Police Department Records Retention Schedule

Transcription

1 DATE: August 28, 2012 AGENDA ITEM # 3 TO: FROM: SUBJECT: City Council Tuck Younis, Chief of Police Police Department Records Retention Schedule RECOMMENDATION: Adopt Resolution No repealing and replacing Resolution No in its entirety and establishing a new Police Department Records Retention Schedule SUMMARY: Estimated Fiscal Impact: Amount: None Budgeted: Not applicable Public Hearing Notice: Not applicable Previous Council Consideration: Not applicable CEQA Status: Not applicable Attachments: 1. Resolution No Police Department Records Retention Schedule

2 BACKGROUND In 2008, Council adopted Resolution No , establishing the Police Department Records Retention Schedule. The current retention schedule is now obsolete and requires updating. DISCUSSION The purpose of the Police Department Records Retention Schedule is to provide efficient guidelines for creating, using, maintaining, retaining, preserving and disposing of police records based on current laws. The revised retention schedule provides clear, specific records descriptions and retention periods and applies current laws and technology to the management of Police Department records. FISCAL IMPACT None PUBLIC CONTACT Posting of the meeting agenda serves as notice to the general public. August 28, 2012 Police Department Records Retention Schedule Page 2

3 RESOLUTION NO A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LOS ALTOS ADOPTING A RECORDS RETENTION SCHEDULE AND AUTHORIZING DESTRUCTION OF CERTAIN RECORDS WHEREAS, California Government Code section et seq. and Penal Code provide guidelines for retention periods for various public records which are obsolete and their retention period has expired: and WHEREAS, the City of Los Altos Police Department Policy sets forth a Records Management Program which establishes a comprehensive Police Department Records Retention Schedule for record management and destruction. NOW THEREFORE, BE IT RESOLVED, that the City Council of the City of Los Altos hereby authorizes the following: 1. Resolution No repeals and replaces Resolution No in its entirety. 2. The City of Los Altos Police Department Records Retention Schedule dated August 28, 2012, is attached hereto and adopted by this reference. 3. Pursuant to Government Code section et seq. and the provisions of the City of Los Altos Police Department Records Retention Schedule and Policy, the Los Altos Police Department records which are obsolete and their retention period has expired are hereby authorized to be destroyed without further action by the City Council of the City of Los Altos. 4. The City Manager, at the recommendation of the City Attorney and the Chief of Police, may update or modify the City of Los Altos Police Department Records Retention Schedule as required to accommodate the new laws or administrative changes. 5. The term record as used herein is defined as public record pursuant to Government Code section I HEREBY CERTIFY that the foregoing is a true and correct copy of a Resolution passed and adopted by the City Council of the City of Los Altos at a meeting thereof on the 28 th day of August, 2012 by the following vote: AYES: NOES: ABSENT: ABSTAIN: Attest: Valorie Cook Carpenter, MAYOR Jon Maginot, DEPUTY CITY CLERK Resolution No Page 1 ATTACHMENT 1

