03_09_2023_alpine_county_dao_request_response.pdf

7 Vay Alpine County Bom District Attorney's Office ol Robert K. Priscaro, District Attorney March 9, 2023 MuckRock News DEPT MR 140785 263 Huntington Avenue Boston, MA 02115 RE: Public Records Act Request Dated Tuesday, Feb 21,2023 @ 0556 Dear [email protected]: We are in receipt of your Public Records Act request, dated February 21, 2023, seeking to inspect County records primarily relating to the records retention policies of the district attorney's office. Specifically, your request asks the County to produce: California Public Records Act Request: Email retention policies (Alpine County District Attorney) February 21, 2023 To Whom It May Concern: Pursuant to the California Public Records Act, I hereby request the following records: Hello, pursuant to California's Public Records Act, | am looking for the following: 1. The District Attorney's general retention period for emails. I will accept a plain and simple explanation of the email retention period in lieu of production for this numbered item. Taken from the District Attorney Retention Schedule; Resolution 2022-87: “E-mails, electronic records, website or social media postings are captured and retained for 2 years by SMARSH software”. 2. The District Attorney's Office current policies and guidelines related to records management, retention, and disposition. pine County District Attorney 1.0. Box, Mackie Cob G30) Gogo 1 Fa 5306943080 [ey aR AH Page -2- Responsive Document is the 2022 Records Management Policy and Procedures and Retention Schedules. See Attached 3. The current, complete Master Records Schedule for the District Attorney's office, or equivalent master index of records. Responsive Document is the 2022 Records Management Policy and Procedures and Retention Schedules. See Attached 4. The most recent version of California State form STD. 70 (Records Inventory Worksheet) for the District Attorney's office There is no responsive document for this request 5. The current Department Retention File plan for the District Attorney's office, or equivalent documents Responsive document is the District Attorney Retention Schedule, Board Approved 12/20/2022, Resolution 2022-87, See Attached. 6. All in-house requests to delete or destroy records for the dates Sep 1, 2022 through Feb 17, 2023 There is no responsive document for this request 7. Information sufficient to determine how the DA's office performs email searches when searching for public records. | would like to understand what kinds of keyword searches can be performed, especially advanced or so-called "boolean* searches. There is no responsive document for this request. The DA's office does not use e-mail to search for public records. 8. Information sufficient to determine the technical limitations of the aforementioned system(s) for searching emails when it comes to searching and exporting results, such as the maximum number of records that can be exported for a single search and the maximun file size that can be exported for a single search. Page -3- There is no responsive document for this request. 9. Information suficient to determine the processes and tools used by the DA' office to redact sensitive information before returning records. | do not need policy documents that explain the legal bases for redacting; only the records that explain HOW redaction is carried out. There is no responsive document for this request. Because of the small ize of Alpine County, redaction is completed on a case-by-case basis, utilizing manual methods. Respectfully, 7 Vr District Attorney Encl. Atachment cc: Teola Tremayne Charles McKee RETIN Pete COUNTY OF ALPINE Be i Office of the County Clerk El aris, TeolaL. Tr yne, County Clerk Lr Jarabe Cilrons EX Officio Registrar of tors. MEMOTBNOUM. cerscvchs crercercarinenrarescnsensasaran TO: All Department Records Representatives DATE: December 22, 2022 FROM: Sara Center, Records Management Coordinator 5° SUBJECT: 2022 Records Management Policy and Procedures and Retention Schedules Attached is the 2022 revision to the Records Management Policy and Procedures and Retention ‘Schedules as approved by the Board of Supervisors at their December 20, 2022 meeting. Please replace the contents of your existing retention schedule binder with the enclosed update. As the County Clerk's office is the Office of Record for record management documents, the old retention schedules in your office should be recycled. If you require an additional copy of the 2022 Records Management Policy and Procedures and Retention Schedules, please let me know and one will be provided. We will be providing training on the Records Management Program including the policies and procedures, how to readluse the retention schedules as well as the digital storage available in Laserfiche. In the meantime, if you have any questions, please do not hesitate to call me at extension 126 0.x 18.09 Ytr re arto, S610 (530) L281 Fx 50) 842081 Jetted | Records Retention Schedules 2022 Approved R2022-87 12/20/2022 Alpine County Records Management Policies and Procedures ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Table of Contents _ . 0 Introduction and Overview. NE. 3 me ing This Guidolings for Using This ManUal........................ 1 Definition of Record Types ................. BN 6 Electronic RaCOrds............. BR 7 Electronic Mail (E-mail) ................. 