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HomeMy WebLinkAboutCC RES 17-51RESOLUTION 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on September 17, 2001, and the City Council finds that the retention schedule should be updated and Resolution 01-91 rescinded.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 Resolution Number 01-91 is hereby rescinded.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in Department or Division names, improvements in descriptions, changes in comments, deleting records series that are no longer applicable, and/or what is scanned.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. 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: Ale ERICA N. RABE, City Clerk Murra Clark Gomez,Bernstein,Puckett (5) (0) (0) (0) Resolution No. 17-51 Page 2 of 2 EXHIBITA RECORDS RETENTION SCHEDULE LEGEND 01995 — 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) L-ri - Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions applV app/V to the department that is NOT the Office of Record (OFR), or the "Lead Department". If Vou are the OFR refer to vour department retention schedule. Retentions be in when the act is completed, and impiv imp/va full file folder (e.q. last document + 2 ears since destruction is normally performed bV file folder. Litiiclation, claims complaints, auditspublic records act request andlor investi.c, ations sus end normal retention periods retention resumes after settlement or completion). Human Accident, Incident, Injury Copies - Copies - Resources Resources / PUBLIC & When No - When No Mag., Copies retained for reference; Risk CW -001 EMPLOYEES, with associated Longer Longer Ppr GC §34090.7 Management MSDS, if a chemical was Required Required involved Accounts Payable, Invoices, Petty Cash, Warrant Requests, Copies - Copies - All originals go to Finance Finance CW -002 etc_ When No When Na Yes: Before Mag, (these are copies); GC Longer Longer Payment Ppr §34090.7 ALL backup is forwarded to Required Required Finance Brown Act challenges must be filed within 30 or 90 days of Affidavits of Publications/ Mag, action; Statute of Limitations Lead Dept. CW -003 Public Hearing Notices / Legal 2 years 2 years Mfr, OD, on Municipal Government Advertising /Affidavits of Ppr actions is 3 - 6 months; CCP Posting §§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 MfrD, S Yes: After GC §34090.7 Reports: City Council Longer Longer P, O QC &OD Required Required Copies - Copies - Mag, Yes: Upon Ensure the City Clerk receives City Clerk CW -005 Agreements & Contracts ALL When No When No Mfr, OD, S Completio all original agreements; GC ORIGINALS Longer Longer Ppr n §34090.7 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 -2 Office of Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference 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 Vour department retention schedule. Retentions begin when the act is completed, and implv a full We folder (e.g. last document + 2 ears , since destruction is normal/erformed bv We folder. Litigation, claims, complaints, auditspublic records act requests, andlor investic 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 oryears; Statute of Limitations: ADMINISTRATIVE FILES After Completion +' 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, f,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 31.42-144 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' p 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 01995-2017 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 I Reference Record Destroy Image: Inactive Paper (OFR) Active Total Media 1=Import (Records Vital? after (in office) Center) Retention Options M=Mfr 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 be in when the act is completed and imply a full file folder e. .last document + 2 ears since destruction is normally Performed by file folder. Liti ation claims complaints, auditspublic records act requests, andlorinvesti-c, ations sus end normal retention periods retention resumes after settlement or completion). Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL The RFP / 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 - Copies - Audits / Audit Reports / CAFR - When No When No Mag, Finance CW -009 Comprehensive Annual Longer Longer Ppr Copies; GC §34090.7 Financial Reports 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, to the City Council; Pprpresented 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 01995-2017 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 / Reference Record Image: Destroy Inactive Paper ActiveInactive ' Total: Media 1=Import (OFR) 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 be in when the act is completed, and imply a fullfile folder (e..q. last document + 2 years), since destruction is normal!y performed by file folder. Liti ation claims complaints, auditspublic records act request andlor investi-c ations sus end normal retention eriods 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 Op' law only requires for 30 days; GC §54953.5(b) AUDIO RECORDINGS of Meetings /Audio Tapes Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Mag' 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: t_c J Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -5 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) Retention Vital? Options M=Mfr after Center) S=Scan Imaged & Center) C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department If ou are the OFR refer to our department retention schedule. Retentions be in when the act is completed, and imply a full file folder (e.q. last document + 2years),since destruction is normally performed by file folder. Liti ation claims complaints, audits public records act re uests and/orinvesti ations suspend normal retention periods retention resumes after settlement or completion). Copies - Copies - Human When No When No Mag' Resources / CW -018 Claims Longer Longer Yes: Before Mfr, OD, S/I Yes: After GC §§34090.7 Risk Required Required Settlement Ppr Settlement Management (Upon (Upon Settlement) Settlement) City preference; Statute of Limitations for personal Lead Complaints / Concerns from Minimum 2 Minimum 2 Mag, property, fraud, etc. is 3 years; (Responding) CW -019 Citizens years years Ppr Claims must be filed in 6 Dept. months; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, Send to GC §34090 Human Send to Mag' 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 / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr 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, auditspublic records act requests, andlorinvestic ations sus end normal retention periods retention resumes after settlement or com /etion . Electronic ana paper recor s are filed and retained based Correspondence - upon their CONTENT. TRANSITORY / 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 Y Receives the(e.g. calendars, checklists, e-mail Required Required Ppr printing them out and placing in City's Original or social media posting, flyers, a file folder, or saving them 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 I 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 C-Pliffirniq 9n17 TUSTIN, CA 01995-2017 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 / Disposition Comments / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged & QC'd? Retentions applv app/vto the department that is NOT the Office of Record OFR or the "Lead Department". if Vou are the OFR refer to your department retention schedule. Retentions begin when the act is completed, and implV a full file folder (e.g. last document + 2 ears since destruction is normaliV performed b4 file folder. Litigation, claims complaints, auditspublic records act request andforinvesti 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 / Trust Close + 5 Mag, Department preference; meets Lead Dept. CW -026 Accounts / 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 / Data / 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 years 34090 et seg. Lead Dept. CW -029 Grants (UNSUCCESSFUL �Applications, 2 years A2 Mag' GC §34090 Correspondence) Ppr TUSTIN, CA 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Active TotalMedia 1=Import Paper (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 De artment". If ou are the OFR refer to your department retention schedule. Retentions be in when the act is completed, and imply a full file folder (e..q. last document + 2 years), since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records act request and/or investhc 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 After Grants to Local Governments records ass required to the q p Funding After Funding is 3 years from expenditure fundingagency's audit, if Agency Agency Audit, report or final payment of Lead Dept. CW -030 required) q ) 2 years Audit, if if required - ` Mag, grantee or subgrantee; Applications (successful), grant Required - Minimum 5 Ppr statewide guidelines propose 4 agreement, program rules, Minimum 5 years years; 7 CFR 3016.42; 21 CFR regulations & procedures, reports years 1403.36 & 1403.42(b); 24 CFR to grant funding agencies, 85.42, 91.105(h), 92.505, correspondence, audit records, 570.490, & 570.502(a&b), 28 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; 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 / Reference Record Destroy Image: Inactive Active Total Media 1=Import Paper (OFR) (Records Vital? after (in office) 'Retention Options M=Mfr Center) S=Scan Imaged & QC'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. . last document + 2 ears since destruction is normally performed by file folder. Liti ation claims complaints, auditspublic records act requests, and/or investi 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 a record of the chemical / Material Safety Data Sheet substance/ agent, where & (MSDS) / Safety Data Sheet While Mag, when it was used is Lead Dept. CW -034 (SDS) Chemical Use Report Form (or records of the Chemical In 30 years 30 years Mfr, OD, S Yes - After 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 Ppr 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 Statute of Limitations on Notices: Public Hearing Mag, Municipal Government actions Staffing Dept. CW -038 Notices and Proofs of 2 years 2 years Ppr is 3 - 6 months; CCP§337 et Publications seq; GC §34090 TUSTIN, CA 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr 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 investic ations sus end normal retention periods retention resumes after settlement or completion). Copies - Copies - City Clerk CW -039 Ordinances -City Council When No When No Yes (all) Mag' Mfr, No D, S Originals maintained by City Longer Longer P O Clerk Permanently; GC §34090 Required Required Send to Send to Personnel Files (Department- Human Human Ensure records kept in 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 §34D90.7 Shred After Incorporation Incorporation Notes maintained in a separate Personnel Files (Supervisor's into into Before Mag, folderto be incorporated into Lead Dept. CW -041 Notes Performance Performance Annual Ppr p performance evaluation, or to Evaluation or Evaluation or Evaluation document progressive Documented Documente6l discipline; GC §34090 et seq. Discipline Discipline When No When No ag Preliminary Drafts; destroy Lead Dept. CW -042 Photographs Longer Langer Ppr' p unnecessary photographs. GC Required Required 5 years §§34090,6252,6254(a) Lead Dept. CW -043 Purchase Orders / Requisitions 2 years 3 years Mag, Mfr, OD, S Yes: After Department preference; GC Ppr QC &OD §34090 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 01995-2017 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: k'�.