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HomeMy WebLinkAbout14-ATTACHMENT A (RESOLUTION NO. 17-51 RETENTION SCHEDULE)ATTACHMENT A RESOLUTION NO. 17-51 EXHIBIT A: CITYWIDE RECORDS RETENTION SCHEDULE RESOLUTION NO. 17-51 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TUSTIN, CALIFORNIA, ADOPTING A RECORDS RETENTION SCHEDULE, AUTHORIZING THE DESTRUCTION OF CERTAIN CITY RECORDS, AND RESCINDING PREVIOUS RESOLUTION NO. 01-91 WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Tustin; and WHEREAS, Section 34090 of the Government Code of the State of California provides a procedure whereby any City record which has served its purpose and is no longer required may be destroyed; and WHEREAS, the State of California has adopted guidelines for retention periods for various government records; and WHEREAS, the City Council of the City of Tustin adopted Resolution 01-91, adopting a records retention schedule on September 17, 2001, and the City Council finds that the retention schedule should be updated and Resolution 01-91 rescinded. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF TUSTIN DOES RESOLVE AS FOLLOWS: Section 1. Resolution Number 01-91 is hereby rescinded. Section 2. The records of the City of Tustin, as set forth in the Records Retention Schedule Exhibit A, attached hereto and incorporated herein by this reference, are hereby authorized to be destroyed as provided by Section 34090 et seq. of the Government Code of the State of California and in accordance with the provisions of said schedule upon the request of the Department Head and with the consent in writing of the City Clerk and City Attorney, without further action by the City Council of the City of Tustin. Section 3. With the consent of the City Clerk, City Manager, and City Attorney, minor updates are hereby authorized to be made to the Records Retention Schedule without further action by the City Council. Minor updates include changes in Department or Division names, improvements in descriptions, changes in comments, deleting records series that are no longer applicable, and/or what is scanned. Changes in the Total Retention and/or adding new records series to the Schedule must be presented to the City Council of the City of Tustin prior to taking effect. Section 4. The term "records" as used herein shall include documents, instructions, books, microforms, electronic files, magnetic tape, optical media, or Resolution No. 17-51 Page 1 of 2 papers; as defined by the California Public Records Act. Section 5. The City Clerk shall certify to the passage and adoption of this resolution and enter it into the book of original resolutions. Section 6. This resolution shall become effective immediately upon its passage and adoption. PASSED AND ADOPTED at a regular meeting of,the City Council of the City of Tustin held on the 19th day of December 2017. ELWYN A. MURRAY, Mayor ATTEST: ERICA N. RABE, City Clerk STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS CITY OF TUSTIN ) I, Erica N. Rabe, City Clerk and ex -officio Clerk of the City Council of the City of Tustin, California, do hereby certify that the whole number of the members of the City Council is five; that the above and foregoing Resolution No. 17-51 was duly and regularly passed and adopted at a regular meeting of the City Council held on the 19th day of December 2017 by the following vote COUNCILMEMBER AYES: COUNCILMEMBER NOES: COUNCILMEMBER ABSTAINED: COUNCILMEMBER ABSENT: ERICA N. RABE, City Clerk Resolution No. 17-51 Page 2 of 2 RECORDS RETENTION SCHEDULE LEGEND ©1995 — 2016 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or "record copy." Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.) Records Description: The record series (a group of like records). Transitory Records not retained in the ordinary course of business: Preliminary drafts, notes, or interagency or intra -agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a "trusted system", etc. Non -Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off-site storage, stored on Unalterable Media / Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated. Vital? = Those records that are needed for basic operations in the event of a disaster. Media Options (guideline) — the form of the record: Mag = Computer Magnetic Media (hard drives, tapes, USB Drives, thumb drives, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper OD = Optical Disk, CD -r, DVD -r, WORM, or other media which does not allow changes Scan / Import (guideline): "S" indicates the record should be scanned into the document imaging system; "I" indicates the record should be electronically imported into the document imaging system; "M" indicates the record should be microfilmed Destroy Paper after Imaged & QC'd (guideline, if record is imaged): QC'd=Quality Checked. "Yes" indicates the paper version may be destroyed if the document has been imaged (microfilmed, scanned or imported) in accordance with the Trustworthy Electronic Records / ECMS / Document Imaging Policy and stored on Unalterable Media (Optical Disk — CD -R, WORM or DVD -R), and both the images and indexing Quality Checked ("QC'd"). Legend for legal citations (§: Section) CC: Civil Code (CA) CFC: California Fire Code EVC: Evidence Code (CA) FTB: Franchise Tax Board (CA) HUD: Housing & Urban Develop. (US) PC: Penal Code (CA) USC: United States Code (US) WC: Water Code B&P: Business & Professions Code (CA) CCP: Code of Civil Procedure (CA) CFR: Code of Federal Regulations (US) FA: Food & Agriculture Code (CA) GC: Government Code (CA) LC: Labor Code (CA) R&T: Revenue & Taxation Code (CA) VC: Vehicle Code (CA) CBC: California Building Code CCR: California Code of Regulations (CA) EC: Elections Code (CA) FC: Family Code (CA) H&S: Health & Safety Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) UFC: Uniform Fire Code W&I: Welfare & Institutions Code (CA) Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or in vesti.cl ations sus end normal retention periods retention resumes after settlement or completion). Accident, Incident, Injury Human reports: PUBLIC & Copies - Copies - Resources / CW -001 EMPLOYEES, with associated When No When No Mag, Copies retained for reference; Risk Longer Longer Ppr GC §34090.7 Management MSDS, if a chemical was Required Required involved Accounts Payable, Invoices, Petty Cash, Warrant Requests, Copies - Copies - etc. When No When No Yes: Before Mag, All originals go Finance Finance CW -002 Longer Longer Payment Ppr ); GC (these are copies); ALL backup is forwarded to Required Required §34090.7 Finance Brown Act challenges must be Affidavits of Publications / filed within 30 or 90 days of Public Hearing Notices / Legal Mag, action; Statute of Limitations Lead Dept. CW -003 Advertising /Affidavits of 2 years 2 years Mfr, OD, on Municipal Government Posting Ppr actions is 3 - 6 months; CCP §§337 et seq, 349.4; GC Copies - §§34090, 54960.1(c)(1) Copies - Mag' City Clerk CW -004 Agenda Packets / Staff When No When No Mfr, S Yes: After GC §34090.7 Reports: City Council Longer Longer P, pr QC &OD Required Required Copies - When No Agreements & Contracts ALL Copies - When No Mag, Yes: Upon Ensure the City Clerk receives City Clerk CW -005 ORIGINALS Longer Longer Mfr, OD, S Completio all original agreements; GC Required Required Ppr n §34090.7 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Some grant funding agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Published Audit Standards=4-7 Agreements &Contracts: 10 years or 'Completion years; Statute of Limitations: ADMINISTRATIVE FILES After + Contracts & Spec's=4 years, (with Grant Funding) Funding 10 years or Wrongful Death=comp. + 5 Agency After Funding Yes: Before Mag, Yes: Upon years, Developers=comp. + 10 Lead Dept. CW -006 (Correspondence, Project Completion Audit, if Agency Audit, Completion Mfr, OD, S/I Completio years; Statewide guidelines Administration, Project required, if required, Ppr n propose termination + 5 years; Schedules, Certified Payrolls, whichever is whichever is CCP §337 et. seq., 21 CFR Invoices, Logs, RFP, etc.) longer longer 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, & 570.502(b), 28 CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42-,45 CFR 92.42; OMB Circular A-133GC 34090 Covers E&O Statute of Limitations (insurance Agreements & Contracts: certificates are filed with ADMINISTRATIVE FILES agreement); Published Audit Mag, Yes: Upon Standards=4-7 years; Statute Lead Dept. CW -007 (Correspondence, Project Completion 10 years Completion + Yes: Before Mfr, OD, S/I Completio of Limitations: Contracts & Administration, Project 10 years Completion Ppr n Spec's=4 years, Wrongful Death=comp. + 5 years, Schedules, Certified Payrolls, Developers=comp. + 10 years; Invoices, Logs, RFP, etc.) Statewide guidelines propose termination + 5 years; CCP 337 et. seg.,GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or in vesti.cl ations sus end normal retention periods retention resumes after settlement or completion). Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL The RFP I RFQ and the Lead Dept. CW -008 PROPOSALS or RESPONSES 2 years 2 years Mag, successful proposal becomes to RFPs (Request for Ppr part of the agreement or Proposals) and/or RFQs contract; GC §34090 (Request for Qualifications) that don't result in a contract Copies - Audits I Audit Reports I CAFR - Copies - Finance CW -009 Comprehensive Annual When No When No Mag, Copies; GC §34090.7 Financial Reports Longer Longer Ppr Required Required CW -010 Bids: See Agreements & Contracts Boards, Commissions, & Committees: City Council All recommendations are Staffing Dept. CW -011 Subcommittees 2 years 2 years Mag, presented to the City Council; Ppr GC §34090 et seq. (Composed solely of less than a quorum of the City Council Boards, Commissions, & Committees: External When No When No CW -012 Organizations Longer Longer Ppr' Non -records Required Required (e.g. County Board of Supervisors) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or in vesti.cl ations sus end normal retention periods retention resumes after settlement or completion). Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Brown Act challenges must be Staffing Dept. CW -013 CITY COUNCIL Minimum 2 Minimum 2 Mag, filed within 30 or 90 days of years years Ppr action; GC §§34090, AGENDAS, AGENDA 54960.1(c)(1) PACKETS. Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Department preference; State Staffing Dept. CW -014 CITY COUNCIL 2 years 2 years Oo' law only requires for 30 days; GC §54953.5(b) AUDIO RECORDINGS of Meetings /Audio Tapes Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Department preference; GC Staffing Dept. CW -015 CITY COUNCIL P P' Mfr, OD, S No §34090 Ppr MINUTES & BYLAWS Copies - Copies - Mag, Final must be filed with County Finance CW -016 Budgets -Finals When No When No Yes: Current Mfr, OD, S/I Yes: After Auditor; GC §34090.7, 40802, Longer Longer Fiscal Year Ppr 5 years 53901 Required Required Copies - Cash Receipts Detail / Backup Copies - Finance CW -017 /Accounts Receivable Detail / When No When No Mag, GC §34090.7 Refund Detail Longer Longer Ppr Required Required TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -5 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Copies - Copies - Human When No When No Resources / Longer Longer Yes: Before Mag' Yes: After Risk CW -018 Claims Required Required Settlement Mfr, S/I Settlement GC §§34090.7 Management (Upon (Upon pr Settlement) Settlement) City preference; Statute of Limitations for personal Lead property, fraud, etc. is 3 years; Complaints /Concerns from Minimum 2 Minimum 2 Mag, (Responding) CW -019 Citizens Ppr Claims must be filed in 6 Dept. years years months; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, GC §34090 Human Send to Send to' Resources CW -020 Complaints Against Employees Human Human Ppr' GC §34090.7 Resources Resources Copies - CW -021 Contracts: See Agreements Copies - Lead Dept. CW -022 Copies or duplicates of any When No When No Mag Ppr GC §34090.7 record Longer Longer Required Required Dept. that Authors Correspondence - ROUTINE Document or CW -023 (e.g. Administrative, Chronological, 2 years 2 years Mag, GC §34090 General Files, Letters, Ppr Receives the Memorandums, Reading File, City's Original Working Files, etc.) Document TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -6 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , andlor investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Electronic and paper records are filed and retained based Correspondence - upon their CONTENT. TRANSITORY I Records, e-mails, electronic PRELIMINARY DRAFTS, records, or social media Interagency and Intraagency postings where either the Memoranda not retained in the Content relates in a ordinary course of business substantive way to the conduct of the public's Content NOT Substantive, or business, or that ARE made Dept. that NOT made or retained for the or retained for the purpose Authors purpose of preserving the of preserving the Document informational content for future When No When No informational content for or CW -024 reference Longer Longer Mag, future reference are saved b Receives the (e.g. calendars, checklists, e-mail Required Required ppr printing them out and placing in p g p g City's Original or social media posting, flyers, a file folder, g them or saving Document invitations, instant messaging, electronically in a folder inventories, logs, mailing lists, outside the e-mail system; If meeting room registrations, not mentioned here, consult speaker cards, supply inventories, the City Attorney to determine telephone messages, text if a record is considered messages, transmittal letters, transitory / preliminary drafts. thank yous, requests from other GC §34090, GC §6252-164 cities, undeliverable envelopes, Ops. Cal. Atty. Gen. 317 visitors logs, voice mails, (1981)); City of San Jose v. webpages, etc.) Superior Court (Smith). S218066. Supreme Court of TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -7 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , andlor in vesti.cl ations sus end normal retention periods retention resumes after settlement or completion). Deeds, Easements, Final Copies - Copies - City Clerk CW -025 Orders of Condemnations, When No When No Mag, Send all originals to the City Liens, Recorded Documents, Longer Longer Ppr Clerk; GC §34090.7 Rights of Ways (All) Required Required Close + 5 Deposit Accounts I Trust Close + 5 Mag, Department preference; meets Lead Dept. CW -026 Accounts I Refundable years years Ppr auditing standards; GC §34090 Deposits As long as the drafts and notes are not retained in the "Regular Drafts &Notes: Drafts that are When No When No Mag, Course of Business". Consult Lead Dept. CW -027 revised (retain final version) Longer Longer Ppr