4 'J.FILf~'~ RECORDS RETENTION SCHEDULE '~~~;J~ii1t~~\~e:r,~lt\'~~[~~.;,~:~;... ':1f~I!4'~(llj{$f1qillsn~. t {i'. ~fj!!.~j~~~~oj:.: Jjf~~P.urHQRITY.",rQODE'" ">' "';... ',0."."\:.. '.,';."il...~".'',i,~:.di.',;,', ie,.,'. lag',', ; el'," 'C;j~{.,r::' -:':"~' r: -.i. C" ADMINISTRATION Executive Asst. Agenda Reports - Documentation received, CU+2 CU+2 GC 34090(d) created and/or submitted to Council Executive Asst. Background Files - Employees Termination + 5 Termination + 5 Paper GC Years Years Executive Asst. Background Files - Reservists Termination + 5 Termination + 5 Paper GC Years Years Executive Asst. Background Files - Unsuccessful Applicants 3 3 Paper EEOC / FLSA / ADEA (Age) requires 3 years; State Law requires 2-3 years; 29 CFR (5) and (6), 8 CCR ; GC 12946, Executive Asst. Policy Manual - DEPARTMENT P P CD State of California Local Gov't Records Management Guidelines Executive Asst. Grant Financial Records CL+5 CL+5 GC Chief Grievance Files - Grievance filed by employees, Upon Upon disposition Paper HR is OFR; All State and Federal laws supporting documentation Disposition transfer to HR require retention until final disposition of transfer to HR formal complaint; State requires 2 years after action is taken; GC 12946, I Chief Internal Investigations - initiated by citizens CL+5 CL+5 Paper All State and Federal laws require retention complaints or internally initiated; includes until final disposition of formal complaint; complaint, reports, findings; Sustained and Not State requires 2 years after action is taken; Sustained Statute of Limitations is 4 years for misconduct; EVC 1045; GC 12946, 34090, PC 801.5, 803, 832.5, VC Chief Internal Investigations - Officer Involved CL +25 CL +25 Paper Scan NO Consistent with IA and proposed Statewide Shootings / Shooting Review Guidelines; GC Executive Asst. Overtime Logs 2 2 Paper CPRA6254,IPA CD Executive Asst. Personnel Orders Log (Reassignments) 5 5 Paper Consistent with work schedues GC Executive Asst. Press Release 2 2 paper/ GC electronic Executive Asst. Records Destruction Authorization 4 4 State of California Local Gov't Records Management Guidelines Executive Asst. Records Retention Schedule AC Until Revised State of California Local Gov't Records Management Operations Reports Monthly/Annual, activity/statistical CU+2 CU+2 on-line GC Captain reports by division. Guidelines 1 Revised August 28, 2012 ATTACHMENT 2

5 I~ ~ rt~" ~RE~!~N~"LE ~"..,..,' RECORDS RETENTION SCHEDULE '~ECO~ ~ESCRI,!",,~N)::t i:'.'.~.:j~~:t.,.;.::,....(in c,:hl RErIiN ON " "-k. IMAGE' 1- 'arter-scan" :':.'., ",.., ro~1t..\" MEDIA ';,,$CAN' ;:1P~yp~,.~,. " LEGAL AUTHORITY!( Operations Research Project Files - May include request CL+2 CL+2 Paper Scan GC Captain forms, background materials, staff reports, final project reports and supporting data. Operations Shift Activity Log CU+2 CU+2 on-line GC Captain Operations Survey Results/Data CU+2 CU+2 on-line GC Captain Executive Asst. Training - PERSONNEL - (by name) Paperwork T+5 T+5 Claims can be made for 30 years for toxic documenting officers' internal and external substance exposure: EEOC/FLSAIADEA training (Age) requires 3 years for promotion, demotion, transfer, selection or discharge: State law requires 2-3 years; 29 CFR (b)(ii), CCR 3204(d)(1) et seq.;gc 12946, Executive Asst. Unsuccessful Grant Applications - not entitled CL+2 CL+2 GC Operations Use of Force Review Log CU+2 CU+2 on-line GC Captain Executive Asst. Work Schedule 2 2 Electronic Department Preference; EEOC's basic TRAINING requirements is 1 year after action; Bureau of National Affairs recommends 2 years for work schedules; Time sheets are required for 2 years; 29 CFR 516.6(1),29 CFR ; GC j, Personnel and Inventory - listing of equipment assigned to S+2 S+2 GC Training Officer division, to whom it is assigned Personnel and Range Inventory - Quarterly reports of inventories S+2 S+2 GC Training Officer of weapons held by Department Personnel and Training Event Files - Correspondence, CU+2 CU+2 GC Training Officer brochures, promotional materials, info on speakers, guests, supporting documents Personnel and Training Lesson Plans - Range - Scope, Content, CL+15 CL+15 State of California Local Gov'! Records Training Officer time period of courses Management Guidelines Personnel and Training schedules - Range - Daily, weekly, CU+2 CU+2 GC Training Officer monthly schedules of training events at the range 2 Revised August 28, 2012