- Lj 9 ___.__.J t__ ..sem Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -11 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: InactivePaper Active Total Media 1=Import (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 be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normally performed by ale folder. Liti ation claims complaints, auditspublic records act requests, and/or investi 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 Mir>)mum 5 Yes: Before Mag, Yes: After completed; meets grant (Who Ordered CW -045 Purchased Property, Funded 2 years years years Purchase Mfr, OD, S QC &OD auditing requirements; 24 CFR the Appraisal) Loans Ppr 85.42 & 91.105(h), & 570.502(b); 29 CFR 97.42, GC Copies - 34090 Records Destruction Lists 1 Copies - City Clerk CW -046 Certificate of Records When No Longer When No Longer Mag, Ppr GC §34090.7 Destruction Required Required Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals, Newsletters, etc: When No When No CW -047 Produced by OUTSIDE Longer Longer 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: Ppr superseded + 2 or 5 years; GC Produced by YOUR years years §34090 Department Reference Materials: Policies, Procedures, Brochures, Flyers, When When Mag, Lead Dept. CW -049 Manuals, Newsletters, etc: Superseded Superseded Ppr Copies; GC §34090.7 Produced by OTHER Departments CW -050 Reference or Working Files: See Correspondence TUSTIN, CA 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr 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 be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normally performed by file folder. Liti ation claims complaints, audits public records act request and/or investigations 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 Mag' years; statewide guidelines Lead Dept. CW -052 than Historically significant 10 years 10 years Ppr 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 NoLonger Yes (all) Mfr, OD, S No Clerk Permanently; GC Longer Ppr §34090.7 Required Required Minimum 2 Lead Dept. CW -054 Special Projects / Subject Files Minimum 2 Mag, Department Preference; GC / Issue Files ears years'' Ppr 1§34090 et seq. Surveys / Questionnaires (that the City issues). If a summary of the data is ' Lead Dept. CW -055 compiled, the survey forms are 2 years 2 years Pp GC §34090 considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) TUSTIN, CA 01995-2017 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 / Reference Record Destroy Image: Inactive Paper Active Total Media 1=Import (OFR) {Records Vital? after (in office) Retention Options M=Mfr 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 be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normally performed by file folder. Liticlation, claims complaints, auditspublic records act request and/or investi.c ations suspend 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 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Active Inactive Total Media 1=Import Paper (OFR) (Records Vital? after (in office) Retention Options M=Mfr 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.. last document + 2 years). since destruction is normally performed by file folder. Litigation, claims complaints, audits public records act requests, and/brinvesti.c, ations suspend 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 Mag, Calif. Labor Division is required Lead Dept, CW -057 2 years 3 years 5 years Mfr, OD, S Yes: When to keep their OSHA records 7 (Attendance Rosters, Outlines Ppr Inactive years; EEOC/FLSA/ADEA and Materials; includes Ethics (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: kc.— __:J ems_._... Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -1 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 Cit -Wide Standards Retentions be in when the act is completed, and impiv a full file folder (e,q. last document + 2 ears since destruction is normal!v Derformed b file folder. Liti anon corn Dfaints, claims ublic records act re nests audits and/or investi ations sus end normal retention Detiods 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 S / I 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 / City Clerk CC -003 Committee Maddy Act Lists / 2 years 2 years Mag, Ppr GC §34090 Vacancy Notices Securities (Performance Bonds, Letters of Credit, CD's, etc.) are released after the Notice of Bonds (Performance Bonds, Release of Release of Completion is issued and City Clerk CC -004 Subdivision Bonds, Letters of Bond / Letter Bond) Letter Mag, Ppr replaced with the Warranty Credit) of Credit of Credit 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 S / I 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 / 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 -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 normal1v performed bV file folder. Liti ation com laints claims ublic 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 Pa ment Report) P ears 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 ears 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 ears 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 / 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 -Wide Standards Retentions be in when the act is completed, and implv a full file folder (e.a. last document + 2 ears since destruction is normal/v Performed bv file folder. Litiation com Dlaints, claims ublic 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 Paper must be retained for City Clerk CC -017 Series Forms & Form 501): 2 years P P Mag, Mfr, S Yes: After 2 at least 2 years; GC SUCCESSFUL CANDIDATES OD, Ppr years Elected Officials)§81009(b)&(g) Campaign Filings (FPPC 400 Paper must be retained for City Clerk CC -018 Series Forms & Form 501): 5 years 5 years Mag, Mfr, S Yes: After 2 at least 2 years; GC UNSUCCESSFUL OD, Ppr years §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 Paper must be retained for City Clerk CC -020 Series Forms): OTHER 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 Term of Term of successful candidates, 2 City Clerk CC -021 Papers, Candidate Statement Office + 4 Office + 4 Mag, Ppr years for unsuccessful; CA Forms, etc. - SUCCESSFUL law states term of office and CANDIDATES years years 4 years after the expiration of term and does not delineate between the two; EG 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 Record Retention No. Records Description Retention / Disposition Inactive Image: Destroy Comments / Reference (OFR) Active Total Vital? Media 1=Import Paper after (Records (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 -Wide Standards Retentions be in when the act is completed, and implv imp!a full file folder (e.g. last document + 2 ears since destruction is normal1v performed bV file folder. Liti ation com Dlaints, claims ublic records act rectuests, audits and/or investi ations sus end normal retention Detiods retention resumes after settlement or completion). Statewide guidelines proposes 4 years for Candidate File: Nomination successful candidates, 2 Papers, Candidate Statement Election + 4 Election + 4 years for unsuccessful; CA City Clerk CC -022 Forms, etc. - 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. 01995-2017 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 / 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 C'd? If the record is not listed here refer to the Retention for Cif -wde Standards Retentions be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation com taints claims ublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Not accessible to the public; The 8 month retention Results or lif Results or applies after election Elections - Petitions (Initiative, Final Final results, or final examination City Clerk CC -025 Recall or Referendum) Examination Examination Ppr if no election, unless there if No Election No Election is a legal or FPPC + 8 mo. + 8 mo. 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 Preliminary drafts not Municipal Code When No When No retained in the ordinary City Clerk CC -029 Administration, Distribution, Longer Longer Mag, Ppr course of business; GC etc. Required Required 34090 TUSTIN, CA. 01995-2017 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 I Reference Record Inactive Image: Destroy (OFR) Active Total Media 1=Import Paper after {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 -Wide Standards Retentions be in when the act is completed, and imvIv a full file folder (e.q. last document + 2 ears since destruction is normal/erformed bv file folder. Liti ation com olaints, claims ublic 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 City Clerk CC -031 Boards & Commission Office + 4 P P Mag, Mfr, S / I Yes: After Department Preference; GC Members years P OD, Ppr QC'd & OD §34090 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 1 2 years,2 years Mag, Mfr, S / I Yes: After GC §34090 Subpoenas (Records / Dunes 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 Oversight Committee are only required for 90 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 Sorting tps (Historically P Yes (all) 0 OD ' P fr No Department Preference; GC ifica S D40 7 TUSTIN, CA. 01995-2017 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 Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (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 -imide Standards Retentions be in when the act is completed, and imply a full fele folder (e.q. last document + 2 years), since destruction is normally perfonned by file folder. Liti ation, com taints, claimspublic records act requests, audits and/or investigations sus end normal retention pefiods 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 Grand Jury Reports and Department Preference (the City CM -002 Responses (Regarding City 5 years 5 years Mag, Ppr Grand Jury keeps their reports 5 Manager 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 va 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 01995-2017 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 )ffice of Retention No. Record (OFR) Community Develop. / Building Community Develop. / Community Develop. / Building Community Develop. / Building Community Develop. / Building Records Description I Retention / Disposition CD -002 jAddress Files / Building Permits Image: Destroy Inactive Paper Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged & S=Scan _ _.._ IN CD -003 I Building Permit Database I Indefinite CD -004 Building Plans - Cancelled or Withdrawn Building Plans - Finalled - INDUSTRIAL, COMMERCIAL, CD -005 MULTI -FAMILY DWELLINGS, PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS Building Plans - Finalled - SINGLE CD -006 FAMILY RESIDENTIAL - SFR and APPURTENANCES Upon Cancellation or Withdrawal 0 0 P Indefinite Yes (all) Mag, Mfr, OD, Ppr S Yes (all) Mag Upon Mag, Cancellation Mfr, OD, S or Withdrawal Ppr Mag, P Yes (all) Mfr, OD, S Ppr Mag, P Yes Mfr, OD, S Ppr Comments / Reference Uepartment preference; Yes: After Statewide guidelines propose QC & OD permanent; GC §34090, H&S §19850 Department Preference - Data is interrelated; GC §34090, H&S §19850 Department preference; Yes: After Preliminary drafts not retained in QC & OD the ordinary course of business; CBC §104.7; H&S§19850, GC 34090 Department Preference; Law requires for the life of the building for commercial and Yes: After common interest dwellings only; QC & OD Statewide guidelines