the City Attorney to determine Required Required if a record is considered a draft. GC §§34090, 6252, 6254(a) The Lead Department should print out historical documents (or save source data) prior to GIS Database I Data I Layers When No When No replacing the data, if they Lead Dept. CW -028 (both City-wide and Longer Longer Yes Mag require the data or output for Specialized) Required Required historical purposes; Department Preference (Preliminary documents); GC 2 years §34090 et seg. Lead Dept. CW -029 Grants (UNSUCCESSFUL 2 years Mag' GC §34090 Applications, Correspondence) Ppr TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -8 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Meets auditing standards; Grants covered by a Consolidated Action Plan are Grants / CDBG / Reimbursable required for 5 years; Uniform Claims / FEMA Claims Admin. Requirements for (SUCCESSFUL Reports, other Grants to Local Governments records required to pass the After is 3 years from expenditure funding agency's audit, if Funding After Funding report or final payment of required) re q ) Agency Agency Audit, Mag, grantee or subgrantee; Lead Dept. CW -030 2 years Audit, if if required - Applications (successful), grant Required - q Minimum 5 Ppr statewide guidelines propose 4 R 301 .42 years; 7 CFR 3016.42; 21 CFR agreement, program rules, Minimum 5 years 1403.36 & 24 CFR regulations & procedures, reports years 85.42, 91.105(h), 92.505, to grant funding agencies, 570.490, & 570.502(a&b), 28 correspondence, audit records, completion records CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A- 110 & A-133-1 GC §34090 Send all grievances to Human Copies - Copies - Resources; All State and Human Grievances and Informal When No When No Yes: Before Mag, Federal laws require retention Resources CW -031 Complaints (Employees) Longer Longer Disposition Ppr until final disposition of formal Required Required complaint; State requires 2 years after action is taken; GC Copies - §§12946,34090 Copies - When No When No Lawsuits, Litigation, Pending Longer Longer Yes: Before Mag, Yes: After Risk Management City Attorney CW -032 Litigation Required Required Settlement Mfr, OD, S/I Settlement administrates claim; GC (Upon (Upon Ppr §§34090.7, 34090.6 Settlement) Settlement TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -9 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Leave Slips /Time Off When No When No Mag' Preliminary drafts not retained Lead Dept. CW -033 Requests Longer Longer Ppr in the Regular Course of Required Required Business GC §34090 Previous MSDS may be obtained from a service; MSDS may be destroyed as long as Material Safety Data Sheet a record of the chemical / (MSDS) / Safety Data Sheet substance / agent, where & (SDS) Chemical Use Report While Mag, Yes -After when it was used is Lead Dept. p CW -034 Form (or records of the Chemical In 30 ears y 30 ears y Mfr, OD, S QC & OD maintained for 30 years; chemical / substance / agent, Use Ppr Applies to qualified employers; where & when it was used) Claims can be made for 30 years for toxic substance exposures; 8 CCR 3204(d)(1)(B)(2 and 3), 29 Copies - CFR 1910.1020 d 1 i GC Copies - Mag, Originals maintained by City City Clerk CW -035 Minutes - City Council When No When No Yes (all) Mfr, OD, S No Clerk Permanently; GC Longer Longer Ppr §34090.7 Required Required Copies - Copies - Mag' Return any whole unused City Clerk CW -036 Municipal Code (these are When No When No Yes: Current Mfr, OD, I No codes to the City Clerk; copies) Longer Longer Original p Originals maintained by City Required Required When No Clerk Permanently; GC §34090 When No Non -records - may be obtained Lead Dept. CW -037 Newspaper Clippings Longer Longer Ppr from the newspaper company; Required Required GC §34090 Notices: Public Hearing Statute of Limitations on Staffing Dept. CW -038 Notices and Proofs of 2 years 2 years Mag, Municipal Government actions Publications Ppr is 3 - 6 months; CCP§337 et seq; GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -10 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , andlor investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Copies - Copies - Mag' City Clerk CW -039 Ordinances -City Council When No When No Yes (all) Mfr, S No Originals maintained by City Longer Longer pr Clerk Permanently; GC §34090 Required Required Send to Send to Ensure records kept in Personnel Files (Department- Human Human Human level Files) Resources Resources Before Mag, Department files comply with Resources CW -040 Upon Upon Separation Ppr City policy (all originals are Except Police Department Separation or Separation or sent to Human Resources); GC Transfer Transfer Shred After §34090.7 Shred After Incorporation Incorporation Notes maintained in a separate Personnel Files (Supervisor's into into Before Mag' folder to be incorporated into Lead Dept. CW -041 Notes) Performance Performance Annual Ppr performance evaluation, or to Evaluation or Evaluation or Evaluation document progressive Documented Documented discipline; GC §34090 et seq. Discipline Discipline When No When No Mg, Preliminary Drafts; destroy Lead Dept. CW -042 Photographs Longer Longer p unnecessary photographs. GC Required Required §§34090, 6252, 6254(a) Mag, Yes: After Department preference; GC Lead Dept. CW -043 Purchase Orders / Requisitions 2 years 3 years 5 years Mfr, OD, S QC &OD §34090 Ppr Lead Dept. Real Estate Appraisal Reports: Not accessible to the public; (Who Ordered CW -044 Property NOT purchased, 2 years 2 years Pag' p Statewide Guidelines show 2 the Appraisal) Loans not funded etc. ears; GC 34090, 6254(h) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -11 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , andlor investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Not accessible to the public until purchase has been Lead Dept. Real Estate Appraisal Reports: Minimum 3 Minimum 5 Yes: Before Mag, Yes: After completed; meets grant (Who Ordered CW -045 Purchased Property, Funded 2 years Purchase Mfr, OD, S QC &OD auditing requirements; 24 CFR the Appraisal) Loans years years Ppr 85.42 & 91.105(h), & 570.502(b); 29 CFR 97.42, GC Copies - §34090 Records Destruction Lists / Copies - City Clerk CW -046 Certificate of Records When No When No Mag, GC §34090.7 Destruction Longer Longer Ppr Required Required Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals, Newsletters, etc: When No When No CW -047 Produced by OUTSIDE Longer Longer ag Ppr' Non -Records ORGANIZATIONS (League of Required Required California Cities, Chamber of Commerce etc. Reference Materials: Policies, Procedures, Brochures, Flyers, Minimum 2 Minimum 2 Mag, Statewide guidelines propose Lead Dept. CW -048 Manuals, Newsletters, etc: superseded + 2 or 5 years; GC Produced by YOUR years years Ppr §34090 Department Reference Materials: Policies, Procedures, Brochures, Flyers, When When Mag, Lead Dept. CW -049 Manuals, Newsletters, etc: Copies; GC §34090.7 Produced by OTHER Superseded Superseded Ppr Departments CW -050 Reference or Working Files: See Correspondence TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -12 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Reports and Studies Mag, Administratively and Lead Dept. CW -051 (Historically significant - e.g., 10 years P P Mfr, OD, S/I Yes: After Historically significant, Zoning Studies) Ppr 10 years therefore retained permanently; GC §34090 Information is outdated after 10 Reports and Studies (other years; statewide guidelines Lead Dept. CW -052 than Historically significant 10 years 10 years Papr' propose 2 years; If historically reports - e.g. Annual Reports) significant, retain permanently; Copies - GC §34090 Copies - Mag, Originals maintained by City City Clerk CW -053 Resolutions - City Council When No When No Yes (all) Mfr, OD, S No Clerk Permanently; GC Longer Longer Ppr §34090.7 Required Required Minimum 2 Lead Dept. CW -054 Special Projects / Subject Files Minimum 2 Mag, Department Preference; GC / Issue Files years years Ppr §34090 et seq. Surveys / Questionnaires (that the City issues). If a summary of the data is ag Lead Dept. CW -055 compiled, the survey forms are 2 years 2 years Ppr' GC §34090 considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -13 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Department preference; Meets auditing standards (audit + 4 years); IRS requires 4 years; Ca. requires 2 yr min.; FTB keeps 3 years; Most Time Cards Copies - Copies - Mag' Employees provide digital Finance / CW -056 When No When No Mfr, OD, S / I Yes: After signatures when they submit Payroll Contains the employee's Longer Longer P r p QC & OD their timecards, but some in signature Required Required Public Works and Community Services do not (another employee enters their time); IRS Reg §31.6001-1(e)(2), R&T §19530; LC § 1174(d); 29 CFR 516.5; GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -14 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, claims, complaints, audits, public records act request , and/or investi.cl ations sus end normal retention periods retention resumes after settlement or completion). Department preference; Ethics Training is 5 years; Statewide Training - ALL COURSE guidelines propose 7 years; RECORDS Calif. Labor Division is required Mag, Yes: When to keep their OSHA records 7 Lead Dept. CW -057 (Attendance Rosters, Outlines 2 years 3 years 5 years Mfr, OD, S Inactive years; EEOC/FLSA/ADEA and Materials; includes Ethics P r p (Age) requires 3 years for & Safety Training & Tailgates) promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years for personnel actions; 8 CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC §6429(c); GC §§12946, 34090, 53235.2(b) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -1 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Agenda Packets: City Council, Housing Authority, Mag, Mfr, Yes: After Department preference; GC City Clerk CC -001 Redevelopment Agency, P P OD, Ppr SII QC & OD §34090 Successor Agency, Oversight Board Agreements & Contracts - ALL (Except Class Department Preference; All Instructors) infrastructure contracts should be permanent for Agreement or Contract Yes: Before Mag, Mfr, Yes: emergency preparedness; City Clerk CC -002 includes all contractual Completion P P Completion OD, Ppr S Completion + Statute of Limitations is 4 obligations (e.g. Specifications 4 years years; 10 years for Errors & and Successful Proposal/ Omissions; land records are Scope of Work), Insurance permanent by law; CCP Certificates, Notice of §337 et. seq., GC §34090 Completion Board & Commission I City Clerk CC -003 Committee Maddy Act Lists 1 2 years 2 years Mag, Ppr GC §34090 Vacancy Notices Securities (Performance Bonds, Letters of Credit, CD's, etc.) are released Bonds (Performance Bonds, Release of Release of after the Notice of City Clerk CC -004 Subdivision Bonds, Letters of Bond I Letter Bond I Letter Mag, Ppr Completion is issued and Credit) of Credit of Credit replaced with the Warranty Bond, which is released 1 year after the Notice of Completion date. GC 34090 City Council, Board & Mag, Mfr, Yes: After Department preference; GC City Clerk CC -005 Commission Historical List of P P OD, Ppr SII QC &OD §34090 Members TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). City Clerk CC -006 Claim Forms 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 OD, Ppr QC & OD Department preference; Finals are maintained by City Clerk CC -007 Deeds, Easements, Liens, P P Yes (all) Mag, Mfr, S No City Clerk; Department file Rights of Way OD, Ppr may include correspondence; GC §34090 et seg. Economic Interest Filings (FPPC 700 Series Forms - Mag, Mfr, Yes: After 2 City maintains original City Clerk CC -008 Statement of Economic 7 years 7 years OD, Ppr S / I years statements; GC Interests): ALL §81009(d)(e)(f)&(g) Economic Interest Filings City Clerk CC -009 (FPPC Form 635) - Lobbyist 2 years 3 years 5 years Mag, Ppr S / I Yes: After 2 2 CCR 18615(d) Reportingyears FPPC Form 801 (Gift to Yes: After 2 Must post on website; City Clerk CC -010 Agency Report) 7 years 7 years Mag, Ppr S / I years FPPC Opinion; 2 CCR 18944 c 3 G FPPC Form 802 (Event Ticket Yes: After 2 Should post on website for City Clerk CC -011 / Pass Distributions Agency 7 years 7 years Mag, Ppr S / I years 4 years; GC §81009(e) Report) 7 years City Clerk CC -012 FPPC Form 803 (Behested 7 years Mag, Ppr S / I Yes: After 2 GC §81009e Payment Report) P years City Clerk CC -013 FPPC Form 804 (Agency P Mag, Mfr, S / I Yes: After 2 FPPC Regulation 18734(c); Report of New Positions) P OD, Ppr years GC §81009e City Clerk CC -014 FPPC Form 805 (Agency P Mag, Mfr, S / I Yes: After 2 FPPC Regulation 18734(c); Report of Consultants) OD, Ppr years GC §81009e FPPC Form 806 (Agency Yes: After 2 Must post on website; 2 City Clerk CC -015 Report of Public Official 7 years 7 years Mag, Ppr S / I CCR 18705.5; GC §34090; Appointments) years GC §81009(e) ELECTIONS - CONSOLIDATED TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -3 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Assessment District Ballots, City Clerk CC -016 Protest Letters, & Envelopes - 2 years 2 years Ppr GC §53753(e)(2) Prop. 218 proceedings Campaign Filings (FPPC 400 Series Forms & Form 501): Mag, Mfr, Yes: After 2 Paper must be retained for City Clerk CC -017 SUCCESSFUL CANDIDATES 2 years P P OD, Ppr S years at least 2 years; GC Elected Officials) §81009(b)&(g) Campaign Filings (FPPC 400 Series Forms &Form 501): Mag, Mfr, Yes: After 2 Paper must be retained for City Clerk CC -018 UNSUCCESSFUL 5 years 5 years OD, Ppr S years at least 2 years; GC §81009(b)&(g) CANDIDATES Campaign Filings (FPPC 400 Series Forms): THOSE NOT Paper must be retained for City Clerk CC -019 REQUIRED TO FILE 4 years 4 years Mag, Ppr at least 2 years; GC ORIGINAL WITH CITY CLERK §81009(f)&(g) (copies) Campaign Filings (FPPC 400 Series Forms): OTHER Paper must be retained for City Clerk CC -020 7 years 7 years Mag, Ppr at least 2 years; GC COMMITTEES (PACS -not §81009(c)&(g) candidate -controlled) Department Preference; Statewide guidelines proposes 4 years for Candidate File: Nomination successful candidates, 2 Papers, Candidate Statement Term of Term of years for unsuccessful; CA City Clerk CC -021 Forms, etc. - SUCCESSFUL Office + 4 Office + 4 Mag, Ppr law states term of office and CANDIDATES years years 4 years after the expiration of term and does not delineate between the two; EC §17100 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Statewide guidelines proposes 4 years for Candidate File: Nomination successful candidates, 2 Papers, Candidate Statement years for unsuccessful; CA City Clerk CC -022 Forms, etc. - Election + 4 Election + 4 Mag, Ppr law states term of office and UNSUCCESSFUL years years 4 years after the expiration CANDIDATES