6 RECORDS RETENTION SCHEDULE FILE RESPONSIBLE I' RECORD DESCRIPTION ACTIVE' TOTAL MEDIA SCAN Destroy Paper LEGAL AUTHORITY CODE. (In''Office),RETENTION IMAGE after Scan Personnel and Weapons, Database - Departmentally-owned P P State of California Local Gov'! Records Training Officer weapons, personal weapons, alternate weapons, Management Guidelines secondary handguns, produces inventory reports - POLICE SERVICES Case Records Case Records - High Profile - Significant Cases P P Paper Scan Y GC 6254 Number which have importance or set legal precedence. When Inactive Includes logs, complaints, police reports, court orders, motions, notes, briefs Case Records Crime Reports - "Detention Only" Retainable 2 2 Paper Provided there are not outstanding Number arrests - Forward to Records Lead for review warrants, deaths, and it is no! classified prior to destruction under PC 800 and 290 and H&S 11850; Statute of limitations is 2 years; Destroy juvenile marijuana after age 18; H&S ; GC 34090, PC 802, PC 187, 800 et seq. Case Records Crime Reports: Bodies - Natural Death 2 2 Paper Department Preference; PC 187, 800 et Number seq, Case Records Crime Reports: Felonies Except Homicide, Paper Provided there are not outstanding Number Juvenile, Child Abuse, & Sexual Assault warrants, deaths, and it is not classified **NOTE**Destruction of Felony, Misdemeanor under PC 800 and 290 and H&S 11850; and Infraction Crime and Supplemental Reports Statute of limitations is up to 6 years; PC cannot include: 1) An unadjudicated arrest except 187, 800 et seq. for HS or HS violations; 2) Unserved warrants; 3) identifiable items which have not been recovered; 4) Any case related to PC 290, PC pr HS registrants; 5) Any violation listed in PC 799 or 800; 6) Any case presently involved in either civil or criminal litigation. Case Records Crime Reports: Homicide, Falsification of Public P P Paper Scan Yes - when No limitation on commencement of action; Number Records, Kidnapping, Unsolved Child or Edler inactive PC 261, 286, 288, 288a, 288.5, 289, Abuse, Sexual Assault and Neglect, Misuse of 289.5, and 799 Public Funds, Train-wrecking, Treason, Suicide, Rape Cases (Unsolved) (crimes subject to death penalty or without Statute of Limitations) Case Records Crime Reports: Misdemeanors 5 5 Paper Provided there are no outstanding Number warrants, deaths, and it is not classified under PC 800 & 290 and H&S Revised August 28, 2012

7 RECORDS RETENTION SCHEDULE '~"'''i0 ~ \ ~! ",-. ~<' - F1LE RESPONSIBLE REt;:ORD DESCRIPTION ACTIve TOTAL MEDIA SCAN Destroy Paper LEGAL AUTHORITY -, CODE!,(In Office) RETENTION ' IMAGE -. after Scan Case Records Crime Reports: Stolen Vehicles, No Convictions Until recovered Until recovered Paper Department Preference; PC 187, 800 et Number (minimum 3 (minimum 3 sec. years) years) Case Records Evidence, Disposition Forms - Attach to duplicate Report Report Paper State of California Local Gov't Records Number Property Report, file with General File in Records Retention Retention Management Guidelines Case Property Latent print records - Retain for applicable case Per PC 800 Per PC 800 Paper Per PC 800 and 801 Number statute of limitation; or until evidence in case is and 801 and 801 destroyed; hard copy and digitized Case Records Lost and Found Property Reports 2 2 Paper If artifact is over $1 OK, artifact is permanent Number - Statute of limitations is up to 3 years (recovery from seized property by police is I Case Records Marijuana Arrest/Conviction H&S section 2 - 'Mandatory 2' HS11361_5 Number 11357(b), ( c), (d),(e) or H&S section 11360(b) Destruction in, violations (occurring after January 1, 1996) - Certain HS Applicable to convictions occurring after January Sections and 1, 1996 or arrests not followed by a conviction Circumstances occurring after January 1, 1996; Exception: H&S 11357(e), the record shall be retained until the juvenile offender attains the age of 18 years, then destroyed pursuant to 11361_5 Case Records Marijuana Arrest/Conviction H&S section Mandatory Mandatory HS11351 (c) Number 11357(b), (c), (d),(e) or H&S section 11360(b) Destruction Destruction violations (occurring before January 1, 1996)- Upon Notice Upon Notice Applicable to convictions occurring prior to From DOJ From DOJ January 1, 1996 or arrests not followed by a conviction occurring prior to January 1, 1996 for violations of H&S code 11357, 11364, and year); CP 338, 340(4), 341 (a); GC Case Records Marijuana Citations or Reports (less than 28_5 2 2 Paper GC H&S 11361_5 Number grams) Case Records Missing Person and Runaway Reports (Cleared) 2 2 Paper GC Number Case Records Missing Person Reports (Unsolved) P P Paper Scan Yes - when Department Preference; Also see Crime Number inactive Reports; GC Case Records Officer Involved Shootings P P Paper Scan Y GC Number When Inactive Case Property Photos - Crime Scene, Registrant/Applicant, Report Report Retention Paper State of California Local Gov't Records Man Number Photo File, Accident Retain according to Retention practical and functional association, Council Resolution No_ Revised August 28,2012

8 ", RECORDS RETENTION SCHEDULE FILE.... f$~~ponsible 'RECO~!,ESCRIPTJON :. A~?"" ~TQrAL " MEDIA '. SCAN D&$troy Paper. ; LEGAL AUTHORITY. CODe' -:)I" e; (In ofircej.~ RetENTION' IMAGS after Scan 'v Case Property Polygraph Reports associated with a case Criminal Report Criminial Report Paper Takes retention period for the criminal Number Retention Retention report which applies; filed with case file Case Records Incident Reports: Non-criminal, 72-hour holds, 3 3 Paper Also see Crime Reports; GC Number 5150, etc. Case Records Sealed Records - Adult Factual Innocence - Mandatory sealing date + 3 Paper PC and PC 851,8 Number General Provision: Upon Approved Petition, Destruction years Records of Agency must be sealed and Upon and destroyed when date of destruction is reached, in Pursuant to accordance with provisions set by court record - Court Order exceptions, Timeframes Generally Sealing Date + 3 years Case Records Sealed Records - Juveniles - Upon Petition, local Mandatory sealing date + 5 Paper Statute of limitations runs up to age of Number law enforcement records within WIC 826(b) may Destruction years majority + 8 years; Sealing for juveniles and be destroyed as ordered by the court, if related Upon and Wards of the Court retained for 5 years; CP probation and juvenile court records have been Pursuant to 340.1; GC 34090; W&I 781(d) W&I destroyed by the probation officer. Records Court Order 826(a)&(b) W&I 781 (a) involving arrests, detention and/or petitioning Timeframes juvenile before juvenile court. (Note 707(b) Generally offenses) Sealing Date + 5 years Case Records Traffic Accident Reports - FATAL P P Paper scan Yes - when Department Preference; PC 187, 800 et Number inactive seq, Case Records Traffic Accident Reports (Not Fatal) Paper Actions against drivers must be brought in Number 3 years; GC 34090, VC 2547 Records Bicycle Licenses 2 2 Paper GC Records Citations - Retained in original case file Report Report Paper GC Retention Retention Records Citations: Misdemeanor Traffic, Parking, Moving, CU+2 CU+2 Paper GC 34090,7 Administrative and Criminal. Records Department of Justice Purge Notifications When no longer When no longer Paper Non Records; GC Required Required Records Department of Justice Validation Lists 2 2 Paper Information Received by DOJ; GC Property Destruction - Narcotics P P Paper Scan Y State of California Local Gov't Records Management Guidelines Property Destruction - Guns. P P Paper Scan Y State of California Local Gov't Records Management Guidelines Police Services Dispatch cards CU+2 CU+2 Paper GC Manager 5 Revised August 28, 2012