propose 2 years for blueprints & specifications; CBC 104.7 & 107.5 H&S 19850 GC §34090 Department preference; Site Plans Only for dwellings less than 2 stories, garages & Yes: After appurtenances, farms/ranches, QC & OD 1 -story with bearing walls less than 25'; CBC requires 180 days from completion date; CBC 104.7 & 107.5, H&S§19850, GC 34090 TUSTIN, CA. 01995-2017 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 / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? if the record is not listed here refer to the Retention for Cit -tide Standards Retentions be in when the act is com leted and imply a full file folder (e.q. last document + 2 ears since destruction is normally Performed by file folder. Liti ation complaints, claimspublic records act requests, audits and/orinvesti ations sus end normal retention perriods 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 Expiration + Ppr Community Develop. / CD Certificate of Occupancy (CofO) - Expiration + 2 Yes (until Mag, Ppr Department Preference; GC -008 TEMPORARY years 2 years expired) §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 BuildingPpr Community Develop. / CD -010 Reports: Building Activity 2 years 2 years Mag, Ppr GC §34090 Building Minimum 2 Community Develop. / CD -013 Hardship Waivers Minimum 2 Yes: Until , MagPpr Department preference; GC Building years years Resolution §34090 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) P Ppr Community Develop. / CD -012 Uniform Building Codes / California P Mag, Ppr Department preference; GC Building Codes §50022.6 Buildin CODE ENFORCEMENT Community Develop. / Minimum Minimum Yes: Until Department preference; GC Code CD -013 Administrative Citation Hearings Resolution + Resolution + Resolution Mag, Ppr §34090 2 years 2 years Enforce-ment TUSTIN, CA. 01995-2017 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 Image: Destroy 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 City -Wide Standards Retentions be in when the act is completed, and implv a full file folder (e.q. last document + 2 ears since destruction is normaltv 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 Ma g' 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 Ppr QC & OD (some cases are not resolved); Enforce-ment MAJOR: STRUCTURAL I 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. / CD -015 Code Enforcement Database Indefinite Indefinite Yes Mag Data Fields / Records are Code interrelated; GC §34090 Enforce-ment PLANNING Community Alcohol Beverage Control License When No When No Develop. / CD -016 Longer Longer Mag, Ppr (Non -Records) PlanningApplications (ABC Applications) Required Required Community Annexations / Boundaries / Mag, Yes: After Develop. / CD -017 Consolidations 1 LAFCO 5 years P P Mfr, OD, S / I QC & OD Land Records; GC §34090 Planning Ppr TUSTIN, CA. 01995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: t, J _J �L _ Ver. 4.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -4 Office of Retention No. Records Description Retention I Disposition Comments / Reference Record Image: Destroy Inactive Paper Active Total Media [=Import (OFR) (Records Vital? after (in office) 'Retention Options M=Mfr Center) S=Scan Imaged & QC'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions begin when the act is com /eted, and implv a full file folder (e.q. last document + 2 ears since destruction is normallV performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/orinvesti ations suspend normal retention eriods 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; Community Environmental Impact Reports Mag, Final environmental (EIRs), Negative Declarations, P P' Mfr, OD, S Yes: After determinations are required to Develop. / GD -019 etc.) 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 Develop. / CD -020 (EIRs), Negative Declarations, Longer Longer Ppr Declarations within the City etc.) Boundaries are with the project Planning Required Regtaretl file Outside City boundaries Community General Plan, Elements and Mag' Yes: After City Clerk Maintains all Agenda GC Develop. / CD -021 Amendments P P' Mfr, OD, S / I QC & OD Packets Permanently; Planning P' Ppr 1 §34090.7 Community Develop. / CD -022 Historic Preservation Survey, P Mag, Mfr, OD, S / I Yes: After Department Preference; GC Planning Evaluations and Designations P Ppr QC & OD §34090 Community Develop. / CD -023 Master Plans, Specific Plans, Land P Mag' Mfr, OD, S / I Yes: After Department Preference; GC PlanningPpr Use Plans, etc. When No QC & OD §34090 Community When No Preliminary drafts not retained in Develop. l CD -024 Materials Boards Longer Longer Mag, Ppr the ordinary course of business; Planning Required RequiredLGCC Minimum 2 §34090 Community Develop. / CD -025 Special Event Permits / Film Minimum 2 Mag, Ppr §34090 PlanningInterim Use Permits years years TUSTIN, CA. 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media 1=Import (OFR) (Records Retention Vital? Options M=Mfr after {in office) Center) S=Scan Imaged & 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 impiv imp/va full file folder (e.a. last document + 2 ears since destruction is normal/v Performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or invesfi ations sus end normal retention enods retention resumes after settlement or completion). Planning Commission Community Develop. / CD P Mag, : YesAfter Department preference; Original -026 AGENDAS &AGENDA P Mfr, OD, S / I QC& OD Staff Reports are filed in the Planning PACKETS Ppr project file; GC §34090 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 /Audio Tapes GC §54953.5(b) 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 Ppr GC §34090.7 RESOLUTIONS Required Required CommunityPlanning Project Log of Department Preference - Data is Develop. / CD -030 Alications pp, 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 to be kept a Planning Plans & Maps) Ppr QC & OD "reasonable period of time"; 14 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. 01995-2017 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 / Reference Record Destroy Image: ActiveInactive Paper Total Media 1=Import (OFR) (Records Vital? after (in office) 'Retention Options M=Mfr Center) S=Scan Imaged & SC'd'7 If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and implv a full tele folder (e.q. last document + 2 ears since destruction is normal/v Performed bv file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations sus end normal retention mods 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 PlanningP Minimum 2 r Community Minimum 2 , Mag S Yes: After Department Preference;. GC Develop. / CD -034 Special Studies years years Mfr, OD, QC & OD §34090 Planning P r Temporary Entitlements / Community Temporary Permits (Approved & ' Yes: Mag, Develop. / CD -035 Unapproved): Minimum 2 Minimum 2 During Mfr, OD, S Yes: After Department preference; Planning years years Event ppr QC & OD GC§§34090 Christmas Tree Lots, Pumpkin Lots Banner Permits etc. P City Clerk CD -037 Zoning Maps (Historically P Yes (all} Mfr, r, O S No Department Preference; GC Significant) P' Ppr §34090.7 Community Develop. / CD -038 Zoning Ordinance Amendments, P Yes Mag' Mfr, OD, S / I Yes: After Department Preference /Zone Change P 1 year (copies); GC §34090.7 PlanningReclassifications r TUSTIN, CA. 01995-2017 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 Image: Destroy Inactive 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 City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),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 1 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. P Historical Purposes; GC §34090 Economic ED -003 Redevelopment Plans 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 Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (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 be in when the act is completed, and imply a full file folder (e. -Q. last document + 2 years), since destruction is normal!y performed by file folder. Liti ation com laints claims public records act requests, audits and/orinvesti ations sus end normal retention periods retention resumes after settlement or completion). HUD requires 5 years after the After the 5 years after project completion; documents Housing Programs: Affordable Affordability the imposing recapture / resale Housing Projects, Rehabilitation, Period Affordability restrictions are 5 years after the CDBG-funded Housing Projects, Terminates, Period affordability period terminates; Economic etc. or the Terminates, Mag, Mfr, Yes: When Uniform Admin. Requirements Develop. / ED -006 5 years Written rtte OD, Ppr S / I Inactive for Grants to Local Governments Housing WITH aRecapture /Resale Agreemenf. Written is 3 years from expenditure Restriction Terminates, Agreement' report; statewide guidelines Whichever is Terminates, Whichever is propose 4 years; 24 CFR 85.42, Deeds are sent to City Clerk Langer 92.508(a)&(c) & 570.502(a)(16), Longer 29 CFR 97.42, GC §34090 Housing Programs: Affordable HUD requires 5 years after the Housing Projects, Rehabilitation, agreement terminates; CDBG-funded Housing Projects, Consistent with Consolidated Economic etc. Loan Pay-off Loan Pay -o Plan Requirements; Required for Develop. / ED -007 WITHOUT a Recapture/ Resale OR Forgiveness OR Forgiveness' Mag, Mfr, OD, Ppr S / I Yes: After QC & OD 3-4 years from expenditure or Housing performance report; 24 CFR Restriction + 5 years +'.5 years' 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 FINA Office of Record Retention No. Records Description Retention / Disposition Image: Destroy Inactive 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 -Wide Standards Retentions begin when the act is completed, and implv a full file folder (e.g. last document + 2 ears since destruction is normal1v performed bV Ille 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 /(longer FIN -001 1099's / 1096's 2 years 3 years 5 years Mag, Ppr 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 Finance / Yes: Until MagMfr Yes: After Department Preference (meets Accounting FIN -002 (Includes Invoices, Travel 2 years 3 years 5 years paid , , IOD, Ppr S / I QC & OD municipal government auditing Expense Reimbursements, standards); GC §34090 Check Reguest, 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 MaP g, pr 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) Meetings /Audio Tapes Copies - Audit Commission 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 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: Ver. 3.0 L_ -j RECORDS RETENTION SCHEDULE: FINANCE Page FIN -2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media [=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wjde Standards Retentions begin when the act is completed, and implV 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 peidiods 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 Meetings /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 / Accounting FIN -009 Audit Work Papers 2 years 3 years 5'years Mag, Ppr standards); Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 ears; 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, rlbtes or Certificates of Participations Fully y Full 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 01995-2017 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 f Disposition Inactive Image: Destroy Comments / Reference (OFR} Active Total Media 1=Import Paper after (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 -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e..q. last document + 2 ears since destruction is normal!y performed by file folder.. Liti ation, com laints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Finance / FIN -012 Budgets - Adopted / Final P P Yes: Current Mag, Mfr, S / I Yes: After 90 Department preference; GC Accounting When No Fiscal Year OD, Ppr days §34090 et seq. Finance / Budgets - Preliminary, Proposed, When Na 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 / I government agencies escheats Accounting FIN -014 uncashed checks) 5 years 6y ears 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 01995-2017 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 / Reference Record Image: Destroy (OFR) Inactive Active (Records Total Vital? Media 1=Import Paper after (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 -tide Standards Retentions be in when the act is completed, and impIv a full file folder (e.q. last document + 2 ears since destruction is normaltv performed bV file folder. Litt ation com laints claims public records act requests, audits and/orinvesti ations sus end normal retention periods retention resumes after settlement or completion). Department Preference; Meets auditing standards; Published Investments / Arbitrage 1 articles show disposal + 7 years Finance / Certificate of Deposit/ Investment Yes: Until for security brokerage slips; Accounting FIN -018 Bonds (Receipts / Advisor 5 years 5 years Paid Mag, Ppr statewide guidelines propose Reports /Trade Tickets ! LAIF permanent; FTC Rrely on (Local Agency Investment Fund)) self -enforcement";; GC§§ 34090, 43900 Department Preference; meets municipal government auditing Finance / FIN -019 Journal Entries i Journal 2 years 3 years 5years Mag, Mfr, S / ► 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 5years Mag, Ppr auditing standards; GC §34090 Accounting Rolls (to Tax Assessor for Tax et seq. Rolls) Reports, Subsidiary Ledgers, Department preference (The Reconciliations, Registers, When No When No Financial System Database is Finance / FIN -020 Transaction HistoriesBalance , Longer Longer Mag, Ppr the original; reports are Accounting Sheets, Revenue & Expenditure Required Required considered drafts or copies); GC Reports, etc. (MONTHLY OR §34090 PERIODIC Reports: Annual State or Federal: State Controller's Finance / FIN -021 Report, Local Government 2 years 3 years years Mag, Mfr, S / I Yes: After Department Preference; Meets Accounting Compensation Report, Gas Tax, .5 OD, Ppr QC & OD auditing standards; GC §34090 MOE (Maintenance of Effort) Report, 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 Inactive Image: Destroy Comments / Reference (OFR) Active (Records Total Vital? Media 1=lmport Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not fisted here refer to the Retention for Cit -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, com taints claims public records act requests, audits and/or investigations sus end normal retention eriods 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 Preferr- ence (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 - License, Miscellaneous - Damage to Mag, Mfr, Yes: After Department preference; Meets Utility FIN -025 Public Property, Invoices to 2 Years 3 years 5 years OD, Ppr S / I QC & OD auditing standards; GC §34090 Billing & Outside Entities, etc. et seq. Revenue Finance / Business License, Accounts Receivable - Utility Mag, Mfr, Yes: After Department preference; Meets FIN -026 2 years 3 years 5 years S / I 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: J k_ I _� Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -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 Cit -Wide Standards Retentions be in when the act is completed, and imp/V imp/Va full file folder (e.q- last document + 2 ears since destruction is normaltv performed bV file folder. Liti ation com laints claims public records act requests, audits andlor investi ations sus end normal retention pedo s retention resumes after settlement or completion). Finance / 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 When No When No Business License & Permit Finance / FIN -029 Billing Registers, Payment Longer Longer Mag, Ppr Database is the original; reports Accounting Registers, Adjustment Registers Required Required, are considered drafts or copies); GC §34090 Finance / Business License, FIN -030 Business License & Permit Indefinite Indefinite Yes Mag Data Fields / Records are Utility Database interrelated; GC §34090 Billing & Revenue Finance / 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 / Business License, When No When No Department preference Utility FIN -032 Business License Renewals Longer Longer Mag, Ppr (Preliminary drafts); GC §34090 Required Required 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 Inactive Image: Destroy Comments / Reference (OFR) Active Total Media 1=Import Paper after (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan 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 ears , since destruction is normal/V performed bV file folder. Liti ation complaints, claimspublic records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or com letion . Finance / Business License, Cash Receipts / Daily Cash Mag, Mfr, Yes: After Department preference; Meets Utility FIN -033 Summaries / Cashiers Reports / 1 year 4 years 5 years P OD, pr S / I QC & OD auditing standards; GC §34090 Billing & Cash Reports / Petty Cash et seq. 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 Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy (OFR) Inactive Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and implv a full file folder (e.g. last document + 2 ears since destruction is normalIV performed bV file folder. Litigation, com laints claims public records act requests, audits and/or investigations sus end normal retention petiods 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 1 Business License, Utility Adjustment Slips / Meter Mag, Mfr, Yes: After Department preference; Meets Utility FIN -039 Mis-reads, Credits / Debits to 2 years 3 years 5 years OD, Ppr S / I QC & OD auditing standards; GC §34090 Accounts et seq. Billing & Revenue Finance / Business License, Utility FIN -040 Utility Billing Database Indefinite Indefinite Yes Mag Data Fields / Records are 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 Pa roll y 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), 3 years; Articles show 7 Payroll FIN -043 PERS / FICA & Medicare 2 years 3 years 5 years Mag, Ppr year 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. TUSTI N, CA 01995-2017 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 Record Retention No. Records Description Retention / Disposition Inactive Image: Destroy Comments / Reference (OFR) Active (Records Total Vital? Media [=Import Paper after (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 -Wide Standards Retentions be in when the act is completed, and imp/V imp/Va full file folder (e.q. last document + 2 ears , since destruction is normaltV perforn7ed bV file folder. Litigation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention pedo s 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 dater. 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 Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (RecordVital? (in office) Retention Retention Options M=Mfr Imaged & Center) 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 ears since destruction is normal/v performed bv file folder. Litigation, com laints claims public records act requests, audits and/or investigations sus end normal retention petiods retention resumes after settlement or completion). Department Preference; IRS: 4 yrs after tax is due or paid; Ca. FTB: 3 years-, Articles show 7 Finance / FIN -049 W -2's 2 years 3 years 5'years Mag, Ppr years; IRS Reg §31.6001- Payroll 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 / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper (OFR) after (Records Vital? (in office) Center) Retention Options M=Mfr Imaged & S=Scan if the record is not listed here refer to the Retention for City -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normally Performed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention petiods retention resumes after settlement or completion). HUMAN RESOURCES EEOC / 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 / 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 HR -003 Compensation Surveys & Minimum 3 Minimum 3 MagPpr ' p records; Wage rate tables are Resources Studies years years 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 Department of Fair Final Final disposition of formal Human HR -004 Employment & Housing (DFEH Disposition + Disposition + Mag, Ppr complaint; State requires 2 Resources 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 / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (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 -Wide Standards Retentions begin when the act is completed. and imp1V a full file folder (e.q. last document + 2 ears since destruction is normal!v performed bv file folder. Liticlation, complaints, claims ublic 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. P 49 CFR 653.71 Human HR -007 Employee History Cards P MagPpr 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 "any Resources 3 years 3 years 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. 01995-2017 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 / Reference Record Inactive Image: Destroy (OFR) Active Total Media 1=Import Paper after (Records Vital? (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 be in when the act is completed, and imply a full file folder (e - .q. last document + 2 ears since destruction is normally performed by file folder. Liti ation com olaints, claims ublic 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; 29 USC 1113 Labor Relations Files Human HR -010 (Negotiation Notes, 5 years Minimum 5 Minimum 10 11 Mag, Mfr, S / l 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 Resources HR -011 Contracted Course Instructors Separation or, Separation o I Mag, Ppr City Records); GC §34090 or Custodial Staff I Inactive Inactive TUSTIN, CA. 01995-2017 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 / 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? /f the record is not listed here refer to the Retention for Cit -Wide Standards Retentions be in when the act is completed, and impIv a full file folder (e.q. last document + 2 ears since destruction is normallvperformed b fl/e folder. Liti ation complaints, claims ublic records act requests, audits and/orinvesti ations sus end normal retention petiods retention resumes after settlement or completion). Department Preference; Personnel Files - Employee statute of limitations for retirement benefits is 6 years File from last action; EEOC/FLSAIADEA (Age) Human HR -012 Includes Application, Evaluations, Policies, Oaths of Separation + Separation + Ma Ppr Mag, requires 3 years for Resources 6 years 6 years 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 yearsor r 30 years, or maintained separately; Termination Yes: After Claims can be made for 30 Human HR -013 Pre-employment Medical Separation + of Benefits, Termination Yes: Until Mag, Mfr, S Separation + years for toxic substance Resources Clearances, ADA 6 years whichever is of Benefits, Separation OD, Ppr 1 year exposure; 8 CCR §3204(d)(1) Accommodations, Respirator longer whichever is'' 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) Applications for Unsuccessful Hiring