of term and does not delineate between the two; EC §17100 Elections - GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Precinct Maps, County Election City Clerk CC -023 Services, Candidate 2 years 2 years Mag, Ppr GC §34090 Statements to be printed in the Sample Ballot, Polling Locations and Precinct Board Members, Notices, Postings, etc. Elections - HISTORICAL (Sample ballot, copies of Mag, Mfr, Retained for Historical City Clerk CC -024 resolutions, final results; 2 years P P OD, Ppr S No Value, GC §34090 Certificate of Election, Oath of Office TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -5 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Not accessible to the public; Results or Results or The 8 month retention Final Final applies after election City Clerk CC -025 Elections - Petitions (Initiative, Examination Examination Ppr results, or final examination Recall or Referendum) if No Election if No Election if no election, unless there + 8 mo. + 8 mo. is a legal or FPPC proceeding. EC §§17200, 17400 End of Elections Section City Clerk CC -026 Ethics Training Certificates 5 years 5 years Mag, Ppr GC §53235.2(b) City Clerk determines historical significance; Historical Records, records can address a Photographs, & Historical Mag, Mfr, variety of subjects and City Clerk CC -027 Projects (e.g. Incorporation, P P OD, Ppr S No media. Some media (e.g. City Seal, Awards of significant audio and video tape) may historical interest, etc.) be limited because of the media's life expectancy; GC §34090 Minutes: City Council, Housing Authority, Redevelopment Agency, Successor Agency, Mag, Mfr, City Clerk CC -028 Oversight Board, Audit P P OD, Ppr S / I No GC §34090 Commission, Community Services Commission, Planning Commission Municipal Code When No When No Preliminary drafts not City Clerk CC -029 Administration, Distribution, Longer Longer Mag, Ppr retained in the ordinary etc. Required Required course of business; GC 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -6 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Municipal Code History/ Mag, Mfr, Yes: After Department preference City Clerk CC -030 Supplements P P OD, Ppr S / I QC'd & OD (retain one of each supplement); GC §34090 Oath of Office: City Council, Term of Mag, Mfr, Yes: After Department Preference; GC City Clerk CC -031 Boards & Commission Office + 4 P P OD, Ppr S / I QC'd & OD §34090 Members ears P City Clerk CC -032 Ordinances P Mag, Mfr, S / I Yes: After GC §34090 2 years OD, Ppr QC'd & OD City Clerk CC -033 Proclamations / 2 years Mag, Mfr, S / I Yes: After GC §34090 Commendations OD, Ppr QC'd & OD Public Records Requests / City Clerk CC -034 Request for Records / 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 Subpoenas (Records / Duces OD, Ppr QC'd & OD Tecum) / Summons Recordings - Video of City Department Preference; City Clerk CC -035 Council, Citizen's Finance 10 years 10 years Mag, OD Video recording of meetings are only required for 90 Oversight Committee 10 years days; GC §§34090.7, 34090 City Clerk CC -036 Records Destruction 10 years Mag, Mfr, S / I Yes: After Department preference; GC Authorization Forms OD, Ppr QC'd & OD §34090 Records Retention Schedules / Mag, Mfr, City Clerk CC -037 Amendments to Records 10 years P P OD, Ppr S / I No GC §34090 et. seq. Retention Schedules Resolutions: City Council, City Council, Housing Authority, Mag, Mfr, City Clerk CC -038 Redevelopment Agency, P P OD, Ppr S / I No GC §34090 Successor Agency, Planning Commission Sale or City Clerk CC -039 Vehicle Titles (Pink Slips) - All Sale or Mag, Ppr Department Preference; GC Vehicles Disposal Disposal P §34090 City Clerk CD -037 Zoning Maps (Historically P Yes (all) Mag, Mfr, S No Department Preference; GC Significant) OD, Ppr, 34090.7 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 2.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM -1 Office of Record Retention No. Records Description Retention / Disposition Inactive Image: Destroy Comments I Reference (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). City CM -001 CitCouncil Correspondence y p Minimum 2 Minimum 2 Ma g, Ppr Department Preference; GC Manager years years §34090 City Grand Jury Reports and Department Preference (the Manager CM -002 Responses (Regarding City 5 years 5 years Mag, Ppr Grand Jury keeps their reports 5 Operations) Minimum 2 years); GC §34090 City Projects, Programs, Subject & Minimum 2 Department Preference; GC Manager CM -003 Issues (Issues and/or projects will years years Mag, Ppr §34090 vary over time) When No City Speech Notes /PowerPoint When No Notes, drafts, or preliminary Manager CM -004 Presentations Longer Longer Mag, Ppr documents; GC §34090 et seq. Required Required Copies - Copies - Finance CM -005 Travel /Conferences When No When No Mag, Ppr Invoices are maintained by Longer Longer Finance; GC §34090.7 Required Required TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). BUILDING DIVISION Community Mag, Department preference; Develop. / CD -002 Address Files / Building Permits P P Yes (all) 1§19850 Mfr, OD, S Yes: After Statewide guidelines propose Building Ppr QC & OD permanent; GC §34090, H&S Community Department Preference - Data is Develop. / CD -003 Building Permit Database Indefinite Indefinite Yes (all) Mag interrelated; GC §34090, H&S Building Upon §19850 Department preference; Community Develop. / CD Building Plans -Cancelled or Upon Cancellation Cancellation Mag, Mfr, OD, S Yes: After Preliminary drafts not retained in -004 Withdrawn or QC & OD the ordinary course of business; Building or Withdrawal Withdrawal Ppr CBC §104.7; H&S§19850, GC §34090 Department Preference; Law Building Plans - Finalled - requires for the life of the INDUSTRIAL, COMMERCIAL, building for commercial and Community MULTI -FAMILY DWELLINGS, Mag, Yes: After common interest dwellings only; Develop. / CD -005 PLACES OF PUBLIC P P Yes (all) Mfr, OD, S QC & OD Statewide guidelines propose 2 Building ACCOMMODATION, TENANT Ppr years for blueprints & IMPROVEMENTS specifications; CBC 104.7 & 107.5, H&S 19850, GC §34090 Department preference; Site Plans Only for dwellings less than 2 stories, garages & Community Building Plans - Finalled - SINGLE Mag, Yes: After appurtenances, farms/ranches, Develop. / CD -006 FAMILY RESIDENTIAL - SFR and P P Yes Mfr, OD, S QC & OD 1 -story with bearing walls less Building APPURTENANCES Ppr than 25'; CBC requires 180 days from completion date; CBC 104.7 & 107.5, H&S§19850, GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Community Mag, Yes: After Department Preference; GC Develop. / CD -007 Certificate of Occupancy (CofO) P P Yes (all) Mfr, OD, S QC & OD §34090 Building Ppr Community Certificate of y ( ) Occupancy CofO p Expiration iration + 2 Expiration + Yes until Department Preference; GC Develop. / CD -008 TEMPORARY years 2 years expired) Mag, Ppr §34090 Building When No Community Construction Notices / When No Develop. / CD -009 Inspection Notices Longer Longer Mag, Ppr Preliminary Drafts; GC §34090 Building (correction notices, compliance Required Required orders, stop work notices, etc. Community Mag, Yes: After Department Preference; GC Develop. / Grading Plans P P Mfr, OD, S QC & OD §34090 Building Ppr Community Develop. / CD -010 Reports: Building Activity 2 years 2 years Mag, Ppr GC §34090 Building Minimum 2 Community Minimum 2 Yes: Until Department preference; GC Develop. / CD -013 Hardship Waivers years years Resolution Mag, Ppr §34090 Building Community Requests & Permissions to Mag, Yes: After Develop. / CD -011 Receive Copies of Plans (to and 2 years 2 years Mfr, OD, S QC & OD GC §34090 Building from Architects) Ppr Community Uniform Building Codes / California Department preference; GC Develop. / CD -012 Building Codes P P Mag, Ppr §50022.6 Buildin CODE ENFORCEMENT Community Minimum Minimum Develop. / CD -013 Administrative Citation Hearings Resolution + Resolution + Yes: Until Mag, Ppr Department preference; GC Code 2 years 2 years Resolution §34090 Enforce-ment TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Code Enforcement/ Abatement Case Files /Administrative Citations / Vehicle Abatement Community (Includes appeals and Code Mag, Department preference; Case is Develop. / CD -014 Enforcement Complaint Letters) P P Yes: Until Mfr, OD, S Yes: After open until satisfactorily resolved Code Resolution QC & OD (some cases are not resolved); Enforce-ment MAJOR: STRUCTURAL / Ppr CFC §104.3.4, GC §34090 ILLEGAL DUMPING, SWIMMING POOLS, ETC. Code Enforcement/ Abatement Case Files /Administrative Citations / Vehicle Abatement (Includes appeals and Code Community Enforcement Complaint Letters) Minimum ' Minimum Department preference; Case is Develop. / CD -014 Resolution + Resolution + Yes: Until Mag, Ppr open until satisfactorily resolved Code MINOR: WEED ABATEMENT, 2 years 2 years Resolution (some cases are not resolved); Enforce-ment VEHICLE ABATEMENT, CFC §104.3.4, GC §34090 SIDEWALK BLOCKING, PARKING, BANNERS, SIGNS, ETC. Community Develop. / Data Fields / Records are Code CD -015 Code Enforcement Database Indefinite Indefinite Yes Mag interrelated; GC §34090 Enforce-ment PLANNING Community Alcohol Beverage Control License When No When No Develop. / CD -016 Applications (ABC Applications) Longer Longer Mag, Ppr (Non -Records) Planning Required Required Community Annexations / Boundaries / Mag, Yes: After Develop. / CD -017 Consolidations / LAFCO 5 years P P Mfr, OD, S / I QC & OD Land Records; GC §34090 Planning Ppr TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Community When No When No (Non -Records - Census Bureau Develop. / CD -018 Census, Demographics Longer Longer Mag, Ppr is OFR) Planning Required Required Environmental Determinations: Usually filed in the project file; Environmental Impact Reports Final environmental Community (EIRs), Negative Declarations, Mag' Yes: After determinations are required to Develop. / CD -019 etc.) P P Mfr, OD, S QC & OD be kept a "reasonable period of Planning Ppr time"; 14 CCR §15095(c); GC Inside City boundaries §34090 Environmental Determinations: Community Environmental Impact Reports When No When No Non -records; EIRs and Negative (EIRs), Negative Declarations, Declarations within the City Develop. / CD -020 etc.) Longer Longer Ppr Boundaries are with the project Planning Required Required file Outside City boundaries Community General Plan, Elements and Mag, Yes: After City Clerk Maintains all Agenda Develop. / CD -021 Amendments P P Mfr, OD, S / I QC & OD Packets Permanently; GC Planning Ppr §34090.7 Community Historic Preservation Survey, Mag' Yes: After Department Preference; GC Develop. / CD -022 Evaluations and Designations P P Mfr, OD, S / I QC & OD §34090 Planning Ppr Community Master Plans, Specific Plans, Land , Mag Yes: After Department Preference; GC Develop. / CD -023 Use Plans, etc. P P Mfr, OD, S / I QC & OD §34090 Planning When No Ppr Community When No Preliminary drafts not retained in Develop. / CD -024 Materials Boards Longer Longer Mag, Ppr the ordinary course of business; Planning Required Required Minimum 2 GC §34090 Community Special Event Permits / Film Minimum 2 Develop. / CD -025 Interim Use Permits years years Mag, Ppr GC §34090 Planning TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -5 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Planning Commission Community Mag, Yes: After Department preference; Original Develop. / CD -026 AGENDAS &AGENDA P I P I Mfr, OD, S / I QC & OD Staff Reports are filed in the Planning Ppr project file; GC §34090 PACKETS Community Planning Commission Department preference; State Develop. / CD -027 AUDIO RECORDINGS of Meetings 2 years 2 years Mag, OD law only requires for 30 days; Planning GC §54953.5(b) /Audio Tapes Planning Commission Copies - Copies - City Clerk CD -028 When No When No Yes Mag' Mfr, OD, S No Send originals to the City Clerk; MINUTES, BYLAWS & Longer Longer I I Ppr GC §34090.7 RESOLUTIONS Required Required Community Planning Project Log of Department Preference - Data is Develop. / CD -030 Applications, Database Indefinite Indefinite Yes (all) Mag interrelated; GC §34090, H&S Planning §19850 Planning Project Files - Approved Permanent Entitlements (Includes Associated CEQA Noticing, Conditions of Approval, Department preference; Final Community Public Noticing, Environmental Mag environmental determinations Develop. / CD -031 Determinations, Staff Reports, 3 years P P Yes Mfr, OD, S Yes: After are required kept a Planning Plans &Maps) Ppr QC & OD 'reasonable period of time"14 o; CCR §15095(c); GC§§34090, Examples: Conditional Use Permits 34090.7 (CUPs), Correspondence, Design Review, Lot Line Adjustments, Parcel Maps, Site Plans, Tentative Subdivisions, Variances, Zone Chan es etc. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -6 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Community Mag, Yes: After Department Preference; GC Develop. / CD -032 Home Occupation P P Mfr, OD, S QC & OD §34090 Planning Ppr Community Minimum 2 Minimum 2 Mag' Yes: After Department Preference; GC Develop. / CD -034 Special Studies years years Mfr, OD, S QC & OD §34090 Planning Ppr Temporary Entitlements / Temporary Permits (Approved & Community Unapproved): Minimum 2 Minimum 2 Yes: Mag, Yes: After Department preference; Develop. / CD -035 years years During Mfr, OD, S QC & OD GC§§34090 Planning Event Ppr Christmas Tree Lots, Pumpkin Lots Banner Permits etc. City Clerk CD Zoning Maps (Historically P Yes Mag' Mfr, OD, S No Department Preference; GC -037 Significant) P (all) §34090.7 Ppr Community Zoning Ordinance Amendments, Mag' Yes: After Department Preference Develop. / CD -038 P P Yes Mfr, OD, S / I Reclassifications /Zone Change 1 year (copies); GC §34090.7 Plannin P r TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 2.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED -1 Office of Record Retention No. Records Description Retention / Disposition Inactive Image: Destroy Comments I Reference (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). ECONOMIC DEVELOPMENT / REDEVELOPMENT / SUCCESSOR AGENCY Economic Development Projects, Economic ED -001 Programs, Subject & Issues Minimum 2 Minimum 2 MagPpr ' p Department Preference; GC Develop. (Issues and/or projects will vary years years §34090 over time) P Economic ED -002 MCAS Tustin Base Records P Mag, Ppr Department Preference for Develop. Historical Purposes; GC §34090 Economic ED -003 Redevelopment Plans P P Mag, Ppr Department Preference for Develop. Historical Purposes; GC §34090 Redevelopment Projects & Project Areas Planning, Building and Engineering retains final Economic (Ensure Planning has all Completion Completion documents of construction Develop. ED -004 Environmental Documents, + 10 years + 10 years Mag, Ppr projects (transfer any CIP project Engineering has all CIP Projects, files to Engineering); Covers and City Clerk has all Real various Statute of Limitations; Property records for Permanent CCP §337 et seq.; GC §34090 retention HOUSING DIVISION Economic Foreclosure Notices /Notices of When No When No Preliminary drafts not retained in Develop. / ED -005 Defaults (NOD) Longer Longer Mag, Ppr the ordinary course of business; Housing Required Required GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 2.