of commencement of action or proceeding if case is not prosecuted to judgment.

(8) 60 days for: any civil action or special proceeding, including

small claims, from date of clerk's entry of dismissal of case in its entirety at plaintiff's request.

(9) 60 days for: any civil action or special proceeding, including

small claims, from date of court's order to dismiss pursuant to C.C.P.

62


SS 583.210, 583.310, or 583.410(See Government Code Section 71008(d) below.)

Conditions: By order of presiding judge of that court Government Code Section

71008(c): (1989) Type of Record: Municipal or Justice Court's docket, register of actions, and indexes in

actions governed by Government Code Section 71008(b)(4), (5). And (6)

When May Destroy [Retention period as defined in Government Code Section 71008(e)

shall be measured from the determination of the proceeding or of the forfeiture of bail in cases in which no other proceedings are had during a like period following such forfeiture.] Retention period for these documents shall be at least 10 years.

Exception: Upon written request of any party to an action involving

records governed by Government Code Section 71008(b)(4), (5), or (6), docket or register of actions shall be retained for an additional 10 years.

In all other cases, docket and minutes may be destroyed

concurrently with other papers and records affecting the case. Conditions: By order of presiding judge Government Code Section 71008(d): (1989) Type of Record: Municipal or Justice Court's docket, register of actions, and indexes

in civil or small claims actions, where dismissal was ordered pursuant to C.C.P. SSSS 583.210, 583.310 or 583.410 after notice to parties of intent to dismiss

When May Destroy: Shall be retained for an additional minimum of 1 year Conditions: Retention for additional length of time prior to destruction occurs if a

party files written notice of opposition within 30 days of mailing of the notice of intention to dismiss. Subsequent destruction is by order of presiding judge.

Government Code Section 71009(a): (1980) Type of Record: All exhibits in any Municipal and Justice Court's criminal action

or proceeding

63

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When Shall Destroy/ Conditions: In compliance with Penal Code Part 2, Title 10, Chapter 13 (Sections

1417 et seq.) Government Code Section 71009(b): (1980) Type of Record: Exhibits of dangerous and deadly weapons in Municipal and

Justice Courts When Shall Destroy or Dispose Of: In accordance with Penal Code Section 12028 (1987), disposal

at public auction: Annually between July 1-July 10. Destruction: Next succeeding July, or sooner if necessary to conserve resources such as space

Conditions: In accordance with Penal Code Section 12028, disposal at public

auction may occur unless the district attorney or judge of the court of record certifies that retention is necessary or proper to justice; or unless officers in charge of weapons consider them of no value with respect to sport, recreation or collection. Buyers must be licensed under federal law to engage in business involving purchased weapons.

A stolen, subsequently recovered weapon, or a weapon used in a

manner constituting a nuisance pursuant to Penal Code Section 12028(a) or (b) without prior knowledge of its owner shall be restored to lawful owner rather than sold, as soon as it is no longer needed for evidentiary purposes, upon owner's I.D. of weapon and proof of ownership.

In accordance with Penal Code Section 12028, destruction shall

occur if weapon is not of a type to be sold at public auction or is not sold pursuant to Penal Code Section 12028(c); and if the district attorney or judge of court of record does not certify that retention is necessary to justice. Destruction shall occur so that the weapon can no longer be used as such weapon.

Penal Code Section 12028 does not apply to a firearm used in

violation of Fish and Game Code or regulations adopted pursuant to that code, or to a firearm, which was forfeited pursuant to Public Resources Code Section 50086.

64

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management No weapon shall be sold or destroyed pursuant to Penal Code

Section 12028(c) or (d) unless reasonable notice is given to lawful owner, if owner's I.D. and address can be reasonably obtained.

Government Code Section 71009(c): (1980) Type of Record: Exhibits of controlled substances and property subject to forfeiture

under Health and Safety Code Division 10, Chapter 8 (Sections 11470 et seq.) in Muni or Justice Courts

When Shall Destroy: In accordance with Health and Safety Code Sections 11474

(1980), and 11474.5 (now renumbered Section 11473.5 (1980)). No time specified.

Conditions: In accordance with Health and Safety Code Sections 11474, and

11474.5 (now renumbered Section 11473.5), by court order, which shall specify the agency responsible for destruction: police or Sheriff's Department, or Department of Justice. Substances, etc., not in possession of designated agency shall be delivered to said agency for destruction. Destruction shall occur unless court finds that substances, etc., were lawfully possessed by the defendant.

Government Code Section 71009(d): (1980) Type of Record: Civil exhibits, including small claims exhibits, and depositions in

Municipal or Justice Court When Shall Destroy/ Conditions: In accordance with C.C.P. SSSS 1952, 1952.2, and 1952.3 LOCAL AGENCY FORMATION COMMISSION Government Code Section 56382: (1985) Type of Record: Original records of the commission When May Destroy: If more than 2 years old Conditions: Upon authorization of the commission after a photographic copy

thereof is made and preserved Government Code Section 56382: (1985) Type of Record: Any duplicate record, paper or other document of the commission

65

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When May Destroy: At any time Conditions: Upon authorization of the commission if the original, or a

photographic copy thereof, is retained in the commission's files PLANNING Health & Safety Code Section 19850: (1988) Type of Record: Building plans of every building, during the life of the building, for

which the department issued a building permit When May Destroy: Section does not address destruction, but requires that an official

copy be maintained. Conditions: Copy may be on microfilm or other type of photographic copy. Except for plans of a common interest development as defined in

Section 1351 of the Civil Code, plans need not be filed for (a) single or multiple dwellings not more than two stories and basement in height; (b) garages and other structures appurtenant to buildings described under subdivision (a); (c) farm or ranch buildings; (d) any one-story building where the span between bearing walls does not exceed 25 feet. This exemption does not apply to a steel frame or concrete building.

Health & Safety Code Section 19851: (1988) Type of Record: Official copy of plans required by H & S section 19850 When May Destroy: Section does not address destruction of records, but rather the

inspection and duplicating of copies required by H & S section 19850.

Conditions: Official copies shall be open for inspection only on the premises of the

building department as a public record. Copy may not be duplicated except (1) with written permission of the signer of the original documents, which permission shall not be unreasonably withheld, as specified in subdivision (f), and with the written permission of the original or current owner of the building, or, if the building is part of a common interest development, with the written permission of the board of directors or governing body of the managing association, or (2) by order of a proper court. The building department requested to duplicate the official copy of the plans shall request written

66


permission to do so from the parties named in (1) above. The request may be by certified letter as specified in subdivision (d).

The building department shall also furnish an affidavit form to be

completed by the person requesting the duplicate, as specified in subdivision (c).

PROBATION Code of Civil Procedure Section 131.3: (1961) Type of Record: Records and papers in possession of probation officer relating to

cases subject to Code of Civil Procedure Section 131.3 When May Destroy: 5 years after termination of probation in such cases Conditions: None Health and Safety Code Section 11361.5(a),(c): (1984) Type of Record: Records of any court of California or any public agency that

provides services upon referral under Penal Code Section 1000.2, or records of any local public agency pertaining to the arrest or conviction of a person for violation of

Health and Safety Code Sections 11357(b), (c), (d) or (e), or of Health and Safety Code Section 11360(b) (See also Health and Safety Code Section 11361.5(d).) When Shall Destroy: 2 years from date of convictions, or from date of arrest if there

was no conviction. Exception: Regarding records of a violation of Health and Safety Code Section 11357(e), records shall be retained until offender reaches age 18.



67


occurring before January 1, 1976, or records of any arrest not followed by a conviction occurring before that date.

Health and Safety Code Section 11361.5(b), (c): (1984) Type of Record: Records of convictions and arrests not followed by conviction

occurring prior to January 1, 1976, for any of the following:(1) Violation of Health and Safety Code Section 11357, or a statutory predecessor thereof; (2) Unlawful possession of a device, contrivance, instrument or paraphernalia used for unlawfully smoking marijuana, in violation of Health and Safety Code Section 11364, as it existed prior to January 1, 1976, or a statutory predecessor thereof; (3) Unlawful visitation or presence in a room or place in which marijuana is being unlawfully smoked or used in violation of Health and Safety Code Section 11365, as it existed prior to January 1, 1976, or a statutory predecessor thereof; (4) Unlawfully using or being under the influence of marijuana, in violation of Health and Safety Code Section 11550, as it existed prior to January 1, 1976, or a statutory predecessor thereof. (See also Health and Safety Code Section 11361.5(d).)

When May Destroy:Upon receipt of notice from the Department of Justice of sufficient

application for destruction of records by the subject of the records Conditions: Destruction shall be accomplished by permanent obliteration of all

entries or notations upon the records pertaining to the arrest or conviction, and the record shall be prepared again so that it appear that the arrest or conviction never occurred. However, where (1) the only entries upon the record pertain to that arrest or conviction, and (2) the record can be destroyed without necessarily effecting the destruction of the records, then the document constituting the record shall be physically destroyed. Notices from the Department of Justice to the agencies shall be destroyed by the department or agency at the time the other records of the arrest or conviction are destroyed.