Hiring requires 1-3 years; State Law Human HR -014 Candidates, Interview Notes, Decision + 3 Decision + 3 Mag, Ppr requires 2 - 3 years; 29 CFR Resources 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. When No Studies & Surveys Conducted When No Preliminary drafts not Human HR -015 on Behalf of the City (Sick Longer Longer Mag, Ppr retained in the ordinary Resources Leave Attrition Benefits etc.) I Regi iired Required course of business; "6C TUSTIN, CA. 01995-2017 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 / 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 -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 ublic records act requests, audits and/orinvesti ations sus end normal retention penods retention resumes after settlement or completion). Human HR -016 Workers Compensation Claim 5 years 5 years Mag Ppr Meets auditing standards; GC Resources Runs / MonthlyReports 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 Mag, Mfr, S/1 Yes: After Department Preference; GC policies)P 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 / 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 be in when the act is completed, and imply a full file folder (e..q. last document + 2 years). since destruction is normallv Performed b file folder. Liticiation, complaints, claims ublic records act requests, audits andlor investi ations sus end normal retention Detiods retention resumes after settlement or completion). Calif. Labor Division is required to keep their records OSHA Logs - 200, 300, 301, Mag, Mfr, Yes: After 7 years; OSHA requires 5 Risk Manag. HR -022 301A, OSHA Inspections, 5 years '5 years OD, Ppr S 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Inactive Comments I Reference (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here refer to the Retention for Cif -Wide Standards Retentions begin when the act is completed, and imply a full tile folder (e.g. last document + 2 ears since destruction is normally performed by file folder. Litigation, com faints, claims, public records act requests, audits and/or investi afions 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 seg. 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 / DVD -r / CD -r / 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 1 Reference Record Image: Destroy 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 City -Wide Standards Retentions be in when the act is completed, and implv imp!a full file folder (e.q. last document + 2 ears since destruction is normal!v Performed b tele folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention petiods 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 2i §34090 Sports, Seniors, Filming, Theatre Programs etc. years years Minimum 2 Parks & Community Services Commission Minimum 2 Department preference; GC Recreation P&R-003 years years Mag, Ppr §34090 AGENDAS, AGENDA PACKETS. Community Services Commission Department preference; State Parks & P&R-004 2 years 2 years Mag, OD law only requires for 30 days; Recreation AUDIO RECORDINGS of Meetings GC §54953.5(b) /Audio Tapes Copies. - Cop Community Services Commission Cop - 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 Department Preference Parks & Evaluations / Surveys (Program When No When No (Transitory record not retained Recreation P&R-006 Evaluations) Longer Longer Mag, Ppr in the ordinary course of Required Required Expiration +, business); GC §34090 Parks & P&R-007 Facility Use Permits / Field Use Expiration + 2 Yes: Before Mag, Ppr GC §34090 Recreation Permits years 2 years 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 Mag, Ppr GC §34090 Recreation Distributions TUSTIN, CA. 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media [=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 imp/v imp/va full file folder (e.q. last document + 2 ears since destruction is normallvperformed b file folder. Liti ation complaints, claims ublic records act requests, audits andlor investi ations sus end normal retention pedods retention resumes after settlement or completion). Parks & P&R-010 Master Plans: Parks Master Plans, P P'' Mag' Mfr, OD, S / I Yes: After Department Preference; GC Recreation etc. 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 Recreation P&R-014 Scholarship Applications 5 years 5 years Mag, Ppr municipal government auditing P standards); GC §34090 Parks & P&R-015 Season Brochures / Recreation 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 Indefinite Parks & P&R-018 Transportation Dispatch System / Indefinite Mag, Ppr Department preference; GC §§ Recreation Dial -a -Ride Database When No 34090 & 26202 Parks & When No Department Preference; GC § Recreation P&R-019 Transportation Schedules Longer Longer Mag, Ppr 34090 Required Required TUSTIN, CA. 01995-2017 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 / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? If the record is not listed here refer to the Retention for Cif -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normal!y performed by file folder. Liti ation complaints, claimspublic records act requests, audits and/or investi afions 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) Applications & Agreements Inactive / Inactive / Mag, Yes: 1 requires 3 years for promotion, Parks & 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. 01995-2017 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 Retention No. Records Description Retention / Disposition Comments f Reference Record Image: Destroy Inactive Active TotalLMedia 1=Import Paper after (OFR) (in office) (Records RetentionOptions M=Mfr Imaged & Center) S=Scan QC'd? If the record is not fisted here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imp/v imp/va full file folder (e.g. last document + 2 ears since destruction is normal/V 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) - 2 years 2 years Mag, Ppr §34090 et seq. Admin. APPROVED 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 When Police / Superseded, Superseded, Department preference (Not City Chief / PD -003 DMV Pull Notices (Police Only) or Upon or Upon Mag, Ppr Records); GC §34090 Admin. 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 (CAD/RMS) Recordings of guidelines propose 180 days Police / PD -006 Telephone & Radio 1 year 1 year Mag (legally mandated for 100 days); Commun. 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 Inactive Image: Destroy Comments / Reference (OFR) Active Total Media [=Import Paper after (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 -Wide Standards Retentions be in when the act is completed, and implv a full file folder (e.q. last document + 2 ears since destruction is normaltv performed bv file folder. Liti anon complaints, claims, public records act requests, audifs and/or investi ations sus end normal retention petiods retention resumes after settlement or completion). Informant information; oes 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 cast6file stored 2 years Expiration + in Records; GC §34090 et seq. Police / Detectives PD -010 Narcotics Buy Fund Logs 2 years Mag GC §34090 et seq. 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. 01995-2017 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 Image: Destroy Inactive Comments I Reference (OFR) Active (Records Total Media 1=Import Paper after 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 be in when the act is completed, and implv a full file folder (e.q. last document + 2 ears since destruction is normal!v performed bV file folder. Liti ation complaints, claims, public records act requests, audits and/or investiations sus end norma/ retention pedods 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 3 years 3 years §32003(e), PC §597.1(d); GC §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. Month) 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 seg. 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 Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Retention Vital? Options M=Mfr Imaged & (in office) Center) S=Scan QC'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,a. last document + 2 ears since destruction is normaltv performed bv file folder. Liti ation, complaints, claims public records act requests, audits and/or investi ations sus end normal retention pettiods 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 04090 et sea. 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 for Citizen's complaints; other Internal Affairs Investigations - State & Federal laws require Individual Officers / Complaints retention until final disposition of Police / Against Officers Final Final formal complaint; State requires PSU PD -023 Disposition + Disposition + Mag, Ppr 2 years after action is taken; (May include criminal acts, moral 5 years 5 years 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 ears years 2 years §34090 et seg. 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 seg. Police / PD -028 Use of Force Review Incident + 5 Mag, Ppr Department preference; GC PSU ears ears §§12946,34090 TUSTIN, CA. 01995-2017 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 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 implv a full file folder (e.g. last document + 2 ears since destruction is normal/V 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 Evidenc OD, Ppr year §34090 Evidence Police / Property & PD -030 Forfeiture Notification 2 years 2 years Mag, Ppr GC §34090 Evidence Minimum 2 Police / Property & PD -031 Gun and Narcotics Destruction Minimum 2 Mag, Ppr Department Preference; GC Evidence Log (Documents related to) years years §34090 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. 01995-2017 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 be in when the act is completed, and implv a full file folder (e.q. last document + 2 ears since destruction is normefiv Performed bv file folder. Litigation, com laints, claimspublic records act requests, audits and/or investi ations sus end normal retention penods 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 Police / Factually Innocent Petition Date of Date of Yes: Before Mag, Mfr Yes: After 3 Attorney; Sheriff concurs that Records PD -037 Accepted Records Sealed Arrest + 3 Arrest + 3 Disposition , OD, pr P SIM/I years person is factually innocent, then Pending Destruction - Except years 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. 01995-2017 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 Inactive Image: Destroy (OFR) Active Total Media [Arnport Paper after (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 be in when the act is completed, and impIv a full file folder (e.q- last document + 2 ears since destruction is normal/V performed bV file folder. Liti ation, com Taints, claims, public records act requests, audits and/or investiations sus end normal retention eriods 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 FeloniesI S Serious Felonies /Sex Crimes / P P Yes Mag, Mfr, S/M/I Yes: After 3 limitations on commencement of Records Child Abuse / /Felony OD, Ppr years action; Courts keep permanently 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 Date of CRIME REPORTS / INCIDENT 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 §1.1361.5; 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. 01995-2017 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 Inactive Image: Destroy Active Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 be in when the act is completed, and implv a full file folder (e - q. last document + 2 ears since destruction is normaltv Performed bv We folder. Litt ation, complaints, claims public records act requests, audits and/or investi ations sus end normal retention enods retention resumes atter settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Conviction Conviction " Police / Misdemeanor or Infraction - or Arrest (if or 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 `Shall" PD -043 18 Years 18' Yes S/M/I destroy); H&S§ 11361.5 Records Marijuana §11357(e) - Juvenile Old Old Old OD, Ppr years 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 ears- TUSTIN, CA. 01995-2017 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 Inactive Image: Destroy Comments / Reference (OFR) Active (Records Total Media 1=Import Paper after Vital? Retention Options M=Mfr Imaged & (in office) Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in when the act is completed, and imolv a full file folder (e.q. last document + 2 ears since destruction is normaltv Performed bv file folder. Liti ation, complaints, claimspublic records act requests, audits and/orinvesti ations sus end normal retention petiods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Sealed Adult, Juvenile and Sealing Date Sealed records forjuveniles andSealing Police / Ward Cases - Except those with + 5 years Date Yes: Before Mag, Mfr, 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; outstanding stolen property, W&I §§389(a), 781(d) including firearms, or lost firearms Police ! Crime Statistics / Uniform Crime Filed on line with the State; GC Records PD -046 Reports (UCR) - Summaries 2 years 2 years Mag, Ppr §34090 C 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 ears 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 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 City -Wide Standards Retentions be in when the act is completed, and implv a full file folder (e.q. last document + 2 ears since destruction is normaltv perforined bv file folder. Liti ation, com laints, claims, public records act requests, audits and/or investi ations sus end normal retention pedods retention resumes after settlement or com lefion . Tustin Police Department Police / Officer Recordings: Body -Worn Until Until General Orders §446.12; PC§ Records PD -053 Cameras &MAV (Mobile Audio Manually Manually Mag 832.18(b)(5)(A); GC §34090.6 et Videos - 1 - Uncategorized Deleted Deleted seq. Tustin Police Department General Orders §446.12; Police / Officer Recordings: Body -Worn Department preference (only 60 Records PD -054 Cameras &MAV (Mobile Audio 1 year 1;year Mag days is required); PC§ Videos - 2 -Non-Evidence 832.18(b)(5)(A); GC §34090.6 et 2;,years seg. 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 Tustin Police Department Police / Officer Recordings: Body -Worn General Orders §446.12; PC§ Records PD -056 Cameras & MAV (Mobile Audio 5 years 5 years Mag 832.18(b)(5)(B)&(C); GC Videos - 4 -Use of Force §34090.6 et seg. Officer Recordings: Body -Worn Tustin Police Department Police / Cameras & MAV (Mobile Audio General Orders §446.12; PC§ Records PD -057 Videos - 5 - Formal or Informal 5 years 5 years Mag 832.18(b)(5)(B)&(C); GC Complaint Against Employee §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 Inactive Image: Destroy Comments / Reference (OFR) Active (Records Total Vital? Media 1=Import Paper after (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 be in when the act is completed, and imDlv a full file folder (e.q. last document + 2 ears since destruction is normal!v Performed bv file folder Liti ation, complaints, claims public records act requests, audits and/or investi ations sus end normal retention petiods 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 Indefinite retain for 2 years; GC §34090 Police / PD -062 Police RMS Database 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/MJI 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 Registrants: Arson - Juveniles Age 25 or Age 25 or. released from CYA, records are Police / PD -065 released from California Youth Sealing Date Sealing Date Mag, Mfr S/M/l Yes: After destroyed after age 25 or sealing Records Authority + 5 years + 5 years OD, Ppr, QC & OD pursuant to W&I §781; GC 34090.7 TUSTIN, CA. 01995-2017 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 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 C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in when the act is completed, and implv a full file folder (e.q. last document + 2years),since destruction is normatIV performed bv file folder. Liti ation com laints claims, public records act requests, audits and/or investi ations sus end normal retention eriods 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 seg., 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 When No Preliminary drafts not retained in Police / PD -069 Repossession Notices Longer Longer Mag, Ppr the ordinary course of business; Records 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 When No Does not record "regular and Police / PD -072 Video Recordings - Parking Longer Longer Mag ongoing operations"; GC Records Lots, Public Areas Required Required 1 year §34090.6 Police / PD -073 Video Recordings -Police 1 year Mag Records "regular and ongoing Records Operations 2 years operations"; GC §34090.6 Police / PD -074 Warrants (Recalled or Served) 2 years Mag Department preference;; GC Records I I I I 34090 et se . TEMPORARY HOLDING FACILITY Police / Jail PD -075 Inspection Log, Juvenile 2 years 2 years Mag, Ppr GC §34090 Log 2 ears Police / Jail PD -076 MonthlyCounts Official Counts 2 ears Ma 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 Image: Destroy Inactive 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 City -Wide Standards Retentions be in when the act is completed, and implv a full file folder (e..q. last document + 2 ears since destruction is normalIV performed bV file folder. Liti ation complaints, claimspublic records act requests, audits and/or investigations sus end normal retention penods retention resumes after settlement or completion). Police / Jail PD -077 Video Recordings (Temporary 1 year 1 year Mag GC §34090.6(a) Holding Facility) TRAINING Background File / Recruitment City preference; 29 CFR Police / PD -078 File - Police Employees & Separation + Separation + MagPpr p 1602.31 & 1627.3(b)(ii), GC §§ Training Police Volunteers 5 years 5 years ' 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 Separation + 1113 Police / Personnel Files - Police 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 GC §34090 et seg. Police / Separation + 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. 01995-2017 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 Image: Destroy 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 City -Wide Standards Retentions be in when the act is completed, and imply a full elle folder (e.q. last document + 2 ears since destruction is normally performed by file folder. Liti anon com Iainfs claims ublic records act requests, audits and/or investi ations suspend normal retention petiods retention resumes after settlement or completion). ENGINEERING Public Works / PW -001 Address Assignments P P Mfr D, r, OO S Yes: After Department preference; GC Engineering P Ppr QC & OD §34090 Public Works / PW -002 Aerial Maps (Analog /Historical) P Mag, Mf, S / I No Department Preference; GC Engineering P P r §34090 Public Works / PW -003 Benchmarks P Mfr OD, S/I Yes: After Department Preference; GC Engineering r, r 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 g� 9 Notifications, Project Schedules, Completion P Audit, if Audit, if Completed P Wrongful Death—comp. + 5 Progress meetings, Punch Lists, Real required, required, ars, Developers—comp. + years, Estate Appraisals, RFIs & Responses, whichever is whichever is years; Statewide Temporary Easements, Construction longer longer guidelines propose Manager's Logs, Daily Inspections, termination + 5 years; CGP Daily Logs, etc. 337 et. seg.,GC 34090 TUSTIN, CA. 01995-2017 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 Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? If the record is not listed here refer to the Retention for City -Wide ide Standards Retentions be in when the act is completed, and implv imp/va full file folder (e.q. last document + 2 ears since destruction is normal/v performed bv file folder. Liti ation com laints claims ublic 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 Ma P r g' 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 / Mag, Yes: retained for disaster Public Works / Contract (copy), Successful Proposal, Upon Yes: Until preparedness purposes; Engineering PW -006 Change Orders, Geotechnical Studies Completion P I? '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 rAgency 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: Contracts & Spec's=4 years; whichever is whichever is CCP §337 et. seq., GC longer longer. 34090 TUSTIN, CA. 01995-2017 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 / Reference Record Image: Destroy 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 City -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normally erformed by file folder. Liti ation complaints, claims public records act requests, audits and/or investi ations suspend normal retention eriods 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 to Engineering PW -009 (State &Federal Agencies, EPA, years years Active Mfr, OD, S QC Regulatory Agencies need 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 MfrMag, SII Yes: After Department Preference; GC Engineering Authored by the City Ppr QC & OD §34090 Drafts should be destroyed; Drawings, Maps, Plans and Some maps are also retained Public Works / Record Drawings, Large -Format Mag, by Planning; Selected maps Engineering PW -012 Drawings, Survey Record Maps, P P Yes (all) Mfr, OD, S No are retained in Public Works Capital Improvement Project "As- Ppr for administrative purposes; Built' GC 34090, 34090.7 Encroachment Permits ! Excavation Permits: Temporary Public Works / (Street Permits, Temporary Final / Final / 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 I 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. 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 imPlv a full file folder (e.q. last document + 2 ears since destruction is normaltv Performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/orinvesti ations sus end normal retention mods retention resumes after settlement or com letion . 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 OC & 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 Ci 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 I0�;years� Completed Wrongful Death=comp. + 5 Reports, etc. years, Developers=comp. + 10 years; CCP §337 et. seq., Examples: CUPs, Lot Line GC §34090 Adjustments, Parcel Maps, Precise Alignment SpeCific Plans- Salit Lots. TUSTIN, CA. 01995-2017 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 / Reference Record Image: Destroy 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 City -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.q. last document + 2 ears since destruction is normal!y Performed by Ne folder. Liti ation complaints, claimspublic records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Private Lana Development Projects/ Job Files: Permanent Files Drainage, Driveway, Rights of Way, Mag' Department preference; Public Works / Soil Reports, Stormwater, etc. Upon Yes: Until 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. P Public Works / PW -023 Solid Waste Liens / Garbage Liens 10 years P Mag, Ppr GC §34090 et seq. Engineering & Releases 10' ° Public Works / PW -024 Solid Waste Reduction / AB 939 10 years MagPpr , Department preference; GC Engineeringyears Compliance / Tonnage Reports §34090 et seq. Required for a minimum of 5 Public Works / Mag' Yes (after years; 40 CFR 122.41(j)(2); Engineering PW -025 Stormwater Illicit Discharges 5 years 5 years Mfr, OD, S / I 2 years) SWRCB Order 2006-03; 40 Ppr CFR §§122.21, 122.41, 122.44; GC §34090 Department Preference; Monitoring records required Public Works / PW -026 Stormwater Monitoring / NPDES 5 years 5 years Mag, Ppr for 3 years; 40 C Engineering Monitoring and Inspection §§122.21, 122.41W.44; CCP §337 et seg. Required for a minimum of 5 Public Works / Mag, Yes: After years; 40 CFR 122.410)(2); 40 Engineering PW -027 Stormwater: Business Inspections 5 years 5 years Mfr, OD, S / I QC & OD SWRCB Order 2006-03; 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference (OFR) Active Inactive Media 1=Import Paper Total (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 imDlv a full file folder (e.q. last document + 2 ears since destruction is normal/V performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Mag' Department preference; Public Works / PW -028 Stormwater: NPDES Annual 5 years 5 years Mfr, OD, S ! I Yes: After Monitoring records required Engineering g 9 Reports p Ppr QC for 122.215122.41,R22.44 Department Preference; Public Works / Expiration + 5 Expiration --+ Yes: Until Monitoring records required En ineerin g g PW -029 Stormwater: NPDES Permits years � 5 years Expiration 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 g g Slots, Stormwater Treatment Ppr QC & OD every 2 years; SWRCB Order Measures and Trash Gleaning) 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 CGP §337 et seg. Public Works / PW -033 Traffic Counts 15 years Mag Ppr Department preference; GC Engineering 34090 TUSTIN, CA. 01995-2017 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 / 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 implv a full file folder (e.q. last document + 2 ears since destruction is normal/erformed bv file folder. Lif/ ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department preference Public Works / Engineering PW -034 Traffic Speed Surveys 15 years 15 years Mag Ppr (required every 5 years, but 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 II Tanks; (Tier II tanks are to have integrity Field Services Spill Prevention Control and required an q 9 Y Countermeasures (SPCC), Inspections, test every 20 years); GC Integrity Testing, Maintenance, Repairs 5 years §60201 Public Works / PW -037 AQMD Permits (Generators, etc.) 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 GC Field Services g requirements); auditin re uirements § 34090 Generator Operation Logs & AQMD Rule 1470; GC Lead Dept. PW -040 Inspections - Fixed / Stationary 3 years 3 years Mag, Ppr §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 1 1 §34090 TUSTIN, CA. 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) Imaged & S=Scan C'd? If the record is not listed here refer to the Retention for City -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.o. last document + 2 ears since destruction is normally Performed by file folder. Liti ation com /alnts claimspublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion), Department Preference (City Public Works / PW -042 Hazardous Waste Manifests / 5 years P P Mag, Mfr, OD, S Yes: After has "cradle to grave" liability); 40 CFR 262.40, 8 CCR Field Services Certificates of Disposal QC & OD Ppr 3204(d)(1)(A), 22 CCR Life of Facility or 66262.40 Lead Dept. PW -043 Operations & Maintenance Life of Facility Mag, Ppr Department Preference; GC Manuals (O&M Manuals) or Equipment Equipment When §34090 et. seq. Public Works / PW -044 Permits: Pressure Vessels, When Mag,P r 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 Public Works / Vehicle Safety Checks / Daily Vehicle - Vehicle - Field Services PW -047 Vehicle Inspections / Daily Minimum 2 Minimum 2 ' Ppr GC §34090; 3 CCR 1234(3) Equipment Checks - SENIOR VEHICLES FUNDED BY THE years years OCTA TUSTIN, CA. 01995-2017 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 / Reference Record Destroy Image: Inactive Paper Active Total Media [=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? /f the record is not listed here refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e..q, last document + 2 ears since destruction is normally performed by Me folder. Liti a n complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion . Consistent with CHP Public Works / Transportation Audits: DMV & ' re OSHA requires requirements; q q Field Services PW -048 CHP, TDA Fiscal Audit, Triennial 5 years 5 years Mag, Ppr 1 year, 8 Ca. Code Reg. § Performance Audit 3203(b)(1); GC§ 34090 Division Data is interrelated; GC Providing PW -049 Tree Database / Tree Trimming Indefinite Indefinite Mag §34090 Service / Work Required for 3 years; GC Lead Dept. PW -050 Underground Service Alerts 3 years 3 years Mag, Ppr §§4216.2(d) & 4216.3(d), (USA's) 34090 Monitoring and Maintenance Underground Storage Tank records are required on site (City Owned) for 3 years, 6'/ years for cathodic protection Public Works / PW -051 UST Monitoring, Inspections and 7 years 7 years Mag, Ppr maintenance, 5 years for Field Services 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 Mag, Public Works / PW -052 USTs (City Owned) Tank - Tank- I Mfr, OD, S Yes: After 23 CCR 2712(b), H&S Field Services Minimum 2 Minimum 2'° Ppr 1 year §25284.2(i) Repairs, Lining, Upgrades years years Underground Storage Tanks Department Preference Public Works / (City -Owned) Mag, Yes: After (required for the life of the H&S Field Services PW -053 10 years P P Mfr, OD, S 1 year tank); 23 CCR 2712(b), Location, Soil Remediation, Ppr §25284.2(i); GC §34090 et. Monitoring Well Records seq. 22 CCR 66266.130(c)(5), Public Works / PW -054 Used Oil Disposal 3 years 3 years Mag, Ppr H&S §25250.18(b), Field Services 25250.19(a)(3) et seg. TUSTIN, CA. 01995-2017 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 / Reference Record Image: Destroy 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 implv imp/va full file folder (e.q. last document + 2 ears since destruction is normal!v Performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend norma/ retentionperiods retention resumes after settlement or completion). Department Preference; If a motor carrier, required for 18 Vehicle & Equipment History Files, Disposal of Disposal of I 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 ears y 2 ears y 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 Providing PW -056 CMMS DATABASE (Computerized Indefinite Indefinite Mag Data is interrelated; GC Service / Work Maintenance Management §34090 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 coov) 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) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 imply a full file folder (e.q. last document + 2 ears since destruction is normally performed by file folder. Liti ation com laints claims ublic records act requests, audits and/orinvesti ations suspend normal retention edods 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 orlAfter Completion +'. Limitations for Errors & After 10 years or 'Funding Omissions is 10 years; Project Administration, Certified Funding Statute of Limitations: Public Works I PW -061 Payrolls, Community Outreach I y y Upon Agency Agency 'Audit, Yes: Until Mag, Ppr Contracts & Spec's=4 years, Water Notifications, Project Schedules, Completion Audit, if if Completed Wrongful Death=comp. + 5 Progress meetings, Punch Lists, Real required, required, years, Developers -comp. + Estate Appraisals, RFIs & Responses, whichever is whichever is 10 years; Statewide Temporary Easements, Construction longer longer guidelines propose Manager's Logs, Daily Inspections, termination + 5 years; CCP Daily Logs, etc. 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 Change Orders, Environmental / EIR, g Upon P ' P Yes: Until Mfr, OD, SII Complet. preparedness purposes; Water etc., Geotechnical Studies & Reports, Completion Completed Ppr + 10 years 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 Surveys, etc. 2 years Public Works / PW -063 Confined Space Entries 2 years Ppr 8 CCR 5157(e)(6); GC §3409 Water 5 years Public Works / PW -064 Conservation Program Grants & 2 years 3 years Mag , Mfr, OD, S / I Yes: After Department preference - meets auditing standards; GC Water Rebates (Toilets, etc.) Ppr QC §34090 TUSTIN, CA. 01995-2017 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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference Inactive Paper Active Total Media 1=Import (OFR) after (Records Vital? aRetention Options M=Mfr (in office) 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 jmD1v a full file folder (e - c- last document + 2 ears since destruction is normal/v Performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/orinvesti 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 122.410)(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 10years §34090 Public Works / PW -071 Fire Hydrant Flow/ Pressure Tests 10 years Ma g,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 Generators §34090 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 / Reference Record Image: Destroy 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 implv a full file folder (e.q. last document + 2 ears since destruction is normal1v Performed bv file folder. Liti ation complaints, claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Department Prefere Monitoring records r ed Public Works / PW -075 NPDES Monitoring and Inspection 5 years 5,years Mag, Ppr for 3 years; 40 CFR Water _ Water Operations §§122.21, 122.41, 122.44; CCP §337 et seg. Department Preference; Monitoring records required Public Works / PW -076 NPDES Permits - Water Expiration + 5 Expiration + Yes: Until Mag, Ppr for 3 years; 40 CFR Water Operations years 5 years Expiration §§122.21, 122.41, 122.44; Life of Facility or CCP §337 et seg. Public Works / PW -077 Operations & Maintenance Life of Facility Mag, Ppr Department Preference; GC Water Manuals (O&M Manuals) or Equipment Equipment " When No §34090 et. seq. When No Public Works / Regulatory Agency Compliance - Longer Longer Mag, Yes: After Department Preference; GC P Water PW -078 Correspondence, Supporting Required - Required - Mfr, OD, S / I QC §34090 Documentation (DPH, EPA, etc.) Minimum 5 Minimum 5 i Ppr ears years 5 years Public Works / PW -079 Requests for Meter Size Changes 5 years Mag, Ppr Department Preference; GC 1§34090 Water P 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 GC Water interrelated; §340M 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 P Public Works / PW -083 State Approvals of System 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 / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged & 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 implv a full file folder (e.q. last document + 2 ears since destruction is normally Performed bV file folder. Liti ation com laints claims ublic 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 Mag' Mfr, OD, S / I Yes: After 22 CCR §64470; 40 CFR Water Ppr QC 141.33© 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 /Exemtions p Expiration + 5 Ma g Ppr Department Preference; 40 Water ears 5 years Correction + CFR 141.33(b)(3) Public Works / PW -088 Violations &Corrections Correction + 1 1 Mag Ppr Department Preference; 40 Water 3 ears 3 years 11 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 ears y 10 years Mfr, OD, S / I Yes -After from recording date, and may Water Ppr QC & OD be extended by re-recording 5 years lien; WC 36729; 37212(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 Public Works / Water Quality - Lab Reports & Mag, Yes -After Water PW -094 Chains of Custody: 5 years 5 years Mfr, OD, S / I QC & OD 40 CFR 141.33(a) Bacteriological and Organics Ppr TUSTIN, CA. 01995-2017 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 / Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 implv a full file folder (e.q. last document + 2 ears since destruction is nonmallv performed bv file folder. Liti ation com faints claims public records act requests, audits and/or investiqations suspend normal retention periods retention resumes after settlement or completion). Public Works / Water Quality - Lab Reports & Mag, Yes -After Water PW -095 Chains of Custody: Chemical 10 years 10 years Mfr, OD, S / I QC & OD 40 CFR 141.33(a) Includes Chlorine Residuals I Ppr Public Works / Water Quality - Lab Reports & Mag, Yes - After Required for 12 years or 2 PW -096 Chains of Custody: Lead & 12 years 12 years Mfr, OD, S / I QC & OD compliance cycles; 40 CFR Water Copper I P Ppr 141.91 Public Works / PW -097 Water Quality Reports /Annual P Mag' Mfrr,, OD, S Yes: After Department Preference; GC Water Consumer Confidence Reports QC & OD §34090 Public Works / Water Rights Mag, Yes: After Department Preference; GC Water & PW -098 (Send final contracts and P P Mfr, OD, S 10 years §34090 et seq. City Clerk agreements to Cit Clerk 10 years Ppr 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 Water PW -100 (Includes Abandoned or Destroyed P P Mfr, OD, S 10 years §34090 et seq. Wells Ppr 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 / PW -102 Database Longer Longer Mag Ppr database is the original); GC Water Required Required '' §34090 Paper drafts TUSTIN, CA. 01995°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 Record Retention No. Records Description Retention / Disposition Image: Destroy Comments / Reference 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 -Ilde Standards Retentions be in when the act is completed, and implv a full file folder (e - q. last document + 2 ears since destruction is normal/v Performed by file folder. Liti ation com /amts claims ublic records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Work Orders / Service Requests - NOT entered in CMMS Database (or partial information entered into Public Works / CMMS Database) City Preference; CCP §§338 Water PW -103 5 years 5 years Mag Ppr et seq., 340 et seq., 342, GC (Division providing service retains §§945.6, GC §34090 originals; Division requesting service is considered a co TUSTIN, CA. 01995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: CITY OF TUSTIN DRAFT E-MAIL POLICY Electronic telecommunications systems (e-mail, voice mail, fax systems, PDAs, Internet, etc.) are a media for transport of communication and are methods to send, receive, or temporarily store correspondence. Communications generated through these systems are not City records retained in the ordinary course of business and subject to records retention policies until the communication has been printed and retained or downloaded into a local file folder and specifically recognized as a City record. This is the same manner in which paper mail is managed: Employees determine what is a record that needs to be retained pursuant to the City's records retention schedule, what records are preliminary drafts, copies or non -records and then file, or dispose of the record based upon the City's records retention policies and procedures. Retention of an e-mail, electronic, or paper record is determined either (1) because a law required it to be kept or (2) because it is necessary or convenient to the discharge of the public officer's duties, and was made or retained for the purpose of preserving its informational content for future reference.' To qualify as a public record under CPRA, at a minimum, a writing must relate in some substantive way to the conduct of the public's business.2 E-mail is a business tool which will be used in accordance with generally accepted business practices and current law reflected in the California Public Records Act to provide an efficient and effective means of intra -agency and inter -agency communications. These procedures apply to all employees, advisory body members, council members, contractors, interns, volunteers, and others when they are using City -provided electronic technology. Users are solely responsible for the management of their mailboxes, just as they are responsible for sorting through paper mail in their in -boxes from the US Post Office or inter -office memoranda. E-mail is not a records management system and staff are expressly forbidden to use it as such. E-mail in -boxes and out -boxes shall be emptied on a regular basis, after records have been appropriately saved, as outlined below. Official Records Are Saved, and Stored in Subject / Project File Folders. E- mail messages which are intended to be retained in the ordinary course of the City's business are recognized as official records that need protection / retention in accordance with the California Public Records Act. Because the e-mail system is not designed for long term storage, e-mail communications which are intended to be retained as an official record (those that relate in a substantive way to the conduct of business, or those that are made or retained for the purpose of preserving the informational content for future reference) should be 1 California Attorney General's Opinion, 64 Ops. Cal. Atty. Gen. 317 2 City of San Jose v. Superior Court (Smith). S218066. Supreme Court of California, 2017 01995 - 2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Page 1 of 3 Do not duplicate or distribute without prior written consent printed out and the hard copy filed in the appropriate subject / project file, or saved in an electronic subject / project folder within 60 days of receipt. 2. Retention is Based on the Content of the E-mail. The City will maintain all e- mail messages determined by staff to be official records (those that relate in a substantive way to the conduct of business, or are made or retained for the purpose of preserving the informational content for future reference) for the period of time designated in the City's retention schedule, based upon the content of the e-mail) by printing and saving them in a paper subject / project file, or by saving them electronically in a subject / project folder. 3. All City Policies Apply / Professional Communications. All City policies apply to electronic media, including but not limited to the City's policies on harassment, discrimination, and retaliation; the information system; and internet use. Make sure all of your communications are appropriate and are within City policy. Employees are to use professional, courteous communications, and to abide by all laws and City policies. 4. Deletion of E-mail. E-mail communications that DO NOT relate in a substantive way to the conduct of business, or are NOT required to be retained by law nor by the City's Records Retention policies, and were NOT made or retained for the purpose of preserving the informational content for future reference (preliminary drafts, notes, transitory correspondence, interagency or intra -agency memoranda not retained in the ordinary course of business) will be deleted by employees as soon as they are no longer required. The City will auto -delete e-mails left in the following mail boxes on a routine basis: (1) In Boxes (delete what remains after 2 years) (2) Sent Items (delete what remains after 2 years) (3) Deleted Items (delete what remains after 90 days) 5. Archiving and "Auto -Archiving" of e-mails is allowed, but only for e-mails that need to be retained. Employees shall NOT archive ALL e-mails they receive or send. Archives should only contain e-mails that need to be retained for the purpose of preserving its informational content for future reference. Be aware that the default for Archived e-mail is on the C: Drive, which is not backed up, and records stored in archives that are responsive to a Public Records Act request must be searched and produced by employees. 6. Personal E -Mail Accounts/Text Messages/Voicemails. The City prohibits the use of personal accounts through communication of email, text messages, and voicemails and similar technology to conduct City business. The Information Technology Division will assign a communication account to Designated Employees, Council Members and Commissioners to conduct City business offsite as needed. i) E-mails, records, and/or text messages stored on personal devices relating to the conduct of City business may be subject to the Public Records Act. In the event a request for records is received, employees, Council Members and ©1995 - 2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Page 2 of 3 Do not duplicate or distribute without prior written consent Commissioners will be responsible for locating all records responsive to such request, including any records stored on personal devices (unless an exemption applies.) 7. Forwarding E-mails. E-mails may only be sent or forwarded to appropriate persons with a need to know the information in order to conduct City business. 8. Protection of Confidential E-mail. Write the word, "Confidential" on protected e-mail. Do not "interfile" e-mail or other privileged correspondence from the City Attorney's office with public documents (documents that are accessible to the public). These e-mails may be subject to the Attorney -Client and or the Attorney Work Product privileges, and the contents should not be disclosed without first checking with the City Clerk. 9. Litigation Holds / Other Types of Holds. E-mails subject to litigation (including a reasonable expectation of litigation,) claims, complaints, audits, records requests and/or investigations suspend normal retention periods (retention resumes after settlement or completion of the triggering hold). 10. Separation/ Transfer of Employees. i) Departments must inform both the Human Resources Department and Information Technology Division as soon as the e-mail user separates from the City. ii) Human Resources will ensure / confirm that Information Technology knows an e-mail user has been terminated. iii) Information Technology shall ensure that employees that separate from the City do not have access to City e-mail on any device immediately after notification, and that the Supervisor has access to the former employee's e- mail account. iv) The records stored in the e-mail account (including any archives,) of an employee who separates or transfers shall be the responsibility of that employee's (former) supervisor. v) The Supervisor shall review the e-mails of the former employee, ensure the content of their e-mail account are preliminary drafts not retained in the ordinary course of business, then authorize their deletion (after appropriate records are retained for their retention period, if appropriate.) vi) E-mails that remain in an account (that are not saved in a subject / project file folder outside the e-mail system) will be routinely deleted after 2 years. 01995 - 2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Page 3 of 3 Do not duplicate or distribute without prior written consent