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED -2 Office of Record Retention No. Records Description Retention / Disposition Inactive Image: Destroy Comments / Reference (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). 5 years after HUD requires 5 years after the Housing Programs: Affordable After the the project completion; documents Housing Projects, Rehabilitation, Affordability Affordability imposing recapture / resale CDBG-funded Housing Projects, Period Period restrictions are 5 years after the Economic etc. Terminates, Terminates, affordability period terminates; Develop. / ED -006 5 years or the or the Mag, Mfr, S / I Yes: When Uniform Admin. Requirements Housing WITH aRecapture /Resale Written Written OD, Ppr Inactive for Grants to Local Governments Restriction Agreement Agreement is 3 years from expenditure Terminates, Terminates, report; statewide guidelines Deeds are sent to City Clerk Whichever is Whichever i s propose 4 years; 24 CFR 85.42, Longer Longer 92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, GC §34090 Housing Programs: Affordable Housing Projects, Rehabilitation, HUD requires 5 years after the CDBG-funded Housing Projects, agreement terminates; etc. Loan Pay-off Loan Pay -of Consistent with Consolidated Economic OR OR Mag, Mfr, Yes: After Plan Requirements; Required for Develop. / ED -007 WITHOUT a Recapture/ Resale Forgiveness Forgiveness OD, Ppr S / I QC & OD 3-4 years from expenditure or Housing Restriction + 5 years + 5 years performance report; 24 CFR 85.42, 92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, Deeds and Insurance are sent to GC §34090 City Clerk Loan Applications / Potential Economic Buyers Denied, Cancelled or Develop. / ED -008 Withdrawn (First Time Home 2 years 2 years'` Mag, Ppr GC §34090 Housing Buyers, Life/Safety, Rehabilitation, HOME etc. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -1 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). ACCOUNTING Department Preference; IRS: 4 years after tax is due or paid Finance / FIN -001 1099's / 1096's 2 years 3 years 5 years Mag, Ppr (longer for auditing & contractor Accounting delinquency); Ca. FTB: 3 years; IRS Reg §31.6001-1(e)(2), R&T §19530, GC §34090 Accounts Payable / Invoices and Backup Department Preference (meets Finance / FIN -002 2 years 3 years 5 years Yes: Until Mag, Mfr, S / I Yes: After municipal government auditing Accounting (Includes Invoices, Travel Paid OD, Ppr QC & OD standards); GC §34090 Expense Reimbursements, Check Request, etc.) Assessment Rolls / Lighting and Department preference; Meets Finance / FIN -003 Landscape Districts / Special 5 years 5 years Mag, Ppr auditing standards; GC §34090 Accounting District Assessment Rolls (to Tax et seq. Assessor for Tax Rolls) Audit Commission Brown Act challenges must be Finance / FIN -004 Minimum 2 Minimum 2 Mag, Ppr filed within 30 or 90 days of Accounting AGENDAS, AGENDA years years action; GC §§34090, PACKETS. 54960.1(c)(1) Audit Commission Department preference; State Finance / FIN -005 2 years 2 years Mag, OD law only requires for 30 days; Accounting AUDIO RECORDINGS of GC §54953.5(b) Mee tin s /Audio Tapes Audit Commission Copies - Copies City Clerk FIN -006 When No When No Yes Mag, Mfr, S No Send originals to the City Clerk; MINUTES &BYLAWS Longer Longer OD, Ppr GC §34090.7 Required Required TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Audit Commission Department Preference; Video Finance / FIN -007 10 years 10 years Mag, OD recording of meetings are only Accounting VIDEO RECORDINGS of required for 90 days; GC Mee tin s /Audio Tapes §§34090.7, 34090 Audit Reports / CAFR - Finance / FIN -008 Comprehensive Annual Financial 10 years P P Mag, Mfr, S / I Yes: After 90 Department Preference (copies); Accounting Reports and related Audit OD, Ppr days GC §34090.7 Opinions Department Preference (meets municipal government auditing Finance / FIN -009 Audit Work Papers 2 years 3 years 5 years Mag, Ppr standards); Statewide guidelines Accounting propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Bank Statements and Trustee Statements, Fiscal Agent Department Preference; meets Finance / FIN -010 Statements, Investment Account 2 years 3 years 5 years Mag, Ppr auditing standards; GC §34090, Accounting Statements, Bank 26 CFR 31.6001-1 Reconciliations, Bank Deposits, Bank Transmittal Advice Department Preference; Statute Bonds (Revenue) Official of Limitations for bonds, Statements / Transcripts / mortgages, trust deeds, notes or Certificates of Participations Fully Full y debentures is 6 years; Bonds Finance / FIN -011 (COPs) - Includes Continuing Defeased + Defeased + Yes: Until Mag, Ppr issued by local governments are Accounting Disclosure Reports 10 years 10 years Maturity 10 years; There are specific requirements for disposal of See Bank Statements for unused bonds; CCP §§336 et statement retention. seq. 337.5(a); 26 CFR 1.6001- 1(e): GC §43900 et seq. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -3 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Finance / Yes: Mag, Mfr, Yes: After 90 Department preference; GC Accounting FIN -012 Budgets - Adopted / Final P P Current OD, Ppr S / I days §34090 et seq. Fiscal Year Finance / Budgets - Preliminary, Proposed, When No When No`' Accounting FIN -013 Backup Documents Longer Longer Mag, Ppr Preliminary drafts; GC §34090 Required Required Department preference; All tangible property held by Finance / Escheat (Unclaimed money/ government agencies escheats Accounting FIN -014 uncashed checks) 5 years 5 years Mag, Ppr after 3 years; Statute of Limitations is 1 year for seized property; CCP §§340(d), 1519; GC §34090 Finance / FIN -015 FEMA Reimbursement / OES 1 year 9 years 10 years Mag, Ppr Department Preference; GC Accounting Reimbursements Indefinite §34090 Finance / FIN -016 Financial Services Database Indefinite Yes Mag Data Fields / Records are Accounting interrelated; GC §34090 Department Preference (bond auditing purposes; IRS regulations state, "... material Finance / records should generally be kept Accounting FIN -017 Fixed Assets 2 years 3 years 5 years Mag, Ppr for as long as the bonds are outstanding, plus 3 years after the final redemption date of the bonds"); 26 CFR 1.6001-1(e); GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Department Preference; Meets Investments / Arbitrage / auditing standards; Published Certificate of Deposit / Investment articles show disposal + 7 years Finance / FIN -018 Bonds (Receipts /Advisor 5 years 5 years Yes: Until Mag, Ppr for security brokerage slips; Accounting Reports / Trade Tickets / LAIF Paid statewide guidelines propose (Local Agency Investment Fund)) permanent; FTC Reg's rely on "self -enforcement"; GC§§ 34090, 43900 Department Preference; meets municipal government auditing Finance / FIN -019 Journal Entries / Journal 2 years 3 years 5 years Mag, Mfr, S / I No standards; Statute of Limitations Accounting Vouchers OD, Ppr is 4 years; statewide guidelines propose Audit + 5 years; GC §34090, CCP § 337 Lighting and Landscape Districts Department preference; Meets Finance / /Special District Assessment 5 years 5 years Mag, Ppr auditing standards; GC §34090 Accounting Rolls (to Tax Assessor for Tax et seq. Rolls) Reports, Subsidiary Ledgers, Department preference (The Reconciliations, Registers, Finance / Transaction Histories, Balance When No When No Financial System Database is Accounting FIN -020 Sheets, Revenue & Expenditure Longer Longer Mag, Ppr the original; reports are Reports, etc. (MONTHLY OR Required Required considered drafts or copies); GC PERIODIC) §34090 Reports: Annual State or Federal: State Controller's Finance / FIN -021 Report, Local Government 2 years 3 years 5 years Mag, Mfr, S / I Yes: After Department Preference; Meets Accounting Compensation Report, Gas Tax, OD, Ppr QC & OD auditing standards; GC §34090 MOE (Maintenance of Effort) Re ort, Street Report, etc. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -5 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -WIde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Finance / Transportation Audits / PERS Department Preference (meets Accounting FIN -022 Audit, etc. 5 years 5 years Mag, Ppr municipal government auditing 5 years standards); GC §34090 Finance / FIN -023 Treasurer's Reports & Backup 2 years 3 years Mag, Ppr Department Preference; GC Accounting §34090 Department Preference (meets municipal government auditing Finance / FIN -024 W -9s Minimum 5 Minimum 5 Yes: Until Mag, Mfr, S / I Yes: After standards); Statewide guidelines Accounting years years Paid OD, Ppr QC & OD propose audit + 4 years; Published articles show 3 - 7 ears GC §34090 BUSINESS LICENSE UTILITY BILLING & REVENUE Finance / Business Accounts Receivable - Department preference; Meets License, FIN -025 Miscellaneous - Damage to 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Public Property, Invoices to OD, Ppr QC & OD et seq. Billing & Outside Entities, etc. Revenue Finance / Business Department preference; Meets License, FIN -026 Accounts Receivable - Utility 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Billing, etc. OD, Ppr QC & OD et seq. Billing & Revenue Finance / Business When No When No Preliminary drafts not retained in License, FIN -027 Bankruptcies - NOT pursued Longer Longer Mag, Ppr the ordinary course of business; Utility Required Required GC §34090 Billing & Revenue TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -6 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -WIde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Finance I Business Department Preference License, FIN -028 Bankruptcies - Where a claim is 10 years 10 years Mag, Ppr (negative information remains on Utility filed credit ratings for 7 years); GC Billing & §34090 Revenue Department preference (The Finance I Billing Registers, Payment When No When No Business License & Permit Accounting FIN -029 Registers, Adjustment Registers Longer Longer Mag, Ppr Database is the original; reports Required Required are considered drafts or copies); GC §34090 Finance I Business License, FIN -030 Business License & Permit Indefinite Indefinite Yes Mag Data Fields I Records are Utility Database interrelated; GC §34090 Billing & Revenue Finance I Business Department preference (used for License, FIN -031 Business License Applications 5 years P p Mag, Mfr, S / I Yes: After Zoning approvals and police Utility and Changes OD, Ppr QC & OD approvals); GC §34090 et seq. Billing & Revenue Finance I Business When No When No License, FIN -032 Business License Renewals Longer Longer Mag, Ppr Department preference Utility Required Required (Preliminary drafts); GC §34090 Billing & Revenue TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -7 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Finance / Business Cash Receipts / Daily Cash Department preference; Meets License, FIN -033 Summaries /Cashiers Reports / 1 year 4 years 5 years MagMfr , , S / I Yes: After auditing standards; GC §34090 Utility Cash Reports / Petty Cash OD, Ppr QC & OD et seq. Billing & Revenue Finance / Business Department Preference; meets License, FIN -034 Checks / Warrants (Cashed / 2 years 5 years 7 years Mag, Mfr, S/ I Yes: After municipal government auditing Utility Paid) OD, Ppr QC & OD standards; GC §34090, CCP § Billing & 337 Revenue Finance / Business Collections /Collection Agency Department preference; License, FIN -035 Case Files &Statements / 7 years 7 years Mag, Ppr Delinquencies remain on credit Utility Delinquent Accounts reports for 7 years; GC §34090 Billing & et seq. Revenue Finance / Business License, FIN -036 Returned Checks / NSF Checks 5 years 5 years Mag, Ppr Department Preference; Meets Utility auditing standards; GC §34090 Billing & Revenue Finance / Business When No When No Preliminary drafts not retained in License, FIN -037 Stubs / Payment Coupons Longer Longer Mag, Ppr the ordinary course of business; Utility (returned with payment) Required Required GC §34090 Billing & Revenue TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -8 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Finance / Business When No When No Preliminary drafts not retained in License, FIN -038 Turn Ons and Turn Offs Longer Longer Mag, Ppr the ordinary course of business; Utility Required Required GC §34090 Billing & Revenue Finance / Business Utility Adjustment Slips / Meter Department preference; Meets License, FIN -039 Mis-reads, Credits / Debits to 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Accounts OD, Ppr QC & OD et seq. Billing & Revenue Finance / Business License, FIN -040 Utility Billing Database Indefinite Indefinite Yes Mag Data Fields / Records are Utility interrelated; GC §34090 Billing & Revenue PAYROLL Finance / FIN -041 Auto Pay Authorization Forms / 2 years 3 years 5 years Mag, Ppr Department Preference; GC Payroll Direct Deposit Authorizations §34090 Finance / CalPERS Reports - Annual Department Preference; GC Payroll FIN -042 Valuation Reports, Actuarial 2 years 3 years 5 years Mag, Ppr §34090 Valuation Reports DE -6, DE -7, DE -9, DE -43, W-3, & Department Preference; IRS: 4 DE -166, 941 Forms, IRS 5500 yrs after tax is due or paid; Ca. Finance / Forms (Employee Benefit Plans), FTB: 3 years; Articles show 7 Payroll FIN -043 PERS /FICA &Medicare 2 years 3 years 5 years Mag, Ppr years; 26 CFR §31.6001-1(e)(2), Adjustments - Quarterly Payroll R&T §19530; 29 CFR 516.5 - Tax Returns / OASDI, Federal 516.6, 29 USC 436, GC §34090 Tax Deposits, Adjustments, etc. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -9 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Finance / FIN -044 Deferred Compensation (457) 2 years 3 years 5 years Mag, Ppr Department preference; GC Payroll Reports, Registers When No §34090 Finance / When No Preliminary drafts not retained in Payroll FIN -045 Employment Verifications Longer Longer Mag, Ppr the Regular Course of Business Required Required GC §34090 Department preference; IRS Payroll Benefit Files / Regulation for W -4s is four years Administration Forms (W -4s, after the due date of such tax for Finance / FIN -046 Changes, Personnel Action Form Separation + Separation + Yes Mag, Mfr, S / I Yes: After the return period to which the Payroll copies, Vacation pay-off 5 years 5 years OD, Ppr QC & OD records relate, or the date such requests, etc.) tax is paid, whichever is the later. 