8 Primary Record Keeping Departments. SE 8 ‘Common Countywide Documents ........... 8 Record Pertaining to Liigation.......... BE 9 Disposition of Records............. A I ‘Section lil Interim Records Storage Center interim Records Storage Center................... nnn Transferring Records to Interim Storage Center... 11 WithdrawallDestructon of Stored REGOrdS vv 12 Trusted System Storage for Vital Records... mn 13 Archival Record Canter... I 14 ‘Section IV = Records Management Forms Records Management Forms JR rr 18 Section V- Retention Schedules Introduction to Retention Schedules .............. BUY 1 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Section! Introduction and Overview 2 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES INTRODUCTION BACKGROUND “Through the adoption of Senate Bil 742 on September 7, 1999, the California Legislature added §12236 to the Government Code. Section 12236(a) states “The Secretary of State shall establish the Local Government Records Program to be administered by the State Archives to establish guidelines for local government retention and to provide archival support to local agencies in this state. The guidelines provide minimum legal requirements for the retention of local government records and do not reflect the administrative, operational, financial or historical needs of the jurisdiction. ‘According to Government Code, Section 14740, California's Records Management Program is designed to *...apply efficient and economical management methods to the creation, utiization, maintenance, retention, preservation, and disposal of records”. OVERVIEW OF RECORDS MANAGEMENT One of the purposes for records management s to ensure that information is available when itis needed. To do this efficiently and thoroughly, records must be identfied, organized, maintained for the requisite number of years, and then documented when destroyed. Records managernent encompasses all the record-keeping requirements that allow an organization to establish and maintain control over information flow and administrative operations, seeking to control and manage records through the entirety of their Ife cycle, from creation to final disposition. Intoday's litigious society, records management is more important than ever. In court, an astute attomey can discredit an agency in the eyes of a judge or jury by attacking the way the agency handles ts records. The fact that the records may refute or support a particular position is obscured by the attack on how the agency accounts for and handles those records. In addition, an agency's failure to maintain records for the requisite statutory or regulatory period can subject the agency to evidentiary sanctions at tral. The agency's legal position in ligation may be influenced by how well or how poorly they comply with accepted records management practices. A sound records management program doesnt cost - t pays. It pays by improving customer Service, increasing staff efficiency, allocating scarce resources, and providing a egal foundation for how an agency conducts its daily mission. It helps identify and justify opportunities for new technology. Microfilm, optical disk, optical character recognition, workflow, e-mail, bar code, and other related technologies cannot be adequately evaluated and cost-ustiied without a good records management program. Other benefits include: + Spacesaving + Reduced expenditures for new filing equipment + Increased efficiency in information retrieval + Compliance vith legal, administrative, and fiscal retention requirements + Identification and protection of vital records + Control over creation of new records 3 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES + Identification of records wih research value + Identification of records with historical value Understanding the importance of a good records management program (as discussed in the preceding paragraphs) the purpose of this manual is to establish policies and procedures for the efficient and economical management of the creation, utilization, maintenance, retention, preservation, and disposal of County records, based on federal and state statutes governing public records. This manual will also ensure that a responsible program of records management is practiced within the County organization, serving the best interest of the County and its citizens. The Alpine County Records Management program is administered by the County Clerk's office. Specifically, the Records Management Coordinator is responsible to assist the County Clerk's office to coordinate the countywide records management program; ensure compliance, confidentiality and maintain records retention and destruction programs; maintain records in interim storage; assists in developing departmental records retention policies and procedures, updating retention schedules and provide training and instruction to County departments. DISCLAIMER STATEMENT “This document was developed with as much forethought as possible to include every County record and document. A thorough review of this manual was completed by County Counsel, County Clerk, and in relation to specific departmental schedules, the appropriate Depariment Head. As with any document of this complexiy, it is anticipated that there may be errors and omissions within ts covers. Its presumed that this manual and the retention schedules contained therein will need review andor revision from time to time to include