9 RECORDS RETENTION SCHEDULE.FILE 'RESPONSIBLE ; 8ECOI;fI)D~SCRlPT(ON A,CTIVE TOTAL, MEDIA SCAN Destroy Pape~ J LEGAl. AUTHORITY.f"" CODE '.""-::("~' ::~.'., (In OfficeJ. RETENTION """.';4 IMAGS iiterscan., " Records Firearms Dealer - Permit Applicants, Firearm 6 6 Paper Audits, Denied Applicants, Stolen Firearms PC Records Firearms Sales - Report of Dealer Record of 2 2 GC Sales, duplicate - original maintained by DOJ. Dealer required to file duplicate with agency. Records Pawn Broker/Secondhand Dealer Property - CU+2 CU+2 GC BP sales, slips. Dealer required to file duplicate with agency. Property Photos - Crime Report/Incident Report - Report Retention Report Retention GC Negatives - Assigned report number, retained as form of evidence, destroyed at same time evidence for associated case is destroyed. Property Property Control Log - Logs items going out of CU+2 CU+2 Paper / GC property room to court, DA, etc. Electronic Property Property Yellow- to General file. Until completion Until Case is Until Case is Managing Property in Law Enforcement - of chain of possession and final disposition of Adjudicated/ Adjudicated/ POST property, Blue copy remains with Property Unit Final Disposition Final Disposition When property is no longer retained by Property is determined is determ ined Unit (final disposition noted on blue form) a copy of the blue form is forwarded to Records Unit for inclusion in General file, I Records Rap Sheet Log - Requests for criminal history 2 2 Paper GC Dispatch Repossession/Private Property Tow CU+2 CU+2 Paper State law requires only 1 year from storage; Seized Property limitation is 1 year; GC 34090, PC VC 10650(c) Records Restraining Orders, Emergency Protective Upon Expiring Upon Expiring *Refer to Series Description; Orders, Temporary Restraining Orders, Legal NOTE: LAPD is not the official repository Stipulations, Orders After Hearing for the originals, Original documents must be forwarded to the SCCSO for entry and cc'd to Family Law, Duplicate copies may be on file at the agency. Originals destroyed after law enforcement actions described in PC 273,5, 273.6, 646.9, , and Family Code Sections are fulfilled and effective date of restraining order has expired, GC Records Secondhand Dealer License - Original to 2 2 Paper GC Licensee, Blue duplicate to DOJ, Pink duplicate to agency, renewals issued annually by local agency 6 Revised August 28, 2012

10 " RECORDS RETENTION SCHEDULE,< ~ FILE,,. ~RESPONS/BLE ~ "RECORDDESCRIP7l,OcN 't,t> ;"CODE :~ t: " ~ "'.\~.(~c:&f&j'~ ~. \..1: (:.',",.~..,~.,'-.,.,. I ~ 'I" TOTAL' MEDIA, SC.qN :D~ti'9y Paper LEGAL AUTHORITY """,'. RETENTION IMAGE after-scan Records Statistical (UCR), Uniform Crime Reports CU+2 CU+2 GC Mandatory to DOJ (LEIC); FBI Include Return AlSupplement; Supplementary Homicide Report; Law Enforcement Officers Killed or Assaulted; Monthly Return of Arson Offenses Known to Law Enforcement; Number of Violent Crimes Committed Against Senior Citizens; Monthly Report of Domestic Violence Related Calls for Assistance; Monthly Arrest and Citation register; Monthly Hate Crimes Incidents; Death In custody reporting. Records Subpoena Binder -Tracking System -subpoena CU+2 CU+2 GC number, officer name, case number, defendant name, district attorney name, court information disposition Records Subpoena Log - subpoenas received/served daily CU+2 CU+2 Paper GC Property Tapes - Audio, Telephone and Radio 1 1 DVD GC and refer to exception noted Communications - Exception: Recordings used in Record Series comments as evidence in a criminal prosecution or claim filed or litigation or potential claims and litigation shall be preserved for 100 days after conclusion of the court action. Property Video - Surveillance/Security (Jail) 1 1 Server GC Includes MVAR Records Warrants - Felony "Also subject to DOJ and Recall after 5 Recall after 5 Paper California Law Enforcement Warrant NCIC Validation policies if entered into years - years - Officer's Association recommendation, also automated systems; also SCCDA warrant review Exception: Exception: see Series Description Notes policies prior to any warrant purge Murder, Murder, Escape=P Escape=P Records Warrants - LOCAL - Unserved Until served, Until served, Paper State of California Local Gov't Records recalled or recalled or Management Guidelines purged purged Records Warrants - Misdemeanor - Criminal "Also Recall after 3 Recall After 3 Paper California Law Enforcement Warrant subject to DOJ Validation policies if entered into years years Officer's Association recommendation, also automated systems; also SCCDA warrant review see Series Description Notes policies prior to any warrant purge Records Warrants - Served, Includes service information CU CU Paper State of California Local Gov't Records Management Guidelines Records Warrants - Traffic Recall after 3 Recall after 3 Paper California Law Enforcement Warrant years years Officer's Association recommendation, also ~---- see Series Description Notes 7 Revised August 28, 2012

11 RECORDS RETENTION SCHEDULE / [FILE ~ESP;W$/~l". (. REaoRQ-p~1t(f'0~~., ~.~%~:;:",:fre~~~~" ",!:D/~;.l, SC:Jt.~1 Des,ttoy papv,.'.~ LEG.~LAUTHORITY. CODE. :''i-~, ~._..'_-. dla0 GeJ "'. T:.,,~,.. IMA ".after Scan. "--:\...:~,-~,.. -' FIELD OPERATIONS ISO Asset Forfeiture - Investigations, proceedings, CL CL+2 GC Case File ISO Asset Forfeiture - Notifications - to legal property CL CL+2 GC owner prior to case filing that property is subject to asset fofeiture proceedings. If case is filed, notification becomes part of Asset Fofeiture file.. "",...,... ISO Case Books - Investigative - Retained by division CL CL+2 GC until a case is completed/filed on/closed, then forwarded to the Records Unit for inclusion in the General File ISO Case Files - Homicide Investigator's File P P PC799 Crime Crime Statistics: Periodic (Monthly, Bimonthly, 2 2 paper GC Prevention etc.) Crime Crime Statistics:Annual 2 P paper Yes GC Prevention Crime False Alarm (duplicate) 2 2 paper GC Prevention ISO Field Interview (FI) Cards CL+2 CL+2 electronic GC ISO Informant Files - Legal Notifications, identification T T+10 State of California Local Gov't Records information, payment information, activities Management Guidelines information Personnel and Inspection Files - Inspections by various CL CL+6 State of California Local Gov't Records Training Officer agencies Management Guidelines Personnel and Jail - Daily Logs - Daily Report of Staffing, CU CU+6 GC Training Officer Booking/Releases, Transfers, Transportation Personnel and Juvenile Detention Log - Logs document juvenile CU CU+2 GC Training Officer processing per CYA Crime Massage Establishments Expiration of Expiration of paper GC Prevention License + 2 License + 2 years years ISO Narcotics - (No Arrest, Narcotics Cases) - CL CL+2 GC Retained by division until no longer useful for investigative purposes Personnel and Parades and Special Events File - Reports, CL CL+2 GC Training Officer memos, correspondence, scripts, supplier information, assignments, deployments, supporting documentation Parking CSO Radar Calibration Records - Documentation of T+2 T+2 GC Radar instruments retained during use/ownership 8 Revised August 28, 2012

12 RECORDS RETENTION SCHEDULE FII:.E RESPONSIBLE ' RECORD DESCRJPnON ' ACTlVE TOTAL, MEDIA 'SCAN 'Destroy Paper LEGAL AUTHORITY, CODE (Ih Office) RETENnON IMAGE after Scan ISO Registration files, Arson, Sex and Narcotics - Life of Life of paper/phot Yes State of California Local Gov't Records (Fingerprint Card, Photo, Information forwarded Registrant Registrant 0 Management Guidelines to DOJ) Within Within Jurisdiction Jurisdiction Swat Team SWAT After Action Reports/ Operational Plans 2 2 paper Department's Preference; GC Leader Operations Traffic Information Reports 2 2 paper/ GC Captain electronic I 9 Revised August 28, 2012

13 LEGEND Records Retention AC = Active AU = Audit CU = Current Year E = Election P = Permanent T = Termination AD = Adoption CL = Closed / Completion DOB = Date of Birth L = Life S = Supersede CITATIONS B&P - Business and Professions CAC - California Administrative Code CCP - Code of Civil Procedure CCR Code of California Regulations Act CFR - Code of Federal Regulations EC - Election Code FMLA - Family & Medical Leave Act GC - Government Code H&S - Health and Safety Code HUD - Housing and Urban Development OSHA - Occupational Safety & Health Act PC - Penal Code POST - Police Officer Standards & Training UFC - Uniform Fire Code USC - United States Code WIC - Welfare and Institutions Code