26 CFR 31.6001-1; GC §34090 Finance / Payroll Journals / Payroll Mag, Mfr, Yes: After Department preference for Payroll FIN -047 Registers / Pay Day Registers 2 years 48 years 50 years OD, Ppr S / I QC & OD CalPERS buy-back purposes; GC §34090 Department preference; Meets auditing standards (audit + 4 years); IRS requires 4 years; Ca. requires 2 yr min.; FTB keeps 3 years; Most Employees provide Finance / Mag, Mfr, Yes: After digital signatures when they Payroll FIN -048 Time Cards / Time Sheets 2 years 3 years 5 years OD, Ppr S / I QC & OD submit their timecards, but some in Public Works and Community Services do not (another employee enters their time); IRS Reg §31.6001-1(e)(2), R&T §19530; LC § 1174(d); 29 CFR 516.5; GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -10 Office of Record Retention No. Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -W1de Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention eriods retention resumes after settlement or completion). Department Preference; IRS: 4 yrs after tax is due or paid; Ca. Finance I FTB: 3 years; Articles show 7 Payroll FIN -049 W -2's 2 years 3 years 5 years Mag, Ppr years; IRS Reg §31.6001- 1(e)(2), R&T§19530; 29CFR 516.5 - 516.6, 29USC 436, GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). HUMAN RESOURCES EEOC I ADEA (Age) requires 1 year after benefit plan Benefit Plan Documents Duration of Duration of Yes: For termination; Federal law Human HR -001 (CaIPERS, Optical, Dental, the Contract the Contract Duration of Mag, Ppr requires 6 years after filing Resources etc.) + 6 years + 6 years Contract date for retirement; State Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC §§12946, 3409 Bureau of National Affairs Classification I Reorganization recommends 2 years for all Human Studies (for employee Minimum 3 Minimum 3 supplementary Personnel Resources HR -002 classifications and department years years Mag, Ppr records; Wage rate tables are structures) 1 or 2 years; State requires 2 years; 29 CFR 516.6, 29 CFR 1602.14, GC §§12946, 34090 Bureau of National Affairs recommends 2 years for all supplementary Personnel Human Compensation Surveys & Minimum 3 Minimum 3 records; Wage rate tables are Resources HR -003 Studies years years MagPpr ' p 1 or 2 years; State requires 2 years; 29 CFR 516.6(2), 29 CFR 1602.14, GC §§12946, 34090 All State and Federal laws require retention until final Human Department of Fair Final Final disposition of formal Resources HR -004 Employment & Housing (DFEH Disposition + Disposition + Mag, Ppr complaint; State requires 2 or EEOC) Claims 3 years 3 years years after "fully and finally disposed"; 2 CCR 7287.0; GC §§12946,34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). When When Human HR -005 DMV Pull Notices (Except Superseded, Superseded, MagPpr ' p Department preference (Not Resources Police) or Upon or Upon City Records); GC §34090 Separation Separation Department preference; D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC/FLSA/ADEA (Age) Human HR -006 Drug & Alcohol Test Results 5 years 5 years Mag Ppr requires 3 years physical Resources (All - Positives and Negatives) examinations; State Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 Human HR -007 Employee History Cards P P Mag, Ppr Department preference; GC Resources ("White Card") §§12946,34090 Non -citizens must re -certify periodically; Required for 1 year from termination or 3 years from hiring, whichever is later; EEOC / FLSA / ADEA Human HR -008 I -9s Separation + Separation + Mag Ppr (Age) requires 3 years for Resources 3 years 3 years any other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2-,29 CFR 1627.3(b)(i); GC §§12946, 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -3 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Department preference; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, Minimum Minimum transfer, selection, or Human HR -009 Job Descriptions / Superseded Superseded Mag, Mfr, S / I Yes: After discharge; State Law requires Resources Classification Specifications + 3 years + 3 years OD, Ppr QC & OD 2 -3 years; retirement benefits is 6 years from last action; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090-129 USC 1113 Labor Relations Files Human HR -010 (Negotiation Notes, 5 years Minimum 5 Minimum 10 Mag, Mfr, S / I Yes: After Department Preference; GC Resources Correspondence, Interpretation years years OD, Ppr QC & OD §34090 of MOU Provisions, Documentation, etc. Upon - Human Livescan Results for Upon Department preference (Not HR -011 Contracted Course Instructors Separation or Separation or Mag, Ppr Resources or Custodial Staff I Inactive Inactive City Records); GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Department Preference; Personnel Files - Employee statute of limitations for File retirement benefits is 6 years from last action; EEOC/FLSA/ADEA (Age) Human Includes Application, Separation + Separation + requires 3 years for Resources HR -012 Evaluations, Policies, Oaths of 6 years 6 years Mag, Ppr promotion, demotion, Office, PAFs (Personnel transfer, selection, or Action Forms), 1095-C form, discharge; State Law requires etc. 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§ 3105, Separation + 12946, 34090, 29 USC 1113 Personnel Files - Medical File Department preference; Files (all employees) 24 years, or 30 years, or maintained separately; Human Separation + Termination Termination Yes: Until Mag, Mfr, Yes: After Claims can be made for 30 Resources HR -013 Pre-employment Medical 6 years of Benefits, of Benefits, Separation OD, Ppr S Separation + years for toxic substance Clearances, ADA whichever is whichever is 1 year exposure; 8 CCR §3204(d)(1) Accommodations, Respirator longer longer et seq., 29 CFR Fit Tests, etc. 1910.1020(d)(1)(i), GC Recruitment and Testing File Department preference; (Includes Advertisements, EEOC / FLSA / ADEA (Age) Human Applications for Unsuccessful Hiring Hiring requires 1-3 years; State Law Resources HR -014 Candidates, Interview Notes, Decision + 3 Decision + 3 Mag, Ppr requires 2 - 3 years; 29 CFR Job Brochures, Test Data, years years 1627.3(b)(i), 29 CFR 1602.14 Testing Analysis & statistical et seq. 2 CCR 7287.0(c)(2), Metric, Job Analysis, Rating GC §§12946, 34090 Sheets, Scantrons, etc. Human Studies & Surveys Conducted When No When No Preliminary drafts not Resources HR -015 on Behalf of the City (Sick Longer Longer Mag, Ppr retained in the ordinary Leave Attrition Benefits etc.) I Required Required course of business; GC TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -5 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Human HR -016 Workers Compensation Claim 5 years 5 years Mag Ppr Meets auditing standards; GC Resources Runs / Monthly Reports Separation + §34090 Department preference; Files Workers Compensation Claims 20 years, or 30 years, or maintained separately; Human / Long Term Disability Claims Separation + Termination Termination Yes: Until Mag, Mfr, Yes: After Claims can be made for 30 Resources HR -017 (Includes all Accident, Incident, 10 years of Benefits, of Benefits, Separation OD, Ppr S QC & OD years for toxic substance or Injury Reports from whichever is whichever is exposure; 8 CCR §3204(d)(1) Employees) longer longer et seq., 29 CFR 1910.1020 d 1 i GC RISK MANAGEMENT Accident/ Incident/ Injury Risk Manag. HR -018 Reports (Potential Claims - 2 years 2 years Mag, Ppr Department preference; CCP medical and non-medical that §340.5, GC §34090 do not result in a claim.) Claim must be filed within 1 year, lawsuit within 2 years; complaints against peace officers within 5 years; Statute Risk Manag. HR -019 Claims Resolution 5 years Resolution + Yes: Until Mag, Mfr, S Yes: After of Limitations for contracts is 5 years Resolution OD, Ppr Settled 4 years; wrongful death for construction is completion + 5 years; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 34090, P 34090.6; PC §832.5(b) Risk Manag. HR -020 Insurance Polices (City -owned P Mag, Mfr, S / I Yes: After Department Preference; GC policies) 5 years OD, Ppr QC & OD §34090 Risk Manag. HR -021 JPA / JPIA Reports / General 5 years Mag, Ppr Department Preference; GC LiabilityClaim Runs 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -6 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com laints claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Calif. Labor Division is OSHA Logs - 200, 300, 301, required to keep their records Risk Manag. HR -022 301A, OSHA Inspections, 5 years 5 years Mag, Mfr, S Yes: After 7 years; OSHA requires 5 OD, Ppr QC & OD years; State law requires 2 Citations years; 8 CCR §3203(b)(1), GC 34090.7; LC §6429c TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 2.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT -1 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Used for Disaster Recovery When No When No Purposes Only; Considered a Information IT -001 Backups - DAILY (Monday - Longer Longer Yes Mag. copy and can be destroyed Technology Thursday) Required Required when no longer required; tapes are in autochangers and are overwritten; GC §34090 et seq. Used for Disaster Recovery Purposes Only; Store off-site in When No When No commercial storage for disaster Information IT -002 Backups -WEEKLY Longer Longer Yes Mag. recovery; Considered a copy Technology Required Required and can be destroyed when no longer required; retention based on administrative value; recycle When No tapes; GC §34090 et seq. Information Network Configuration Maps & When No Preliminary documents not Technology IT -003 Plans Longer Longer Yes Mag. retained in the ordinary course Required Required of business; GC §34090 et seq. Video Recordings - Public Activity (Doors, Hallways, Parks, When No When No Does not record regular ongoing Information IT -004 Public Areas, etc.) Longer Longer Mag operations of the City; GC Technology Required Required §34090.6(a) See City Clerk's schedule for City Council Video Recordings For legal compliance for WORM I DVD -r I CD -r I Blue Ray- Trustworthy Electronic Records Information IT -005 R or other UNALTERABLE P P OD (when the electronic record Technology MEDIA that does not permit serves as the official record); GC additions, deletions, or changes 60200, 12168.7, EVC 1550, CCR 22620 et seq.. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder e. . last document + 2years),since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Parks & P&R-001 Registration Database (Class / Indefinite Indefinite Mag Department Preference; data is Recreation Active Net) When No interrelated; GC §34090 Activity / Special Programs / Special When No Event /Trips er Parks & P&R-002 Required - Requer ired - Mag, Ppr Department preference; GC Recreation Children's Programs, Cultural Arts, Minimum 2 Minimum 2 §34090 Sports, Seniors, Filming, Theatre Programs etc. years years Community Services Commission Parks & Minimum 2 Minimum 2 Department preference; GC Recreation P&R-003 years years Mag, Ppr §34090 AGENDAS, AGENDA PACKETS. Community Services Commission Parks & Department preference; State Recreation P&R-004 AUDIO RECORDINGS of Meetings 2 years 2 years Mag, OD law only requires for 30 days; GC §54953.5(b) /Audio Tapes Copies - Community Services Commission Copies - Mag, City Clerk P&R-005 When No When No Yes Mfr, OD, S No Send originals to the City MINUTES &BYLAWS Longer Longer Ppr Clerk; GC §34090.7 Required Required When No When No Department Preference Parks & P&R-006 Evaluations / Surveys (Program Longer Longer Mag, Ppr (Transitory record not retained Recreation Evaluations) Required Required in the ordinary course of Expiration + business); GC §34090 Parks & Facility Use Permits / Field Use Expiration + 2 Yes: Recreation P&R-007 Permits years 2 years Before Mag, Ppr GC §34090 2 years Event Parks & P&R-008 First Aid Reports / Minor Incident 2 years Mag, Ppr GC §34090 Recreation Reports Parks & P&R-009 Food Distributions / Food Bank 2 years 2 years i i Mag, Ppr GC §34090 Recreation Distributions I I I TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder e. . last document + 2years),since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Parks & Master Plans: Parks Master Plans, Mag' Yes: After Department Preference; GC Recreation P&R-010 etc. P P Mfr, OD, S / I QC & OD §34090 Ppr Parks & P&R-011 Park History Files P P Mag, Ppr Department Preference; GC Recreation §34090 Registration Forms / Reservation Forms / Classes / Application Parks & Forms / Fee & Charge / Liability Recreation P&R-012 Forms / Release of Liability Forms / 2 years 2 years Ppr GC §34090 Permissions / etc.: Camps, Field Trips, Authorization to give Medicine, etc. Parks & P&R-013 Reservations of Facilities 2 years 2 years Mag, Ppr GC §34090 Recreation Parks & Department preference (meets P&R-014 Scholarship Applications 5 years 5 years Mag, Ppr municipal government auditing Recreation standards); GC §34090 Parks & P&R-015 Season Brochures / Recreation P P Mag, Ppr Department Preference; GC Recreation Brochures 2 years §34090 Parks & P&R-016 Senior Advisory Board -ALL 2 years Mag, Ppr GC §34090 Recreation Records Inactive + 2 Parks & P&R-017 Transportation Applications for Inactive + 2 Mag, Ppr GC § 34090 Recreation Service (Dial -a -Ride, etc.) years years Parks & Transportation Dispatch System I Department preference; GC §§ Recreation P&R-018 Dial -a -Ride Database Indefinite Indefinite When No Mag, Ppr 34090 & 26202 Parks & When No Department Preference; GC § Recreation P&R-019 Transportation Schedules Longer Longer Mag, Ppr 34090 Required Required TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-3 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder e. . last document + 2years),since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Consistent with employee personnel files (Courts treat volunteers as employees); Volunteer/ Unpaid Intern EEOC/FLSA/ADEA (Age) Parks & P&R-020 Applications & Agreements - 3 years 3 years Ppr requires 3 years for promotion, Recreation Unsuccessful or Pending demotion, transfer, selection, Applicants or discharge; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946,34090 Courts treat volunteers as employees; Volunteer/ Unpaid Intern EEOC/FLSA/ADEA (Age) Parks & Applications & Agreements Inactive / Inactive / Mag, Yes: 1 requires 3 years for promotion, P&R-021 (includes emergency contact Separation + Separation + Mfr, OD, S demotion, transfer, selection, Recreation information) - Successful 3 years 3 years Ppr year or discharge; State Law Applicants requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), 8 2 years CCR§3204(d)(1)et seg., GC Parks io P&R-022 Waivers of Liability 2 years Mag, Ppr GC §34090 Recreation TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -1 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). CHIEF /ADMINISTRATION Police / Carry Concealed Weapon Expiration + Expiration + Department preference; GC Chief / PD -001 Permits (CCW Permits) - Mag, Ppr Admin. APPROVED 2 years 2 years §34090 et seq. Police / Carry Concealed Weapon Department preference; GC Chief / PD -002 Permits (CCW Permits) - 2 years 2 years Mag, Ppr §34090 et seq. Admin. DENIED When Police / When Chief / PD -003 DMV Pull Notices (Police Only) Superseded, Superseded, Mag, Ppr Department preference (Not City Admin. or Upon or Upon Records); GC §34090 Separation Separation Police / Mag, Mfr, Yes: After Department Preference; GC Chief / PD -004 EOC Activations & Drills 10 years 10 years OD, Ppr S / I QC §34090 Admin. Police / Chief / PD -005 Neighborhood Watch 2 years 2 years Mag GC §34090 et seq. Admin. CAD / DISPATCH Department Preference Audio Recordings or Tapes - (consortium standard); Statewide Police / (CAD/RMS) Recordings of guidelines propose 180 days Commun. PD -006 Telephone & Radio 1 year 1 year Mag (legally mandated for 100 days); Communications Dispatch Tapes (may be discoverable or made (CAD) public in some circumstances), GC §§34090, 34090.6 DETECTIVE BUREAU TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -2 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Informant information; Does not Police / Minimum 5 Minimum 5 contain criminal intelligence Detectives PD -007 Informant Files (Gangs) Mag, Ppr information concerning years years individuals; Department preference GC §34090 Files contain criminal intelligence information concerning an individual only if there is reasonable suspicion that the individual is involved in criminal conduct or activity and the Police / PD -008 Intelligence Files (Criminal No Longer No Longer Mag, Mfr, S / I Yes: After information is relevant to that Detectives Intelligence Files) than 5 years than 5 years OD, Ppr QC & OD criminal conduct or activity. Misleading, obsolete or unreliable information is required to be destroyed; remaining records must not be retained longer than 5 years; 28 CFR 23.20(h); GC Transfer to §34090 Police / Investigation Files and Arrest Transfer to Final reports and records are Detectives PD -009 Files Records Records Mag, Ppr transferred to the case file stored in Records; GC §34090 et seq. Police / PD -010 Narcotics Buy Fund Logs 2 years 2 years Mag GC §34090 et seq. Detectives Expiration + Police / Regulatory Permits & Expiration + Department preference; GC Detectives PD -011 Backgrounds (Solicitors, 2 years 2 years Mag, Ppr §34090 et seq. Massae Taxi etc. PATROL TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -3 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Canine (Police Service Dogs) 3 years is required for animal Police / PD -012 Program Files/ Training Files: Separation + Separation + Mag, Ppr care /treatment records; FA Patrol Animal Files §34090 et seq. Police / Canine (Police Service Dogs) Department preference; GC Patrol PD -013 Program Files: Action Reports, 5 years 5 years Mag, Ppr §34090 et seq. Monthly Reports Minimum 2 Police / PD -014 Citations -Parking &Moving Minimum 2 Mag, Ppr Department preference; GC Records years years §34090 et seq. Department preference; Police / PD -015 Officer Daily Logs 2 years 2 years Mag Preliminary drafts not retained in Patrol the ordinary course of business; 5 years GC §34090 et seq. Police / PD -016 PAS Device Calibration Logs 5 years Mag, Ppr Department preference; GC Patrol §34090 et seq. Police / Department preference (used in Patrol PD -017 Ride -A -Long Waivers 3 years 3 years Mag CLETS Audits); GC §34090 et seq. Preliminary drafts not made or retained for the purpose of Police / PD -018 Special Events /Ops Plan Minimum 2 Minimum 2 Mag, Mfr, S / I Yes: After preserving the informational Patrol years years OD, Ppr QC & OD content for future reference; GC §34090, GC §6252; 64 Ops. Cal. 2 years Atty. Gen. 317 (1981)) Police / PD -019 Traffic Control: Radar 2 years Mag, Ppr GC §34090 et seq. Patrol Calibration Records Department preference; Police / PD -020 Vacation House Checks / Extra 2 years 2 years Mag Preliminary drafts not retained in Patrol Patrol requests the ordinary course of business; GC §34090 et seg. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -4 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Department preference; Police / PD -021 Watch Commander Logs 2 years 2'years Mag Preliminary drafts not retained in Patrol the ordinary course of business; GC §34090 et se . PROFESSIONAL STANDARDS UNIT Department Policies & Police / Procedures / Operation Minimum 5 Minimum 5 Mag, Mfr, Yes: After Department Preference; GC § PSU PD -022 Directives / General Orders / years years OD, Ppr S / I superseded 34090 et seq. Lexipol (Department Policies and Procedures) State requires for at least 5 years Internal Affairs Investigations - for Citizen's complaints; other Individual Officers / Complaints State & Federal laws require Against Officers Final Final retention until final disposition of Police / PD -023 Disposition + Disposition + Mag, Ppr formal complaint; State requires PSU (May include criminal acts, moral 5 years 5 years 2 years after action is taken; Statute of Limitations is 4 years turpitude, complaints generated for misconduct; EVC § from a citizen) 1045(b)(1), GC §§12946, 34090; Incident + 5 VC §2547 Police / PD -024 Internal Pursuit Critiques Incident + 5 Mag, Ppr Department preference; GC PSU years years 2 years §34090 et seq. Police / PD -025 Pitchess Motions Notifications 2 years Mag, Ppr GC §34090 PSU Press Releases Police / PD -026 (General Subjects. Those 2 years 2 years Mag, Ppr GC §34090 PSU related to a case are in the case file) 5 years Police / PD -027 Range Qualifications 5 years Mag, Ppr Department preference; GC PSU Incident + 5 §34090 et seq. Police / PD -028 Use of Force Review Incident + 5 Mag, Ppr Department preference; GC PSU ears ears §§12946,34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -5 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PROPERTY & EVIDENCE Police / Follows the Follows the Property & PD -029 Crime Report Photos Retention Retention of Mag, Mfr, S / I Yes: After 1 Department Preference; GC Evidence Period of the the Evidence OD, Ppr year §34090 Evidence Police / Property & PD -030 Forfeiture Notification 2 years 2 years Mag, Ppr GC §34090 Evidence Police / Gun and Narcotics Destruction Minimum 2 Minimum 2 Department Preference; GC Property & PD -031 Log (Documents related to) years years Mag, Ppr §34090 Evidence Police / Lost & Found Property Property & PD -032 (Documents related to) 2 years 2 years Mag, Ppr GC §34090 Evidence Police / Property & PD -033 Property & Evidence Logs 2 years 2 years Mag, Ppr GC §34090 Evidence Police / Property & PD -034 Property Auctions 2 years 2 years Mag, Ppr GC §34090 Evidence RECORDS Police / PD -035 Citations - Marijuana 2 years 2 years Mag, Ppr GC §34090 Records TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -6 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT Provided there are no REPORTS: outstanding warrants, unrecovered identifiable items, ALL FELONIES & criminal deaths, they are not Police / MISDEMEANORS, Except Mag, Mfr, Yes: After 3 historically significant, and it is Records PD -036 Those Specifically Mentioned 10 years 10 years Yes OD, Ppr S/M/I years not classified under PC §800 & 290 and H&S §11850; Stat. of in the Schedule Limit. is 2 yrs; Destroy juvenile marijuana after age18; H&S e.g., 5150, Detention Reports, §11361.5, GC §34090, PC §802, etc. PC §§187, 800 et seq. CRIME REPORTS / INCIDENT REPORTS: Individual petitions District Factually Innocent Petition Date of Date of Attorney; Sheriff concurs that Police / PD -037 Accepted Records Sealed Arrest + 3 Arrest + 3 Yes: Before Mag, Mfr, S/M/I Yes: After 3 person is factually innocent, then Records Pending Destruction -Except years :years Disposition OD, Ppr years seals record ("Shall" Destroy); those with outstanding stolen GC §34090; PC §851.8(a) property, including firearms, or lost firearms Firearm CRIME REPORTS / INCIDENT Firearm REPORTS: Found or Found or Police / PD -038 Recovered - Recovered - Yes Mag, Mfr, S/M/I Yes: After 3 PC§ 11108(b); GC§ 34090 Records Firearms entered into CLETS Minimum 2 Minimum 2 OD, Ppr years (if not Permanent Retention) _ Found /Recovered Firearms years years TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -7 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Department Preference; DOJ retains CACI (Child Abuse IF IMAGED, Capital Crimes / Central Index) information for Homicides / Major Crimes / adults 100 years; others have no Police / PD -039 Serious Felonies / Sex Crimes / P P Yes Mag, Mfr, S/M/I Yes: After 3 limitations on commencement of Records OD, Ppr years action; Courts keep permanently Child Abuse / Fatals / Felony PC §§ 261, 286, 288, 288a, DNA (Crimes Subject to the 288.5, 289, 289.5, 290, 799, Death Penalty), Sex Crimes (PC 803(h), 11169 et seq.; 11170(a); §288, 290, WIC 707(b)), PC WIC 707(b) 803(h) CRIME REPORTS / INCIDENT Date of Date of REPORTS: Incident + 10 Incident + 10 Police / PD -040 years, years, Yes: Before Mag, Mfr, S/M/I Yes: After 3 PC §§11169(i); 11170(a); GC Records Juvenile Child Abuse or If No If No Disposition OD, Ppr years §34090 Severe Neglect Subsequent Subsequent Reports Reports CRIME REPORTS / INCIDENT REPORTS: Misdemeanor or Infraction - Police / Adult Marijuana - H&S Yes: Before Mag, Mfr, Yes: After 2 ("Shall" Destroy); H&S §11361.5; Records PD -041 §11357(b)(c)(d)(e) or H&S 2 years 2 years Disposition OD, Ppr S/M/I years GC §34090 §11360(b) (with procedure in H&S §11361.5) - Except those with outstanding stolen property, including firearms, or lost firearms TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -8 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. end normal retention periods retention resumes after settlement or completion). Litigation, complaints, claims, public records act requests, audits and/or investigations sufor CRIME REPORTS / INCIDENT REPORTS: Conviction Conviction Police / Misdemeanor or Infraction - or Arrest (if Arrest (if Yes: Before Mag, Mfr, Yes: After 2 (Courts and other Agencies Records PD -042 Juvenile Marijuana - H&S No No Disposition OD, Ppr S/M/I years Shall" Destroy); H&S §11361.5; §11357(E) - Except those with Conviction) Conviction) GC §34090 outstanding stolen property, + 2 years + 2 years including firearms, or lost firearms CRIME REPORTS / INCIDENT REPORTS: Police / Misdemeanor or Infraction Offender is Offender is Mag, Mfr, Yes: After 2 (Courts and other Agencies , Records PD -043 Marijuana §11357(e) - Juvenile 18 Years 18 Years Yes OD, Ppr S/M/I years Shall' destroy); H&S§ 11361.5 Old Old et seq. on School Grounds during School Hours (with procedure in H&S §11361.5 Until CLETS Until CLETS CRIME REPORTS / INCIDENT Entry No Entry No Police / REPORTS: Longer Longer Yes: Before Mag, Mfr, Yes: After 2 Department Preference; GC Records PD -044 Exists - Exists - Disposition OD, Ppr S/M/I years §34090 Missing Persons (Returned) Minimum 2 Minimum 2 ears I I years TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -9 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Sealed Adult, Juvenile and Sealing Date Sealed records forjuveniles and Police / Ward Cases - Except those with + 5 ears y Sealing Date Yes: Before Ma Mfr, g Yes: After 3 wards of the Court must be Records PD -045 Except Child Abuse or Severe (Or Court + 5 years (or Disposition OD, Ppr S/M/I years destroyed 5 years after sealing Neglect, (Substantiated), Order) Court Order) date; CCP §§340.1, GC §34090; W&I §§389(a), 781(d) outstanding stolen property, including firearms, or lost firearms Police / Crime Statistics / Uniform Crime Filed on line with the State; GC Records PD -046 Reports BCS) s (UCR) - Summaries 2 years 2 years Mag, Ppr §34090 2 years Police / PD -047 Due Diligence Reports (for 2 years Mag, Ppr GC §34090 Records warrants) Minimum 2 Police / PD -048 False Alarm Reports Minimum 2 Mag GC §34090 et seq. Records years years Police / Field Investigation Cards (FI's) Department preference; Records PD -049 GANGS - After Entry into RMS P P Mag, Ppr Preliminary Drafts; GC§ 34090 et seq. Field Investigation Cards (FI's) Police / PD -050 NOT Gangs - After Entry into 2 years 2 years Mag, Ppr Preliminary Drafts; GC§ 34090 et Records RMS seq. q Department preference; Police / PD -051 Logs: Arrest Packet, JDIC 2 years 2 years Mag Preliminary drafts not retained in Records the ordinary course of business; 2 years GC §34090 et seq. Police / PD -052 NCIC Validation 2 years Mag, Ppr GC §34090 Records TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -10 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Officer Recordings: Body -Worn Until Until Tustin Police Department Police / PD -053 Cameras & MAV (Mobile Audio Manually Manually Mag General Orders §446.12; PC§ Records Videos - 1 - Uncategorized Deleted Deleted 832.18(b)(5)(A); GC §34090.6 et seq. Tustin Police Department Officer Recordings: Body -Worn General Orders §446.12; Police / PD -054 Cameras &MAV (Mobile Audio 1 year 1 year Mag Department preference (only 60 Records Videos - 2 -Non-Evidence days is required); PC§ 832.18(b)(5)(A); GC §34090.6 et 2'years seq. 2 years Officer Recordings: Body -Worn Minimum Minimum Tustin Police Department Police / PD -055 Cameras & MAV (Mobile Audio and and Mag General Orders §446.12; PC§ Records Videos - 3 - Detention / Arrest Disposition Disposition 832.18(b)(5)(B)&(C); GC of Criminal of Criminal §34090.6 et seq. Case Case Officer Recordings: Body -Worn Tustin Police Department Police / PD -056 Cameras & MAV (Mobile Audio 5 years 5, years Mag General Orders §446.12; PC§ Records Videos - 4 -Use of Force 832.18(b)(5)(B)&(C); GC §34090.6 et seq. Officer Recordings: Body -Worn Cameras &MAV (Mobile Audio Tustin Police Department Police / PD -057 Videos - 5 - Formal or Informal 5 years 5',years Mag General Orders 2; PC§ Records Complaint Against Employee 832.18(b)(5)(B)&(C);C); GC §34090.6 et seq. or Agency Officer Recordings: Body -Worn Tustin Police Department Police / PD Cameras & MAV (Mobile Audio P P Mag General Orders §446.12; PC§ Records -058 Videos - 6 - Critical Incidents 832.18(b)(5)(B)&(C); GC OIS, In -custody Death §34090.6 et seq. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -11 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Officer Recordings: Body -Worn Tustin Police Department Police / PD -059 Cameras &MAV (Mobile Audio P P Mag General Orders §446.12; PC§ Records Videos - 7 -Homicide 832.18(b)(5)(B)&(C); GC §34090.6 et seq. Officer Recordings: Body -Worn Tustin Police Department Police / PD -060 Cameras & MAV (Mobile Audio P P Mag General Orders §446.12; PC§ Records Videos — 8 - Records or Logs of 832.18(b)(5)(E); GC §34090.6 et Access or Deletion of Data seq. Department Preference to provide information to other Police/ agencies; Non -records used for Records PD -061 Pawn Slips 2 years 2'years Mag, Ppr investigations; Originals entered into the State Automated Property System; most agencies retain for 2 years; GC §34090 Police / PD -062 Police RMS Database Indefinite Indefinite Yes Mag Data Fields / Records are Records 2,years interrelated; GC §34090 Police / PD -063 Public Records Requests / 2 years Mag, Ppr GC §34090 Records Information Requests - Police Department preference; Pursuant to PC §457.1 et seq.; required to Police / PD -064 Registrants: Arson -Adults 5 years P P Mag, Mfr, S/M/I Yes: After register for life; If released from Records OD, Ppr QC & OD CYA, records are destroyed after age 25 or sealing pursuant to W&I §781; GC §34090.7 Pursuant to PC §457.1 et seq.; If Police / Registrants: Arson - Juveniles Age 25 or Age 25 or Mag, Mfr, Yes: After released from CYA, records are Records PD -065 released from California Youth Sealing Date Sealing Date ODPpr , S/M/I QC & OD destroyed after age 25 or sealing Authority + 5 years + 5 years pursuant to W&I §781; GC 34090.7 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -12 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Department Preference; Police / PD -066 Registrants: Narcotic 5 years 5 years Mag, Ppr Registration is required for 5 Records years; GC §34090, H&S §11590 P et seq., H&S §11594(a) Police / PD -067 Registrants: Sex Offenders - P Mag, Mfr, S/M/I Yes: After Department Preference; Records Adults P OD, Ppr QC & OD Pursuant to PC §290 et seq. P Police / Registrants: Sex Offenders - or Sealing or Sealing Mag, Mfr, Yes: After .& Pursuant to PC §290 et seq.; Records PD -068 Juveniles Date + 5 Date + 5 OD, Ppr S/M/I QC OD W&I §781; years (or years (or Court Order) Court Order) When No Police / When No Preliminary drafts not retained in Records PD -069 Repossession Notices Longer Longer Mag, Ppr the ordinary course of business; Required Required 2 years GC §34090 Police / PD -070 Subpoenas (Personal 2 years Mag, Ppr GC §34090 Records Appearance or Duces Tecum) 2 years Police / PD -071 Subpoenas (Records) 2 years Mag, Ppr GC §34090 Records When No Police / Video Recordings - Parking When No Does not record "regular and Records PD -072 Lots, Public Areas Longer Longer Mag ongoing operations", GC Required Required 1, year §34090.6 Police / PD -073 Video Recordings - Police 1 year Mag Records "regular and ongoing Records Operations operations", GC §34090.6 Police / PD -074 Warrants (Recalled or Served)2 years 2'years Mag Department preference;; GC Records 34090 et seg. TEMPORARY HOLDING FACILITY Police / Jail PD -075 Doaily Inspection Log, Juvenile 2 years 2 years Mag, Ppr GC §34090 1 2 years Police / Jail PD -076 I Monthly Counts, Official Counts 2 years Mag, Ppr GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver.4.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -13 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City-WIde Standards Retentions begin when the act is completed, and imp1V a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Police / Jail PD -077 Video Recordings (Temporary 1 year 1year Mag GC §34090.6(a) Holding Facility) TRAINING Background File / Recruitment City preference; 29 CFR Police / File - Police Employees & Separation + Separation + 1602.31 & 1627.3(b)(ii), GC §§ Training PD -078 Police Volunteers 5 years 5 years Mag, Ppr 3105, 12946, 34090; 29 USC (SUCCESSFUL) 1113 Background File / Recruitment Department preference; 29 CFR Police / PD -079 File - Police Employees & 3 yeas 3'years Mag, Ppr 1602.31 & 1627.3(b)(ii), GC §§ Training Police Volunteers 3105, 12946, 34090; 29 USC (UNSUCCESSFUL) 1113 Police / Personnel Files - Police Separation + Separation + Before Mag, Mfr, Yes: After City preference; 29 CFR 1602.31 Training PD -080 Department Employees / 5 years 5 years Separation OD, Ppr S/M/I QC & OD & 1627.3(b)(ii), GC §§ 3105, Training Files (By Employee) When No 12946, 34090; 29 USC 1113 Police / Personnel Training Evaluations / When No Preliminary drafts not retained in Training PD -081 Daily Observation Reports Longer Longer Mag, Ppr the ordinary course of business; Required Required Separation + GC §34090 et seq. Police / Separation + Before City preference, 29 CFR 1602.31 Training PD -082 Training File 5 years 5 years Separation Mag, Ppr & 1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). ENGINEERING Public Works / Yes: After Department preference; GC Engineering PW -001 Address Assignments P P Mfr D, r, OO S QC & OD §34090 Ppr Public Works / Department Preference; GC Engineering PW -002 Aerial Maps (Analog /Historical) P P Mfr OD, S / I No §34090 P Ppr Public Works / PW -003 Benchmarks P Mag' Mfr, S/I Yes: After Department Preference; GC Engineering pOD, QC & OD §34090 Department preference; Capital Improvement Projects Some grant funding agencies (CIP): Administration File/ NOT require audits; Statute of Scanned 10 years or Completion + Limitations for Errors & After 10 years or Omissions is 10 years; Project Administration, Certified Funding After Funding Statute of Limitations: Public Works / PW -004 Payrolls, Community Outreach / y y Upon Agency Agency Yes: Until Mag, Ppr Contracts & Spec's=4 years, Engineering 9 g Notifications, Project Schedules, Completion p Audit, if Audit, if Completed P Wrongful Death=comp. + 5 Progress meetings, Punch Lists, Real required, required, years, Developers=comp. + Estate Appraisals, RFIs & Responses, whichever iswhichever is 10 years; Statewide Temporary Easements, Construction longer longer Manager's Logs, Daily Inspections, guidelines propose Daily Logs, etc. termination + 5 years; CCP 337 et. seg., GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department preference; Capital Improvement Projects 5 years or Completion + Some grant funding agencies (CIP): Maintenance Projects (All After 5 years or require audits; Statute of Records) Funding After Funding Limitations for Errors & Public Works / PW -005 Upon Agency Agency Yes: Until MagPpr ' P Omissions is not applicable; Engineering Examples of Maintenance Projects: Completion Audit, if Audit, if Completed Statute of Limitations: Painting, Pavement Overlays, Repairs, required, required, Contracts & Spec's=4 years; Ramps, Re -Roof, Sidewalk Repairs, whichever is whichever is Statewide guidelines propose Slurry Seals, etc. longer longer termination + 5 years; CCP 337 et. seg., GC §34090 Capital Improvement Projects (CIP): Permanent File/ Scanned Records Department preference; Specifications & Addenda, Agreement / retained for disaster Public Works / Contract (copy), Successful Proposal, Upon Yes: Until Mag, Yes:, preparedness purposes; Engineering PW -006 Change Orders, Geotechnical Studies Completion P P Completed Mfr, OD S/I Complet. Statewide guidelines propose & Reports, Operations & Maintenance Ppr + 10 years Permanent for Infrastructure Manuals (O&M Manuals,) Materials plans; GC §34090 Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies Submittals Surveys, etc. Completion'+ 10 years or Department preference; After 10 years or Some grant funding agencies Funding After Funding require audits; Statute of Public Works / Upon Agency Agency Yes: Until Limitations for Errors & Engineering PW -007 Construction Inspection Completion Audit, if Audit, if Completed Mag, Ppr Omissions is 10 years; required, required, Statute of Limitations: whichever is whichever is Contracts & Spec's=4 years; longer longer CCP §337 et. seq., GC 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -3 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Public Works / PW -008 Construction Inspection Database Indefinite Indefinite Yes Mag Data Fields / Records are Engineering interrelated; GC §34090 Correspondence - Regulatory Department preference; Public Works / Agencies Not Related to a CIP Minimum 2 Minimum 2 Yes: While Mag, Yes: After Some correspondence from Engineering PW -009 (State & Federal Agencies, EPA, years years Active Mfr, OD, S QC Regulatory Agencies need to Issues Ppr be retained for long periods Health Department, etc.) of time; GC §34090 Deeds, Easements, Liens, Rights Department preference; of Way Mag' Yes: After Finals are maintained by City City Clerk PW -010 P P Yes (all) Mfr, OD, S QC & OD Clerk; Department file may Send all originals to the City Clerk Ppr include correspondence; GC P §34090 et seg. Public Works / PW -011 Design & Construction Standards - P Mfr OD, S/I Yes: After Department Preference; GC Engineering Authored by the City QC & OD §34090 Ppr Drawings, Maps, Plans and Drafts should be destroyed; Record Drawings, Large -Format Mag, Some maps are also retained Public Works / PW -012 Drawings, Survey Record Maps, P P Yes (all) Mfr, OD, S No by Planning; Selected maps Engineering Capital Improvement Project "As- Ppr are retained in Public Works Built" for administrative purposes; GC §34090, 34090.7 Encroachment Permits / Excavation Permits: Temporary Public Works / (Street Permits, Temporary Final / Final 7 Yes: Until Engineering PW -013 Construction, Sidewalk Repairs, Completion + Completion + Completion Mag, Ppr GC § 34090 Traffic Control, Utility Cuts etc.) 2 years 2, years Includes Insurance Certificates Public Works / Encroachments - Permanent Mag, Yes: After Department Preference; GC Engineering PW -014 (Permanent structures in the City's P P Mfr, OD, S QC & OD §34090 Right of Way) Ppr TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Public Works / PW -015 Engineering Permits Database Indefinite Indefinite Yes Mag Data Fields / Records are Engineering interrelated; GC §34090 Public Works / Engineering Studies / Surveys - Mag, Yes: After Department Preference; GC Engineering PW -016 Preliminary Studies / Project P P Mfr, OD, S/I QC & OD §34090 Assessments Ppr Public Works / Geotechnical and Soil Reports; Mag, Yes: After Department Preference; GC Engineering PW -017 Hydrology Reports (Authored on P P Mfr, OD, S QC & OD §34090 behalf of the Cit Ppr Master Plans: Bikeway, Park, Mag, Department preference; Public Works / PW -018 Pavement, Sewer, Traffic, P P Mfr, OD, S Yes: After Drafts should be destroyed; Engineering Transportation, Water Master Plan, Ppr QC & OD GC §34090 etc. Permits (Temporary): Banner Public Works / Obstruction Permits, Dumpster Expiration + 2 Expiration + Yes: Until Engineering PW -019 Permits, Transportation Permits, years 2 years Completion Mag, Ppr GC § 34090 Heavy Load Permits, Wide Load Permits When No When No Preliminary drafts; GC Building PW -020 Plan Checks for Building Permits Longer Longer Mag, Ppr §34090 et seq. Required Required Private Land Development Projects / Job Files: Administration File Statute of Limitations for Errors & Omissions is 10 Construction Inspections, years; Statute of Limitations: Public Works / PW -021 Correspondence, Photos, Private Lab Upon 10 years Completion + Yes: Until Mag, Ppr Contracts & Spec's=4 years, Engineering Verifications, Testing Lab Final Completion 10 years Completed Wrongful Death=comp. + 5 Reports, etc. 110 years, Developers=comp. + years; CCP §337 et. seq., Examples: CUPS, Lot Line GC §34090 Adjustments, Parcel Maps, Precise Alionment. Specific Plans, Split Lots, TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -5 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Private Lanci Uevelopment Projects / Job Files: Permanent Files Drainage, Driveway, Rights of Way, Department preference; Public Works / Soil Reports, Stormwater, etc. Upon Yes: Until Mag' Yes: After retained for disaster Engineering PW -022 Completion P P Completed Mfr, OD, S/I QC & OD preparedness purposes; GC Dedications, Easements, Ppr §34090 Abandonments (City Clerk is OFR) Examples: CUPS, Lot Line Adjustments, Parcel Maps, Precise Ali nment Specific Plans Split Lots P Public Works / PW -023 Solid Waste Liens / Garbage Liens 10 years P Mag, Ppr GC §34090 et seq. Engineering & Releases 10 years Public Works / PW -024 Solid Waste Reduction / AB 939 10 years Mag, Ppr Department preference; GC Engineering Compliance / Tonnage Reports §34090 et seq. Required for a minimum of 5 Public Works / PW Stormwater Illicit Discharges 5 5 Mag' Mfr, OD, S / I Yes (after years; 40 CFR 122.41(j)(2); Engineering -025 years years 2 years) SWRCB Order 2006-03; 40 Ppr CFR §§122.21, 122.41, 122.44; GC §34090 Department Preference; Public Works / Stormwater Monitoring / NPDES Monitoring records required Engineering PW -026 Monitoring and Inspection 5 years 5 years Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seg. Required for a minimum of 5 Public Works / PW Stormwater: Business Inspections 5 5 Mag' Mfr, OD, S / I Yes: After years; 40 CFR 122.41(j)(2); Engineering -027 years years C'& OD SWRCB Order 2006-03; 40 Ppr CFR §§122.21, 122.41, 122.44; GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -6 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department preference; Public Works / PW -028 Stormwater: NPDES Annual 5 years 5 years Mfr, OD, S / I Yes: After Monitoring records required Engineering Reports Ppr QC for 3 years; 40 CFR §§122.21, 122.41, 122.44 Department Preference; Public Works / Expiration + 5 Expiration + Yes- Until Until Monitoring records required Engineering PW -029 Stormwater: NPDES Permits years 5 years Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seg. Stormwater: Operation & Department preference; plans Maintenance (Catch Basins, Field, Mag, must be updated every 5 Public Works / PW -030 General Cleaning, Open Channels, 5 years 5 years Mfr, OD, S / I Yes: After years, audits are required Engineering Slots, Stormwater Treatment Ppr QC & OD every 2 years; SWRCB Order Measures and Trash Cleaning) 2006-03; 4§§122.21, 122.41, 122.44; GC §34090 Department preference; plans Mag' must be updated every 5 Public Works / PW -031 Stormwater: TMDL Plan (Total 5 years 5 years Mfr, OD, S / I Yes: After years, audits are required Engineering Maximum Daily Load) Plan Ppr QC & OD every 2 years; SWRCB Order 2006-03; 4§§122.21, 122.41, 122.44; GC §34090 Department Preference; Public Works / Monitoring records required Engineering PW -032 Street Sweeping 5 years 5 years Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; 15 years CCP §337 et seg. Public Works / PW -033 Traffic Counts 15 years Mag Ppr Department preference; GC Engineering 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -7 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department preference Public Works / PW -034 Traffic Speed Surveys 15 years 15 years Mag Ppr (required every 5 years, but Engineering can be extended to 7 or 10 years); GC §34090 Department Preference Lead Dept. PW -035 Underground Service Alerts 3 years 3 years Mag, Ppr (required for 3 years); GC (USA's) §§4216.2(d) & 4216.3(d), 34090 FIELD SERVICES Aboveground CNG Storage Tanks Department Preference; (Agency Owned) applies to both Tier I and Tier Public