Health and Safety Code Section 11361.5(d): (1984) Notwithstanding Health and Safety Code Section 11361.5(a) or (b), written transcription of oral testimony in court and published judicial appellate reports are not subject to this section. And no records shall be destroyed per Health and Safety Code Section 11361.5(a) if defendant has filed a civil action against the arresting law enforcement jurisdiction or jurisdiction that instituted prosecution, and if the agency that is custodian of the records has received a certified copy of the complaint, until the action has been resolved. Destruction of these records subject to Health and Safety Code Section 11361.5(a) shall occur immediately after final

68

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management resolution of the civil action, pursuant to Health and Safety Code Section 11361.5(c) if more than 2 years have elapsed from date of conviction or arrest without conviction. Welfare and Institutions Code Section 826(a): (1981) Type of Record: Juvenile Court records, including all records and papers, minute book

entries, dockets and judgment dockets. Exception: Exhibits shall be destroyed as provided for in Penal Code Sections 1418, 1418.5, and 1419.

When Shall Destroy or Dispose of: Destruction: If subject of the record was alleged or

adjudged to be a person described by Welfare and Institutions Code Sections 300 or 601 - when the subject reaches age 28. If subject was alleged or adjudged to be a person described by Welfare and Institutions Code section 602 - when subject reaches age 38.

Disposition to subject of records: 5 years after jurisdiction of Juvenile

Court has terminated. Conditions: Destruction: By court order, and if court has not determined records

shall be retained, or if record is not released to the subject pursuant to this section.

Disposition to subject of records: if subject of record requests the

records by written notice, unless court determines record shall be retained.

Welfare and Institutions Code Section 826(b): (1981) Type of Record: Juvenile Court records as in Welfare and Institutions Code Section

826(a) retained by an agency other than Juvenile Court. When Shall Destroy: After destruction or disposition of those Juvenile Court records by

court clerk pursuant to Welfare and Institutions Code Section 826(a)

Conditions: By court order, if subject of records discovers another agency retains

the record, and if subject petitions the court for destruction of the records, as specified in Welfare and Institutions Code Section 826(b), and if court does not order to the contrary.

69

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Court shall send a copy of order to each agency and agency shall

destroy those records in its custody, then advise court of its compliance.

Court shall then destroy copy of petition, order and notice of

compliance. Welfare and Institutions Code Section 826(c): (1981) Type of Record: Juvenile Court traffic matter records: all records and papers,

minute book entries, dockets and judgment dockets When May Destroy: After 5 years after termination of court's jurisdiction Conditions: Original record may be microfilmed or photocopied Welfare and Institutions Code Section 826.5: (1981) Type of Record: All (juvenile Court) records and papers, the Juvenile Court record,

any minute book entries, dockets and judgment dockets in the proceedings concerning a person as a minor. Per this section, exhibits shall be destroyed pursuant to Penal Code Sections 1418, 1418.5 and 1419 (now repealed).

When May Destroy: At any time before a person reaches the age when his or her

records are required to be destroyed Conditions: Notwithstanding Welfare and Institutions Code section 826; and if

the records are microfilmed or photocopied prior to destruction PURCHASING AGENT Government Code Section 25501.5: (1961) Type of Record: Written requisition received by purchasing agent When May Destroy or Dispose Of: If more than 3 years old Conditions: Board of supervisors authorizes destruction. Requisitions need

not be photographed, reproduced or microfilmed prior to destruction and no copy thereof need be retained.

RECORDER

70

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Government Code Section 26205.5: (1989) Type of Record: Filed papers or record books created by handwriting, typing on

printed forms, by typewriting, or by photographic methods, in the recorder's official custody. In addition, special county records of birth, death and marriage as provided for in Health and Safety Code Section 10068.1.

When May Destroy: No time specified Conditions: Authorization of board of supervisors at request of county

recorder, if all of the following are complied with: (a) Record is photographed, micro photographed, reproduced by electronically recorded video images on magnetic surfaces, recorded in the electronic data-processing system, recorded on optical disk, reproduced by any other medium that permits no changes to original, or reproduced under direction and control of recorder on film, optical disk, or any medium approved for permanent records by National Institute of Standards and Technology; (b) Device used to reproduced on film, optical disk, or other medium accurately and legibly reproduces original and permits no changes to original; (c) Reproductions on film, optical disk, or other medium are as accessible for public reference as originals were; (d) Copy of archival quality of the film, optical disk or other medium are kept in a safe and separate place.

No page shall be destroyed if any page cannot be reproduced on

film with full legibility. Every un reproducible page shall be permanently preserved for easy reference.

Government Code Section 26205.6(a): (1988) Type of Record: Any original document left with and recorded by the recorder

which is undeliverable by mail and uncalled for 10 years or more after the date of recording

When May Destroy: 10 years after date of recording Conditions: Notwithstanding any other law relating to destruction of county

records Government Code Section 26205.6(b): (1988)

71

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Type of Record: Any original document left with and recorded by recorder by

permanent photographic means which is undeliverable by mail and un called for 2 years after date of recording

When May Destroy: 2 years after date of recording Conditions: Notwithstanding any other law regarding destruction of county

records Government Code Section 26205.7: (1972) Type of Record: Handwritten county recorder records of possible historical value.

In addition, special county records of birth, death and marriage as provided for in Health and Safety Code Section 10068.1

When May Destroy: No time specified Conditions: Notification to Secretary of State by Recorder of intent to destroy

records. If Secretary of State does not request transfer of records within 90 days, destruction of records may occur in compliance with Government Code Section 26205.5.

Government Code Section 27205: (1957) Type of Record: Building or improvement contracts, plans, specification and bond When May Destroy: Return to person filing same after 2 years from filing of notice of

completion. Destroy after 5 years from date of their being filed, if not returned.

Conditions: Disposition: May occur if recorder not notified in writing to retain

records, by someone claiming interest under contract or in the property. Destruction: May occur if records have not been delivered as provided in this section, and if recorder has not been notified in writing to retain them by someone claiming interest.

Government Code Section 27206: (1969) Type of Record: Federal tax liens together with any release of said lien When May Destroy: 8 years after lien filed in recorder's office Conditions: Microfilm copy of each unreleased tax lien to be made and certified

in manner provided by Evidence Code Section 1551; film used

72


must comply with U.S. Bureau of Standards requirements; original copy of microfilm to be kept in safe and separate place

Government Code Section 27207: (1967) Type of Record: Any or all filed papers or record books created under Land Title

Law (repealed 1955) When May Destroy: No time specified Conditions: At the request of county recorder; and by authorization of the board

of supervisors; and after compliance with Government Code Section 26205(a) through (d).

Government Code Section 27208: (1986) Type of Record: Any paper or document filed with or submitted to recorder more

than 1 year previously When May Destroy: 1 year after paper or document was filed or submitted to

recorder Conditions: If paper or document has been microfilmed; and if no other

provision of law requires a longer retention period; and if recorder does not determine there is a need for document's retention. In determining need for retention, consideration shall be given to future public need, the effect of statutes of limitation, historical significance,. etc.

Government Code Section 27265: (1949) Type of Record: Temporary index sheets provided for public use When May Destroy: Upon completion of permanent yearly indexes Conditions: If indexes are compiled by use of keypunch and printing machines;

and if permanent indexes are completed from the same key punch cards used to make temporary indexes

Government Code Section 27322.2 (1988) provides for microphotography, optical disk or reproduction by other techniques which don't permit changes to the original, to be used by the recorder to record some or all instruments, papers and notices which are required or permitted by law to be recorded or filed. All film used shall comply with minimum standards of U.S. Bureau of Standards. A true copy shall be kept in a safe and separate place which will reasonably assure its preservation indefinitely against

73

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management loss or destruction. A true copy shall be arranged in the recorder's office to facilitate public inspection. Government Code Section 27322.3 (1957) provides that if recorded instruments or record books in the recorder's office have been microfilmed for preservation, a type of record book may be used which will permit removal of leaves for efficient reproduction. To reproduce the record books for preservation, permanently bound books may be disassembled and, after copying, shall be rebound to permit later removal of leaves for efficient reproduction. Government Code Section 27322.4 (1988) provides that the recorder may cause any or all tiles or records in the recorder's official custody to be reproduced pursuant to Government Code Section 27322.2 as in the case of original filings and/or recordings. Reproductions shall be deemed originals; transcripts, certified copies, etc., shall be deemed transcripts, certified copies, etc., as the case may be, of the original. SPECIAL DISTRICTS Government Code Section 26202.6: (1981) Type of Records: Recordings of telephone and radio communications maintained by

county departments, the public safety communications center or special districts

When May Destroy: After 100 days Conditions: Notwithstanding Government Code Sections 26202, 26205, and


Government Code Section 60200: (1959) Type of Record: Any duplicate record, paper or document When May Destroy: At any time Conditions: Authorization of legislative body of special district; original or

permanent photographic record of which is in the files of any officer or department of the district

Government Code Section 60201: (1959) Type of Record: Any record, paper or document

74

COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When May Destroy: If more than 2 years old Conditions: If prepared or received in any manner other than pursuant to state

statute. Such record, etc. need not be photographed, reproduced, or microfilmed prior to destruction and no copy thereof need be retained. By authorization of legislative body of district.

Government Code Section 60202: (1959) Type of Record: Unaccepted bid or proposal for construction or installation of any

building, structure or other public work When May Destroy: If more than 2 years old Conditions: By authorization of legislative body of district Government Code Section 60203: (1989) Type of Record: Any record, paper, or document not expressly required by law to

be filed and preserved When May Destroy: No time specified Conditions: Authorization of legislative body of district and (a) the record, etc. is

photographed, micro photographed, reproduced by electronically recorded video images on magnetic surfaces, recorded in the electronic data-processing system, recorded on optical disk, reproduced by any other medium which doesn't permit changes to the original, or reproduced on film or other authorized medium that complies with the minimum standards of the National Institute of Standards and Technology; and (b) the device used to reproduce such record, etc. on film or other medium accurately reproduces the original there of in all details and does not permit changes to the original; and (c) the reproductions are placed in conveniently accessible files and provision is made for preserving, examining and using the same.

For purposes of this section, reproductions shall be deemed an

original record; transcripts, certified copies, etc. of a reproduction shall be deemed transcripts, certified copies, etc., as the case may be, of the original.

TAX COLLECTOR

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COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Government Code Section 26908: (1976) Type of Record: Tax rolls When May Destroy: 2 years after the last current item has been recorded hereon Conditions: Notwithstanding provisions of Revenue and Taxation Code Sections

4104.3 and 4104.5; and by order of board of supervisors; and if a photographic record of the tax roll has been made, one copy of which shall be permanently retained

TREASURER Government Code Section 27001: (1967) Type of Record: Certificates of the auditor delivered when money is paid into

treasury When May Destroy: After on file for 5 years or more Conditions: Notwithstanding provisions of Government Code section 26201, 26202

and 26205;and it must be (a) photographed, micro photographed or reproduced on film of a type approved for permanent photographic records by the National Bureau of standards; (b) the device used to reproduce into film accurately reproduces the original in all details; and (c) the reproductions are placed in conveniently accessible files and provision is made for preserving, examining and using them

Government Code Section 27002.1 (1961) provides that the treasurer may photograph, microphotograph or photocopy all receipts for money received by him order and all warrants paid by him or her as required in Government Code Section 27002. Reproductions shall be deemed originals; transcripts, certified copies, etc. shall be deemed transcripts, certified copies, etc., as the case may be, of the original. All such reproductions shall be indexed and placed in convenient, accessible files Each roll of microfilm shall be deemed a book, shall be designated and numbered, and provision shall be made for preserving, examining and using it. A duplicate of each microfilm roll shall be kept in a safe and separate place. Government Code Section 29940: (1947) Type of Record: Unsold bonds issued for county purposes

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COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management When May Destroy: 2 years after date of any election authorizing the bond issuance Conditions: Upon determination by board of supervisors that the sale of remaining

unsold bonds is inexpedient; and upon board order; and destruction shall be pursuant to Government Code Section 29940, et seq.

Government Code Section 53921: (1961) Type of Record: County bonds or coupons which have been paid or canceled When May Destroy: No time specified Conditions: Under such conditions as county treasurer may fix, with the approval of

the board of supervisors WELFARE Welfare and Institutions Code Section 10851(a),(d): [19891 Type of Record: Case records for public social services When May Destroy: After records have been retained for 3 years since public social

services were last provided Conditions: Unless the county is notified by the State Department of Social

Services or the State Department of Health Services, whichever has jurisdiction over the records, to retain them for longer, when necessary to a pending civil or criminal action.

These retention requirements are superseded to the extent another statute requires retention of the same records for a longer period for a different purpose. Welfare and Institutions Code Section 10851(b): (1989) Type of Record: Case narrative portions of case records (for public social

services cases), active or inactive When May Destroy: If more than 3 years old* Conditions: Notwithstanding Welfare and Institutions Code Section 10851(a);

and by authorization of the board of supervisors only after audit

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by State Department of Social services or State Department of Health Services, whichever has jurisdiction over the records

* If a civil or criminal action against a person based on alleged unlawful application for,

or receipt of, public social services is commenced before the expiration of the three-year period, no portion of case record shall be destroyed until such action is terminated.

Welfare and Institutions Code Section 10851(b): (1989) Type of Record: Documents in case files (for public social services cases)

which are over 3 years old (cases active or inactive) When May Destroy: If more than 3 years old* Conditions: By authorization of board of supervisors; and if documents a no longer necessary to document recipient's continued eligibility for public social services. * If a civil or criminal action against a person based on alleged unlawful application for,

or receipt of, public social services is commenced before the expiration of the three-year period, no portion of case record shall be destroyed until such action is terminated.

Welfare and Institutions Code Section 10851(c),(d): (1989) Type of Record: Fiscal, statistical and other such records necessary for maintaining

accountability and meeting reporting requirements regarding administration of public social services

When May Destroy: After 3 years from date of submission of the final expenditure

report Conditions: Shall be kept longer than 3 years when audit findings have not been

resolved. These retention requirements are superseded to the extent another

statute requires retention for a longer period for a different purpose. Welfare and Institutions Code Section 10851(e): (1989) Type of Record: Child abuse reports which have been determined to be unfounded

as defined in Penal Code Section 11165.12 When may Destroy: No time specified

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COUNTY OF SANTA CRUZ Attachment B.1 POLICY AND PROCEDURES Title IV - Records Management Conditions: Notwithstanding Welfare and Institutions Code Section 10851(a) or

any other statutory requirement regarding retention of public social services records

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Paperwork Management

Handbook

Records Disposition

County of Santa Cruz Purchasing Department

Records Retention Center Updated 12/27/16

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TABLE OF CONTENTS

Instructions: Click on section titles to navigate directly to the referenced page.

Section Section Title Page

1 Introduction 3 What is Records Disposition? Objectives of a Records Disposition Program 2 Records Inventory 4 Records Non-Record Material Preparing for a Records Inventory 3 Records Appraisal and Scheduling 6 Benefits of Regular Record Appraisal Values to Consider Determining Retention Periods Records Disposition Schedule Applying the Records Disposition Schedule 4 Transferring, Requesting and Disposing of Records 9 Records Request Form (GSD-20 Warehouse Requisition Form (GSD-63) Authorization for Records Destruction (GSD-21) Records Center Transfer List (GSD-95) Using Records Retention Center Reference Area

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Section 1: Introduction

In 1972, the Board of Supervisors authorized the construction of a warehouse and storage facility for this purpose. The operation and methods for records disposition and retention were then modeled off of the systems used by the State of California and the County of Alameda. The need for an efficient records management program in government and private industry has long been recognized as essential. Regardless of whether documents are typed, copied, printed or stored on media devices, this often adds up to a tremendous amount of information that must be properly and securely stored. To reduce the cost of storing these records, it is necessary to have a records disposition program. When it comes to physical records, most filing drawers, cabinets and shelves are subject to the “One-Third” rule:

• One-third is no longer used or needed, and can be recycled or destroyed. • One-third is comprised of records that are actually used in day-to-day departmental operations. • One-third can be transferred to low-cost storage because it is seldom, if ever, referred to.

This manual will detail the importance and function of the Records Retention Center in providing a low-cost storage solution. The purpose of the Records Retention Center is to resolve the critical needs of the County to better utilize high-cost office space and relieve departments of the responsibility of maintaining and administering files which are not required or are infrequently required in conducting current business by departmental personnel. The contents of this manual are intended to guide assigned personnel in each department to review the paperwork in their files and transfer the appropriate records to the low-cost Records Retention Center. What is Records Disposition? Records disposition is the systematic transfer of records not needed for everyday operations from the office to a low-cost storage. This also includes the destruction of records that no longer have any significant value but may or may not include sensitive or confidential information. Records Disposition is the first phase in the County’s paperwork management program. Objectives of a Records Disposition Program

1) To save space by removing records not required for daily operations from County offices. 2) To remove and destroy records which no longer have significant value from storage areas. 3) To maintain a regular, controlled flow of records from offices, to storage, to destruction. These

records shall be securely kept under supervision of the trained Records Retention Center personnel.

4) To save money by minimizing the need to purchase filing equipment and supplies for less active or unused records.

5) To provide inexpensive storage facilities for less active records. 6) To release surplus equipment for reuse or sale as appropriate. 7) To save time in locating records by removing inactive material from office files. 8) To implement and run an efficient program to ensure that all agencies know what records are

stored and where they are kept.

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Section 2: Records Inventory

When implementing a successful Records Disposition Program, personnel must know what records exist, where they are stored, their quantity, and how they are used. This information can usually be obtained by undertaking a complete inventory of the records. Though a formidable and time consuming process, it is the most reliable way of ascertaining records disposition needs. Records Records may be defined as “papers, maps, exhibits, magnetic or paper tape, photographic film or prints, digital storage methods, and/or any other documents produced, received, owned or used by a department regardless of the physical form or characteristics.” Non-Record Material It is often difficult to draw a clear distinction between records and non-record material. However, there are certain materials that can be discarded as soon as they are read, and should therefore never be filed away or retained. Some examples of non-record material:

• Transmittal letters and acknowledgements which do not add any information to the material transmitted.

• Request for printed material after requests have been filled. • Informal quotes, work sheets, rough drafts of letters, memoranda, or reports that do not

represent basic steps in the preparation of documents. • Shorthand notes, including stenographic notebooks and steno-type tapes, and dictating media

which have been transcribed. • Miscellaneous notices of community affairs, employee meetings, or holidays. Stocks of

publications or unused forms that are kept for supply purposes only. • Tickler notes, follow-up or suspense copies of correspondence.

Preparing for a Records Inventory The most important part of ensuring a complete inventory is good planning. This plan should include the following:

• A list of staff and their inventory duties. • A timeframe (start and end) of when duties should begin and be completed. • A plan detailing how the inventory will be compiled and organized, as well as the priority and

sequence of office/storage areas for inventory. • A list of information that will be needed concerning each group of records.

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Staff should be familiar with the operations of the department and compile a list of the places where records are stored, such as:

• Closets • Safes • File Cabinets • Store rooms • Basements • Cubicles

Important: Inventory should be taken yearly to account for all items and prepare appropriate records for transfer to the Records Retention Center.

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Section 3: Records Appraisal and Scheduling

Once staff is aware of the location and amount of records on hand, the next step is to decide how long each record should be kept in the office and in storage before it needs to be destroyed. To do this, you will have to determine the immediate and future usefulness of the records to the department as well as to the entire County government. In general, records should be retained in office areas as long as they serve the immediate administrative, legal, and fiscal purposes for which they were created. When records no longer serve these purposes, they should either be destroyed or transferred to the Records Retention Center. Benefits of Regular Record Appraisal:

• Establish reasonable, legal retention periods. • Identify records that can be destroyed immediately. • Identify records that can be transferred to the Records Retention Center. • Identify records with lasting value that cannot be destroyed (the department will have to

determine whether the original records are required by law to be kept in their original form or either such records may be scanned to digital file format and the originals destroyed). Refer to Title IV, Section 400 of the Santa Cruz County Policy and Procedures Manual.

Values to Consider:

• Administrative Value: Records are created to help accomplish the functions for which an agency or department is responsible. They have administrative value as long as they assist in performing either current or future work. The primary administrative use of most records is exhausted when the transactions to which they relate have been completed. From that point on, they lose their value rapidly. However, some administrative records contain basic facts concerning an agency’s or department’s origin, politics, functions, organization, and/or significant administrative decisions. These records should be preserved to provide adequate documentation of a department’s operation.

• Legal Value: Records have legal value if their perpetual retention is mandated by law, or if they contain evidence of legally enforcible rights or obligations of the County. Examples of these are records that provide the basis for action, such as legal decisions and opinions; fiscal documents representing agreements, such as leases, titles, and contracts; and records of action in particular cases, such as claim papers and legal dockets. Where there is a question as to legal value and determination is required, a ruling should be obtained from County Counsel. Otherwise, refer to Title IV, Section 400 of the Santa Cruz County Policy and Procedures Manual, which was prepared by County Counsel to cover the general subject of retention and disposition of various types of records.

• Fiscal Value: Records of fiscal value are those which pertain to financial transactions of a department, such as budgets, ledgers, allotments, payrolls, and vouchers. After records have served their basic administrative function, they still may have sufficient fiscal value to justify their retention in order to protect the department against court action or to account for the expenditure of funds when legally required to do so.

• Research-Historical Value: Some records have enduring value because they reflect significant historical events or document the history and development of a department. These records may be preserved based on their level of importance as determined by authorized staff.

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Determining Retention Periods Consult the following two sections in the County Policy and Procedures Manual before proceeding:

1) Title IV, Section 300 of the Santa Cruz County Policy and Procedures Manual. 2) Title IV, Section 400 of the Santa Cruz County Policy and Procedures Manual.

These sections determine the legally required retention periods, after which records may be destroyed under the conditions indicated. Some of these conditions may require records to be photographed or scanned before destroying originals. Be certain to review the requirements thoroughly before proceeding with destruction. Aside from legally required retention, independent judgment may be used to determine where records should be stored or whether they should be retained after their legal life is over. Because retaining records has a cost associated with it, the actual or potential value of the records should be weighed against the cost of keeping them. There is a tendency to be overly cautious about the usefulness of records to be retained, which is why one must use good judgment to avoid exaggerating the worth of records. A few questions to consider while determining a realistic approach to determining a retention period:

• How serious would it be if we were unable to refer to this particular record five or ten years from now?

• What are the chances of this record being needed? • Are the consequences serious enough to justify keeping this record for a long period of time at

considerable cost? • Is the information available elsewhere? • What would it cost to reconstruct the record if it became necessary to do so? • Can this record be scanned and stored digitally on a shared drive instead?

Records Disposition Schedule The Records Disposition Schedule is a written statement of actions to be taken with respect to all records produced or maintained by the department to ensure the prompt storage of records, disposal of worthless records, and preservation of records with lasting value. The Records Disposition Schedule Should:

• Cover all records created and maintained by the department. • Provide a good description of each record series. • State the estimated number of years each record series should be kept before destruction or

transfer to the Records Retention Center (a generally accepted timeframe is two fiscal years). Applying the Records Disposition Schedule It is important to establish a regular pattern for the transfer and/or destruction of records to avoid accumulation of items to be sent to the Warehouse. The scheduled destruction and transfer of records minimizes the handling costs both for the department and the Records Retention Center. Though records can be destroyed or transferred throughout the year, it is often most efficient to do a purge and transfer of records once a year.

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Departments must control all records and storage in office spaces to ensure compliance with disposition scheduling. All requests for filing space or equipment should be reviewed thoroughly to ensure that schedules are applied properly so that the appropriate records can either be destroyed or transferred to the Records Retention Center. If not, the department must make an effort to either destroy or retain records at the Records Retention Center. Avoid interference with current operations by enacting your Records Disposition Schedule during slack periods where employees have more downtime. Utilize file breaks in order to make the transfer of records to storage or destruction relatively easy. They can be processed in large blocks with a minimum of handling. Minimize purging by making certain that the disposable material is kept separate from retained records.

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Section 4: Transferring, Requesting, And Disposing of Records

The purpose of the Records Retention Center is to store records that are not active enough to justify continued retention in the office but must still be available for a specified period of time on an intermittent basis for reference or to satisfy legal requirements. When the retention period expires, the destruction of documents is not automatic. The Records Retention Center staff will notify the appropriate department in advance that the records are scheduled for destruction on a specific date, which is shown on the Records Transfer List. Departments must then approve the records for destruction.

All forms are available for download on the GSD Intranet site Purchasing Forms Page. Records Request Form (GSD-20) You can use the Records Request Form to request documents stored at the warehouse that you need. Simply refer to the departmental copy of the original Records Center Transfer List when you originally sent the files to the Warehouse, and fill out the form with the appropriate information. When you are ready to request delivery, call Warehouse Staff at x4601. Interoffice the request form to GSD or email warehouse staff at [email protected]

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http://gsdportal/Purchasing%20Forms2.htm

mailto:[email protected]

Warehouse Requisition Form (GSD-63) You can use the Warehouse Requisition Form to order paper, boxes, and assorted items held at the Warehouse for departmental use. Make sure to retain a copy for your records. When you are ready to request delivery, call Warehouse Staff at x4601. Interoffice the request form to GSD or email warehouse staff at [email protected]

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Authorization for Records Destruction (GSD-21) Records stored in the Records Retention Center will be destroyed when their retention is no longer required as indicated by approved records disposition schedules on the transfer list. Generally, records will be destroyed twice yearly (usually January 1 and July 1). However, destruction is not automatic. Depositing departments must authorize destruction of their records. If you would like records destroyed, this form must be filled out in its entirety and signed by all appropriate parties before being submitted to the Warehouse (see routing instructions at the bottom of the form for more information). When you are ready to finalize your records destruction request, interoffice the request form to GSD or email warehouse staff at [email protected]

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Records Center Transfer List (GSD-95) County departments are encouraged to deposit records with a low incidence of referral as an extension of their own files in the County Records Retention Center located in the County Warehouse located at 1082 Emeline Avenue, Santa Cruz. The following procedure is to be followed in transferring records to this facility.

1) Obtain storage boxes. These boxes may be ordered from the Purchasing Department using Warehouse Requisition Form (GSD-63).

2) Pack records upright in boxes in the same order as they are kept in departmental files. Do not pack them tightly.

3) Prepare Records Center Transfer List (GSD-95) while filling up the box and be sure to that the file location and order corresponds to the contents of the box. This form is the official document used to transfer the custody of all records stored in the Records Retention Center from the department to the Warehouse. A Records Center Transfer List must be prepared for each shipment of records sent to the Records Retention Center.

4) Make a copy for your records. 5) Call the Warehouse at x4601 or email warehouse staff at

[email protected] to arrange for pick-up of boxes.

Once boxes are received, Records Retention Center staff will check the Records Transfer List for proper completion by the department and check with the department on any possible discrepancies. However, the Records Retention Center staff will not verify the contents of boxes. This is the responsibility of the requesting department. Then, the Records Retention Center staff will stamp storage space numbers on boxes corresponding to numbers on Records Transfer List, place boxes in assigned storage spaces, sign and date the bottom of the Records Transfer List and make a copy for the department, keeping the original on file. See following page for sample form.

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Note: Transfer List No. refers to the departmental GL Account number that corresponds to the files you are sending.

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Using Records Retention Center Reference Area Records stored in the Records Retention Center may be reviewed by departmental personnel between the hours of 9:00 AM and 4:00 PM, Monday through Friday, excluding holidays. Staff from other departments must submit written permission from the depositing department before they will be allowed access to another department’s records. Records Retention Center Reference Area Rules

1) The reviewer will sign the register maintained at the Records Retention Center each time records need to be accessed.

2) The reviewer will complete Records Request Form (GSD-20) and submit to Records Retention Center staff.

3) The reviewer is responsible for all records delivered for review until they are returned. Care must be taken not to damage or alter the records in any way. Keep records in the same order as they were originally stored.

4) Records Retention Center staff may limit the quantity of records delivered to a reviewer at any one time if it is likely that records cannot be reviewed without damage or disorder.

5) No records or other property of the Records Retention Center may be taken from the reference room without the written permission of the depositing department and a completed Records Center Transfer List (GSD-95).

6) Smoking and eating are not permitted in the reference area.

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