addtional records andlor to keep current with changes in the laws governing retention periods and local policy changes. If there are errors or omissions on the schedules, and when a schedule must be amended, a department must submit a corrected schedule to keep the departments schedule current and ‘accurate. Amendments will be reviewed by the County Counsel, County Clerk and adopted by the Board of Supervisors, as outined in section: Amendment of Schedules. Neither this document, nor the record descriptions, nor the retention periods provided herein shall constitute acknowledgment of the existence or non-existence of any record. Neither this document nor the record descriptions, nor the retention periods provided herein shall constitute the public's right to view, inspect, copy, or otherwise access the records listed herein. Rather, such access Is governed by the Calfornia Public Records Act, the federal Freedom of Information Act, and other pertinent statutes and regulations governing public: ‘access to governmental records. a ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Section! Guidelines for Using This Manual 5 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES GUIDELINES FOR USING THIS MANUAL These principles, guidelines, and procedures are to be consistently applied throughout the organization to ensure the integrity of the County's records management system. Understanding the following principles and guidelines wil enable the reader to handle documents and record keeping procedures as the manual was intended, and in doing so will ensure compliance with state and federal laws. What is a Record ‘One of the first questions that must be answered is “What does the term ‘Official Record’ include?" According to California state law a record ‘includes any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics” (Califoria Government Code. section 6252 (¢)). Section 1600 of the State Administrative Manual further defines records as “Recorded information, regardless of medium or characteristics, made o received by an organization that is evidence of is operations and has value requiring is retention for a specific period of time.” Original Record An “original record" includes the following (1) original hardcopies, and (2) electronic reproductions that are fully legible in a medium that is a trusted syste (California Government Code section 12188.7 (c)) and that does not permit modifications to the original hardcopy. 1) In the event that the original record is kept as an electronic reproduction, the following requirements must be met (Calforia Government Code section §26205): 2) The device used to reproduce the record is one which accurately and legibly reproduces the original hardcopy thereof in all details and that does not permit modifications to the. original document images; 3) The electronic reproduction is made accessible to the public as the original hardcopies were; and 4) Atrue copy of archival quallty is kept n a safe and separate place for security purposes. Copies of Original Records ‘Copies of original records that are maintained by departments other than the Primary Record Keeping Deparment 1) Shall not be kept longer than the retention period required by the retention schedule found for the original document listed under the Primary Record Keeping Department. 2) May be destroyed any time prior to the end of the retention period because the Primary Record Keeping Department i responsible for the original. Non-Record Non-records are materials that are not retained in the normal course of business, such as: records that contain no information of significant or lasting value such as transmittal leftrs, acknowledgments, and drafts, rough notes or calculations crealed and used in the preparation or analysis of other documents. As non-records are not retained in the normal course of 6 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES business, they may be disposed of at any time. However, if a non-record s retained as an integral part of a file or in conjunction with original records, it shall be retained in accordance with the appropriate retention schedule. Permanent Records Records that are required in perpetuity, usually identified by statute or other written guidance, are referred to as permanent records. Examples include original birth certificates, death certificates, marriage license, etc. Perpetual Records Records retained for an indefinite period of time and then stored or destroyed after some event takes place. Examples include office personnel files which are kept until a person leaves the office, policy files kept until the policy is changed, contract files kept uniil the contract terminates, etc. Vital Record Organizationally vital records are items such as County Code, Board of Supervisors minutes, and bylaws. Vital records of this nature help an organization reestablish its legal existence. Operationally vital records are needed to resume critical business functions and ensure that Your revenue stream stays intact. In most cases, you can't resume operations if you're unable to pay your employees, provide your products or services, or collect on accounts receivable. Vital records should be identified and protected in a manner that allows them to be secured, protected, and readily available. Electronic Records Our ability to manage and control records has not kept pace with our ability to create records and today's highly technical environment means that more records will be created and stored electronically. Electronic records require continuous management throughout their entire lifecycle because of the potential for lost or unreadable data. Electronic records are bound by the same legal requirements as paper documents. A retention schedule should reflect any electronic records produced by the departments, and they should undergo the same evaluations as paper documents for retention and disposition. Various types and formats of electronic records exist (see examples below) bu there are two main categories of elecironic records: born digital records and digttized records. Born digital records are those records created with a computer that require a computer to read and translate the information for people to access. A digitized record is one that is born analog (paper) and has been converted into a machine readable format using a scanner or camera. For the purposes of this handbook electronic records of both categories should be handled in the same way. 7 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES “The term "electronic record” means any record that is created, received, maintained or stored ‘on County local workstations, central servers, or external servers. Examples include, but are not limited to: + electronic mal (ema) + instantmessages + social media content + Website content + word processing documents and spreadsheets + databases Electronic records, including e-mails, website and social media postings are captured automatically and retained for 2 years by SMARSH software. If departments have an important ‘e-mail string that pertains to a contract or other long term scheduled item, the creator should file it as part of the ‘master document. Primary Record Keeping Departments Primary record keeping departments encompass several functions: 1) Maintain original documents pertinent to the functions of the department. 2) Each Department Head is responsible for ensuring that the department complies with the requirements of this manual. 3) The Primary Record Keeping Department is the designated respondent to subpoenas and Public Record Act requests relative to the functions/documents/programs that fll within the responsibiltes of that depariment. 4) All County documents and records are listed in this Manuals retention schedules by the Primary Record Keeping Department. Common Materials and Documents Maintained by All Departments There is a multitude of materials that all departments create, utize, and maintain throughout the normal course of business. Rather than listing these items and their retention periods under each department, they have been grouped together and can be found in one section entitied “Common Countywide Documents." It is recommended that the "Common Countywide Documents" listing be checked first for a document’ retention schedule ifit is thought that the document in concern is a fairly common tem. This fst includes such tems as: + Deposit PermitsiCash Receipts + Commission, Committees & Boards + Interoffice memos + Complaints + Copies of budgets + Correspondence + Electronic Records “The “Common Countywide Documents" ls also indicates which department is the Primary Record Keeping Department. This will enable the reader to delve further into the subject, f need be, by turning to the retention schedules of that department. 8 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Records Pertaining to Litigation ‘County documents which qualify as records" (see definition above), but which pertain to pending, ongoing, or recently-concluded litigation, are exempt from the retention periods provided in the Manual. All such records are maintained by County Counsel of his/her designee, or by the legal counsel retained by the County for such tigation. Upon conclusion of the litigation, and following County Counsel's direction, such records may be returned to the County's designated Primary Record Keeping Department, at which time they shall be retained for such period as may be directed by County Counsel. However, in no event shall such records be retained for a period less than that required in this Manuals retention schedules; or f the records are not identified in any retention schedule, they shall be maintained by County Counsel or his/her designee for no less than two (2) years following the ftigation's conclusion. In addition, should County Counsel determine that it is legally necessary or prudent for records pertaining to concluded litigation to be maintained separately from other County records, County Counsel may, at his/her discretion, authorize the following: (1) that such records be retained for a period longer than othenwise required; (2) that such records be retained by a person or department other than the designated Primary Record Keeping Department; or (3) that such records be maintained confidential or subject to protective measures. Disposition of Records Once records have fulfilled their administrative, fiscal, o legal function they should be disposed of as soon as possible in accordance with their Records Retention Schedule. A properly completed schedule provides an agency with the legal authority to dispose of records entrusted toits care. Disposition may include sending appropriate records to an archival faclity, recycling unneeded records, andor destroying unneeded confidential records. Remember, in the event of litigation the court ill want to know what the agency does in the normal course of doing business. Your Records Retention Schedule spells out the normal course of business for how your agency handles and disposes of its records. In general, most agencies keep records well beyond the record's administrative, fiscal, or legal value ‘ust in case” the records may be desired for future purposes. That is one of the worst reasons to retain records because excess records over-burden staf, slow response times to public requests, and extend the agency's legal liabilty. A court cannot demand an agency produce documents that have been destroyed in accordance with accepted and documented (your retention schedule) industry practices. 9 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Section lll Interim Records Storage Center 10 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES INTERIM RECORDS STORAGE CENTER The Interim Records Storage Center is for deposit of inactive records. The center will be used to store records that must be retained for a time but are not needed for day-to-day operations after the office retention period has passed. Departments may deposit inactive records as an extension of their own files in the records storage center, provided the records are covered by an approved Records Retention Schedule. Although records stored in the Interim Records Storage Center remain the property of the. depositing department, only the Records Management Coordinator of designee may check records in and out. The Interim Records Storage Center should not be a burial ground for dead records. Nor should it contain relatively aclive records. It shoud contain those records not active enough to justify continued retention in the office, but which must be available for a specified period of time on an intermittent reference basis, or to satisfy legal requirements. “The Interim Records Storage Center is not temperature controled, and is not equipped with a fire suppressions system other than overhead water sprinklers. Consequently, Permanent Records (those records that are required In perpetuity, usually identified by sialute or other written guidance) should not be stored in interim storage indefinitely. (Refer to the Destruction Of Stored Records, As Scheduled section for disposition instructions.) Instructions For Transferring Records To Interim Records Storage Center Use Form RM-2 Records Transfer to Interim Storage Center when sending boxed records to the storage center. List the records that are being transferred, the years covered by the records, the destruction date and destruction method (f applicable), or mark for archives and date for transfer (if applicable). The Records Management Coordinator or designee wil assign a Records Storage Number and will return a copy to the department. Bankers Boxes are available from the Records Management Coordinator. The shelving in the storage center does not accommodate boxes other than Bankers Boxes, such as copy paper or ‘moving boxes. Departments will pack records upright in the Boxes in the same order as they are kept in department files. Boxes must be less than 20 pounds ensuring safe practices when storing boxes on top shelves. I the records are going to eventually be forwarded to Archives, the records will have been "weeded" - all extraneous materials will have been removed (post-it notes, non-essential copies, notes, etc.) Departments will number the boxes in consecutive order. Do not mark contents, department name or any other information on the box. Departments will prepare a Form RlM-2 Records Transfer to Interim Storage Center. Departments will retain a copy of the transfer lst. The original lis is forwarded to the County Clerk, who will arrange for pickup of the boxes, un ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES The Records Transfer to Interim Storage List must be completed with: + Deparment name + Departments box number (f applicable) + Description of records (enter the same description as used on the approved Records Retention Schedule) + Years covered by the records + The disposition - either destruction date or date to be forwarded to Archives. + Note on the records transfer list if the records are confidential and must be shredded at destruction date. A copy of the Records Transfer to Interim Storage List will be retumed to the initiating department, ith notations of the accession date and records storage number (the box number assigned at the records center). (Only the forwarding department, and the records center, wil have the records storage number.) Records may be withdrawn from the Interim Records Storage Center and returned to the department, if needed. See instructions for Withdrawal of Stored Records below. The Records Management Coordinator or designee will remove the box from the storage center and have access to the master list, At the time that records are scheduled for destruction, the department willbe notified and request for authorization to destroy wil be needed. See instructions for Destruction of Stored Records, As Scheduled below. Records Storage List ‘The Records Management Coordinator or designee will maintain a listing of al records on deposit. The listing will assist in keeping track of records on deposit in the Interim Records Storage Center, it wil lst by number, accession date (date the material was accepted by the Interim Records Storage Center), disposition date and action required, and shelf and section location. The Records Management Coordinator or designee will provide a listing to each department of their records. The public wil not have access to the listing of all records. And, since the record boxes wil be identified by number only, with contents not listed, the contents will be confidential, Departments should aiso maintain a list of their records by content and records storage box number. Withdrawal Of Stored Records Records stored in the Interim Records Storage Center may be referred to or withdrawn by the depositing department at any time. A record can be (1) reviewed at the Interim Records Storage Center or (2) withdrawn by the requester. The following procedure is used for refering to records stored in the Interim Records Storage Center. Complete the following information and forward to the Records Management Coordinator or designee. Please send an email for each record requested, whether the request is for 2 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES withdrawal of the actual record or for review at the Interim Records Storage Center. Include the. information indicated below. + Department Name of department + Requested by ~ Name of person requesting record. © Date + Record Tile Title (description) as it appears on the Records Retention Schedule. + Storage Box Number - The records storage number assigned when the records were transferred to the storage center (As shown on your Form RM), or a copy of the records transfer lst (RNI-2) for the particular box that you need. Destruction Of Stored Records As Scheduled Destruction of records stored in the Interim Records Storage Center is not automatic when the retention period expires. The Records Management Coordinator or designee will notify the depositing department on a Form RM- 5 Authorization for Destruction of Records in Interim Storage that the records are subject to destruction. “The records wil be destroyed when the Authorization has been returned showing the department head's signalure, indicating that the records are approved for destruction, either per the Departments Records Retention Schedule or an approved Form RM-4 Application for Authority to Dispose of Records (Not Listed in the Records Retention Schedule). Records that are permanent and are to be transferred to County Archives after the interim storage period will be forwarded to Archives per the records retention schedule, and a notice of transfer will be sent to the deposiing department. Trusted System Storage For Vital Records Itis County policy that records which have been declared to be vital (essential), as defined in the Records Retention Schedules, be stored and preserved in our Trusted System, Laserfiche Avante. In addition, a secondary copy must be transferred to microfilm with two rolls made; one oll to Archives, and one roll sent to the out-of-county secured storage site for disaster recovery purposes. This is accompiished as follows: 1) Scan document to Laserfiche Document Management Syste. 2) Verify accuracy and deposit to appropriate Records and Retention Category. 3) Copy documents from Laserfiche Document Management System and create a CD to have microfim made. 4) The department will prepare a Form RM: 3 Archives Records Transfer Authorization, forwarding the Rl-3 and CD to the Records Management Coordinator or designee 5) Original cannot be destroyed until microfiim has been verified as to accuracy. The Records Management Coordinator or designee will assign a storage number and forward one copy of the microfilm to the off-site storage center and the second microfim copy to Archives. Archives (Library) personnel will note receipt of the records and refurn a copy of the RM-3 Archives Records Transfer Authorization form to the Records Management Coordinator. A completed copy will be forwarded to the department to be retained for thei record. 3 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES (Note: The Alpine County Assessor/Recorder and The Alpine County Sheriffs Office maintain their own trusted systems and records storage facilites independent from the County's.) ARCHIVAL RECORDS CENTER By definition, archives is a faciity for accessioning and managing the records, artifacts, and items of historical or research interest, and to preserve the history of the organization. Records identified on the schedule as archival must be transferred to County Archives for permanent storage. If permanent records have been filmed, a copy of the microfim must be transferred to the Archives. These will be records that have been determined to be permanent in the records retention schedules, and that are to be forwarded to County Archives after the retention in the department or Interim Records Storage Center has elapsed. To transfer records to the County Archives, use the Form Ril 3 Archives Records Transfer Authorization, Archives (Library) personnel will note receipt of the records and return a copy of ‘he Archives Records Transfer Authorization form to the department with notations regarding accession of the material. One copy wil also be forwarded to the Records Management Coordinator. Departments should retain a copy for their record. If records are forwarded to Archives from the Interim Records Storage Center, a copy of the transfer form will be provided to the originating department. Et) ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Section IV Records Management Forms 15 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES RMA RECORDS DESTRUCTION REPORT “This form will be used to report records that have. been destroyed under the authority of your approved records retention and disposition schedule. RM-2 RECORDS TRANSFER TO INTERIM STORAGE CENTER “This form will be used to list records that are being transferred to the interim records storage center. RW-3 ARCHIVES RECORDS TRANSFER AUTHORIZATION “This form wil be sed to transfer records to the Archives Center. RM-4 APPLICATION FOR AUTHORITY TO DISPOSE OF RECORDS “This form wil be used to request authority to dispose of records that are not listed on the schedules and have no further administrative, legal or fiscal value for the department or agency. RNS AUTHORIZATION FOR DESTRUCTION OF RECORDS IN INTERIM STORAGE “This form will be used to notify departments that records ininterim storage are ready for destruction per the records schedule. The department head's signature will authorize destruction, after a department has verified that the records may be destroyed. RUG APPLICATION FOR AMENDMENT TO RETENTION AND DISPOSITION SCHEDULE “This form will be used when no retention period or disposition method Isspecified in the records retention schedules, and a record series needs to be added, deleted or amended. 16 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES Section V Records Retention Schedules 7 ALPINE COUNTY RECORDS MANAGEMENT POLICIES AND PROCEDURES RECORDS RETENTION SCHEDULES A Records Retention Schedule is used for scheduling records. ALL records must be scheduled. Records kept “permanently” (those which will never be destroyed) must also be scheduled. ‘Schedules must be amended promptly when treatment of the record must be changed. Experience has shown that without careful and explict description of the treatment of the records, specific information can be lost. When persons do not understand the importance of records or when people who originally prepared the schedules leave the office or service, important or valuable records and history can be ost. Litigation support is also provided by a good records management program and schedule. With ‘adopted records schedules and explicit description of the treatment of records, if records that have been destroyed are subpoenaed for court, the records schedules, and evidence of compliance with those schedules, will defend the agency's actions. If schedules are not specific, it may not be possible to prove there was rio adverse intent when the records were destroyed. Adverse intent (in keeping records out of court is both a civil and criminal offense. These schedules establish minimum retention periods for county records based on their administrative, fiscal, legal and historical value. Where possible, reference has been made to specific governing code sections. Where no governing code was found, that specifically addresses the record series, department heads have been asked to establish retention periods based on their judgment, needs and experience. ‘The disposition stated on the schedule applies to any form of the record (paper, elecironic, computer tape or diskette, microfim or microfiche, CD, USB drives, thumb drives efc.). In Calffornia state government schedules are considered current for five years urless amended Sooner due to a significant change in an agency's record keeping practices. A change of mission, added functions, new programs, etc. would al rigger an amendment to an existing schedule. Regardiess of any amendments, a new schedule must be prepared and approved after five years to ensure the schedule accurately and completely reflects the agency's records holdings and disposition. Renewing schedules more frequently is always an option. “The Alpine County Records Retention and Disposition Schedule is the official and controlling records management document of the county; it has been approved by the County Historical Records Commission and adopted by the Board of Supervisors. 18 i H : i i q R33 i ta 383] Hi H fii Hl ' ¢ fa 4 { H i iH H i N FEE] ] oh ! 558 sri 511 i Fed Le i i 13 THEE : 3 Ei H H HEHE SEE IEF THEE H PPE ! 1011 i SR f 4 Fg 3 3 3 i, i 373 37 59 wl : i Rill ii iH ! H 3 3 H i | fq i EHH HHI i BoE “ i : Rl A i i HIRE SRR | En : : 3 N i H H ul J Agsld | i PoE i ef 8% LEELEIE RS H TE 3 HER i 3 3 3 i 3 i i gos AEE CI ECE LL HEE Frifoaicd 8% H gl i 32 HEE #2 7 Hy, iin ig3laa f dst H : i 5 8g] desi l ! H kr EHR | 2 3 Er i E 3 EEH tH 224 FLEE] | “gg 852851 ! i 41s } ogi 3 3 i | % : Hi i 3 Ei i | : 131 84 EFT ii LH gsgd HH FE HH i EH g338id Er HHUE Hite ing dele EE + - i § i El 283 He 3853 El H | i i Hl i | Hugs 1531 18 5 EHH HI HET EERE ] 1] 111 H CI d 3 3 3 EEE 25 223) EHH HE Hie Hi sittseqatiiiientyl § [EEE AE it PE i xh 35g [EN I I | i { go Es ; ly i HITE : | if 8 hi | I figs oH | 3 F 3 i &| H i Hi ’ H i : # § Hy il f HIE | 3] 3 ; 2 i oH H 3 4 3 & I J 3 3 | | 1 ii | pt 1 RRR HEE MELE LH i zg g §| Hl i i Hog H i 4 i 1 3 3 f sa9g To 3 or i i i if HH HEE { ER 3 re ; H i HH I ! He CIE i dq § f sE| 85 sg : : 11 i EHH #0 iil 3 3 Ei H 4 3 ¢ E 3 ER : EI I g ii i BlgFE| gFE| § 4 it § 1 1 i i i H i 3 3 3 3 IEF i if $23 * : § §F i EH 3| EI itd 401 uum H E H 4 4 43 i | 3 Ei SEH 224] 224] 228 11 83% H i | ! E ) 3 32 | LIS | inl | i tHE 43 , H iF Ik 82235833 I fil Ein an nk ] a HE gate 1 HS i ESE i it HE H 5 o 12 A 1 5 3 Te HH H H 3 3 H | : pe E if i fin 832388353 8 HH 2 14] 8