Works / PW -036 20 years 20 years Mag, Ppr 11 Tanks; (Tier 11 tanks are Field Services Spill Prevention Control and required to have an integrity Countermeasures (SPCC), Inspections, test every 20 years); GC Integrity Testing, Maintenance, Repairs §60201 Public Works / PW -037 AQMD Permits (Generators, etc.) 5 years 5'years Mag, Ppr 40 CFR 70.6; GC §34090 Field Services 2 years Public Works / PW -038 Facility Inspections 2 years Mag, Ppr GC §34090 Field Services Department preference Public Works / PW -039 Fuel Inventories 5 years 5 years Mag, Ppr (meets municipal government Field Services auditing requirements); GC § 34090 Generator Operation Logs & Lead Dept. PW -040 Inspections - Fixed / Stationary 3 years 3 years Mag, Ppr AQMD Rule 1470; GC §34090 Generators Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. PW -041 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions; GC Emergency Generators §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -8 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department Preference (City Mag, has "cradle to grave" liability); Public Works / PW -042 Hazardous Waste Manifests / 5 years P P Mfr, OD, S Yes: After 40 CFR 262.40, 8 CCR Field Services Certificates of Disposal Ppr QC & OD 3204(d)(1)(A), 22 CCR Life of 66262.40 Lead Dept. PW -043 Operations & Maintenance Life of Facility Facility or Mag, Ppr Department Preference; GC Manuals (O&M Manuals) or Equipment Equipment When §34090 et. seq. Public Works / PW -044 Permits: Pressure Vessels, When MagPpr ' p Department preference; GC Field Services Boilers, etc. Superseded Superseded §34090 Pre -Trip Inspections / DOT Program/ CHP Inspections/ Lead Dept. PW -045 Vehicle Safety Checks / Daily 2 years 2 years Ppr GC §34090-,3 CCR 1234(3) Vehicle Inspections / Daily Equipment Checks Pre -Trip Inspections / DOT Program/ CHP Inspections/ Vehicle Safety Checks / Daily Public Works / PW -046 Vehicle Inspections / Daily 2 years 2 years Ppr GC §34090-,3 CCR 1234(3) Field Services Equipment Checks - OTHER THAN SENIOR VEHICLES FUNDED BY THE OCTA Pre -Trip Inspections / DOT Program/ CHP Inspections/ Life of the Life of the Vehicle Safety Checks / Daily Public Works / PW -047 Vehicle Inspections / Daily Vehicle - Vehicle - Ppr GC §34090-,3 CCR 1234(3) Field Services Equipment Checks -SENIOR Minimum 2 Minimum 2 VEHICLES FUNDED BY THE years years OCTA TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -9 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Transportation Audits: DMV & Consistent with CHP Public Works I PW -048 CHP, TDA Fiscal Audit, Triennial 5 years 5 years Mag, Ppr requirements; OSHA requires Field Services Performance Audit I 1 year; 8 Ca. Code Reg. § 3203(b)(1); GC § 34090 Division Data is interrelated; GC Providing PW -049 Tree Database I Tree Trimming Indefinite Indefinite Mag §34090 Service I Work Underground Service Alerts Required for 3 years; GC Lead Dept. PW -050 (USA's) 3 years 3 years Mag, Ppr §§4216.2(d) & 4216.3(d), 34090 Monitoring and Maintenance Underground Storage Tank records are required on site (City Owned) for 3 years, 6'/2 years for Public Works I cathodic protection Field Services PW -051 UST Monitoring, Inspections and 7 years 7 years Mag, Ppr maintenance, 5 years for Maintenance, Release Detection calibration & maintenance of Systems, Cathodic Protection release detection systems; 23 Maintenance Records CCR 2712(b); H&S Life of the §25284.2(i) Underground Storage Tanks - Life of the Public Works I PW -052 USTs (City Owned) Tank- Tank- Mag' Mfr, OD, S Yes: After 23 CCR 2712(b), H&S Field Services Minimum 2 Minimum 2 Ppr 1 year §25284.2(1) Repairs, Lining, Upgrades years years Underground Storage Tanks Department Preference (City -Owned) Mag, (required for the life of the Public Works I PW -053 10 years P P Mfr, OD, S Yes: After tank); 23 CCR 2712(b), H&S Field Services Location, Soil Remediation, Ppr 1 year §25284.2(1); GC §34090 et. Monitoring Well Records seq. Public Works f 22 CCR 66266.130(c)(5), Field Services PW -054 Used Oil Disposal 3 years 3 years Mag, Ppr H&S §25250.18(b), 125250.19(a)(3)et seg. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -10 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department Preference; If a motor carrier, required for 18 Vehicle & Equipment History Files, Disposal of Disposal of months after vehicle is sold; Public Works / Vehicle or Vehicle or CHP requires life of vehicle; Field Services PW -055 AQMD Certifications, Maintenance, Equipment + Equipment + Mag, Ppr OSHA requires 1 year; 8 Registrations, Safety Certifications, 2 years 2 years CCR § 3203(b)(1); 49 CFR etc. 396.21(b)(1); 49 CFR 396.3(c); CCP §337 et. Seq., GC §34090 Division Work Orders / Service Requests Data is interrelated; GC Providing PW -056 CMMS DATABASE (Computerized Indefinite Indefinite Mag §34090 Service / Work Maintenance Management Work Orders / Service Requests - Division All Information Entered in CMMS When No When No Preliminary drafts (the Providing PW -057 Database Longer Longer Mag Ppr database is the original); GC Service / Work Required Required §34090 (Paper drafts Work Orders / Service Requests - NOT entered in CMMS Database Division (or partial information entered into City Preference; CCP §§338 Providing PW -058 CMMS Database) 5 years 5 years Mag Ppr et seq., 340 et seq., 342, GC Service / Work §§945.6, GC §34090 (Division providing service retains originals; Division requesting service is considered a co WATER Public Works / PW -059 AQMD Permits (Generators, etc.) 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Water 5 years Public Works / PW -060 Basin Equity Assessment Report 5 years Mag, Ppr Department Preference; GC Water submitted to Basin Watermaster 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -11 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department preference; Capital Improvement Projects Some grant funding agencies (CIP) - Water: Administration require audits; Statute of File / NOT Scanned 10 years or Completion + Limitations for Errors & After 10 years or Omissions is 10 years; Project Administration, Certified Funding After Funding Statute of Limitations: Public Works / PW -061 Payrolls, Community Outreach / y y Upon Agency Agency Yes: Until Mag, Ppr Contracts & Spec's=4 years, Water Notifications, Project Schedules, Completion p Audit, if Audit, if Completed P Wrongful Death—comp. + 5 Progress meetings, Punch Lists, Real required, required, years, ars, Developers—comp. + Estate Appraisals, RFIs & Responses, whichever is whichever is 10 Statewide Temporary Easements, Construction longer longer Manager's Logs, Daily Inspections, guidelines propose Daily Logs, etc. termination + 5 years; CCP 337 et. seg.,GC §34090 Capital Improvement Projects (CIP) - Water: Permanent File / Scanned Records Specifications & Addenda, Agreement / Department preference; Contract (copy), Successful Proposal, Ma g' Yes: retained for disaster Public Works / PW -062 Chan e Orders, Environmental / EIR, g Upon P P Yes: Until Mfr, OD, S/I Complet. preparedness purposes - Water etc., Geotechnical Studies & Reports, Completion Completed Ppr + 10 ears y Statewide guidelines propose Operations & Maintenance Manuals Permanent for Infrastructure (O&M Manuals,) Materials Testing plans; GC §34090 Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies, Submittals Surve s etc. 2 years Public Works / PW -063 Confined Space Entries 2 years Ppr 8 CCR 5157(e)(6); GC §3409 Water Public Works / Conservation Program Grants & Mag, Yes: After Department preference - Water PW -064 Rebates (Toilets, etc.) 2 years 3 years 5 years Mfr, OD, S / I QC meets auditing standards; GC Ppr §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -12 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Public Works / PW -065 Construction Hydrant Meter 10 years 10 years Mag, Ppr Department Preference; GC Water Application & Approvals §34090 5 years is required in State Public Works / and Federal law for any Water PW -066 Cross Connection / Backflow 5 years 5 years Mag, Ppr complaints; 40 CFR 122.41(j)(2) & 40 CFR 141.33(b); 22 CCR 64470 5 years is required in State Public Works / Customer Concerns / Customer and Federal law for any Water PW -067 Complaints: Odor / Taste / Visual 5 years 5 years Mag, Ppr complaints; 40 CFR Complaints 122.41(j)(2) & 40 CFR 10 years 141.33(b); 22 CCR 64470 Public Works / PW -068 Department Reports 10 years Mag, Ppr Department Preference; GC Water P §34090 Public Works / PW -069 Encroachment Permits -Water P Mag, Ppr Department Preference; GC Water P §34090 Public Works / PW -070 Fire Flow (OCFA) P Mag, Ppr Department Preference; GC Water 10 years §34090 Public Works / PW -071 Fire Hydrant Flow/ Pressure Tests 10 years Mag, Ppr Department Preference; GC Water (Development or Maintenance) §34090 Generator Operation Logs & Lead Dept. PW -072 Inspections - Fixed / Stationary 3 years 3 years Mag, Ppr AQMD Rule 1470; GC §34090 Generators Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. PW -073 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions; GC Emergency Generators 5 years §34090 Public Works / PW -074 Groundwater Extraction (Reported 5 years Mag, Ppr Department Preference; GC Water to Count Water Basin Master 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -13 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department Preference; Public Works / NPDES Monitoring and Inspection Monitoring records required Water PW -075 - Water Operations 5 years 5 years Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seg. Department Preference; Public Works / NPDES Permits - Water Expiration + 5 Expiration + Yes: Until Monitoring records required Water PW -076 Operations years 5 years Expiration Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; Life of CCP §337 et seg. Public Works / PW -077 Operations & Maintenance Life of Facility Facility or Mag, Ppr Department Preference; GC Water Manuals (O&M Manuals) or Equipment Equipment When No §34090 et. seq. When No Regulatory Agency Compliance - Longer Longer Mag, Public Works / PW -078 Correspondence, Supporting Required - Required - Mfr, OD, S / I Yes: After Department Preference; GC Water Documentation (DPH, EPA, etc.) Minimum 5 Minimum 5 Ppr QC §34090 years years 5 years Public Works / PW -079 Requests for Meter Size Changes 5 years Mag, Ppr Department Preference; GC Water P §34090 Public Works / PW -080 Reservoirs / Tanks P Mag, Ppr Department Preference; GC Water Indefinite §34090 Public Works / PW -081 SCADA Database Indefinite Yes Mag Data Fields / Records are Water interrelated; GC §34090 Specifications From Tustin Water Public Works / PW -082 Works (TWW): Job Files P P Mag, Ppr Department Preference; GC Water (handwritten labor costs), Tract §34090 Files, Transfer Files Public Works / PW -083 State Approvals of System P P Mag, Ppr Department Preference; GC Water 34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -14 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Public Works / PW -084 Surveys of Water System 10 years 10 years Mfr OD, S / I Yes: After 22 CCR §64470; 40 CFR Water QC 141.33© Ppr Public Works / Tract History Files (Agreements, Department Preference; GC Water PW -085 Easements, Main Extension P P Mag, Ppr § 34090 Agreements) Public Works / Underground Service Alerts Mag' Yes: After Required for 3 years; GC Water PW -086 (USA's) 3 years 3 years Mfr, OD, S/i QC & OD §§4216.2(d) & 4216.3(d), Expiration + Ppr 34090 Public Works / PW -087 Variances /Exemptions Expiration + 5 Mag Ppr Department Preference; 40 Water years 5 years Correction + CFR 141.33(b)(3) Public Works / PW -088 Violations &Corrections Correction + Mag Ppr Department Preference; 40 Water 3 years 3 years CFR 141.33(b)(3) Public Works / Department Preference Water PW -089 Vulnerability Assessment Superseded Superseded Mag Ppr (highly confidential); GC 5 years §34090 Public Works / PW -090 Water Audits 5 years Mag, Ppr Department Preference; GC Water §34090 Mag' Liens are good for 10 years Public Works / PW -091 Water Liens 10 years 10 years Mfr, S / I Yes - After from recording date, and may Water pr QC & OD be extended by re-recording 5 years lien; WC 36729-137212(b) Public Works / PW -092 Water Main Break Reports 5 years Mag, Ppr Department Preference; GC Water 5 years §34090 Public Works / PW -093 Water Production Reports 5 years Mag, Ppr Department Preference; GC Water §34090 Water Quality - Lab Reports & Mag, Public Works / PW -094 Chains of Custody: 5 years 5 years Mfr, OD, S / I Yes -After 40 CFR 141.33(a) Water Bacteriological and Organics I Ppr QC & OD TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -15 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Water Quality - Lab Reports & Mag, Public Works / PW Chains Custody: Chemical 10 10 Mfr, OD, S / I Yes -After 40 CFR 141.33(a) Water -095 of years years QC & OD Includes Chlorine Residuals Ppr Water Quality - Lab Reports & Mag, Required for 12 years or 2 Public Works / PW -096 Chains of Custody: Lead & 12 years 12 years Mfr, OD, S / I Yes -After compliance cycles, 40 CFR Water Copper P Ppr QC & OD 141.91 Public Works / PW 097 Water Quality Reports /Annual P Mag' S Yes: After Department Preference; GC Mfrr,, Water Consumer Confidence Reports pOD, QC & OD §34090 Public Works / Water Rights Mag, Water & PW -098 P P Mfr, OD, S Yes: After Department Preference; GC City Clerk (Send final contracts and Ppr 10 years §34090 et seq. agreements to City Clerk) 10 years Public Works / PW -099 Water Usage Reports 10 years Mag, Ppr Department Preference; GC Water §34090 Public Works / Wells: History & Operations Mag, Yes: After Department Preference; GC PW -100 (Includes Abandoned or Destroyed P P Mfr, OD, S Water Wells) Ppr 10 years §34090 et seq. Work Orders / Service Requests Public Works / PW -101 CMMS DATABASE (Computerized Indefinite Indefinite Mag Data is interrelated; GC Water Maintenance Management §34090 System) Work Orders / Service Requests - All Information Entered in CMMS When No When No Preliminary drafts (the Public Works / Water PW -102 Database Longer Longer Mag Ppr database is the original); GC Required Required §34090 (Paper drafts TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: Ver. 3.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -16 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wlde Standards Retentions be in when the act is completed, and imp1V a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Work Orders I Service Requests - NOT entered in CMMS Database (or partial information entered into City Preference; CCP §§338 Public Works I PW -103 CMMS Database) 5 years 5 years Mag Ppr et seq., 340 et seq., 342, GC Water §§945.6, GC §34090 (Division providing service retains originals; Division requesting service is considered a co TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: