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HomeMy WebLinkAbout05 CITY WIDE RECORDS RETENTIONDocuSign Envelope ID: 3431 F6CE-8632-432D-8504-AED3F6D95485 1;61 NP r O AGENDA REPORT is MEETING DATE TO- FROM- SUBJECT- SUMMARY: O:FROM:SUBJECT: SUMMARY: JUNE 16, 2020 MATTHEW S. WEST, CITY MANAGER ERICA N. YASUDA, CITY CLERK Agenda Item Reviewed: City Manager Finance Director CITYWIDE RECORDS RETENTION SCHEDULE AMENDMENT Staff is proposing the adoption of a revised Records Retention Schedule. RECOMMENDATION: Adopt Resolution No. 20-45, amending the City's Records Retention Schedule. FISCAL IMPACT: There is no fiscal impact. CORRELATION TO THE STRATEGIC PLAN: Adoption of the revised Records Retention Schedule contributes to the implementation of Goal E: Organizational Excellence and Customer Service. BACKGROUND: 5 -M 5W N/A On December 19, 2017 the City Council adopted Resolution 17-51 amending the Records Retention Schedule. This update provided staff with well-defined retention periods, clear direction and expanded storage options. Staff has continued to prioritize maintaining the City's records program and has identified revisions that will keep the program current with applicable laws and department operations. All proposed amendments have been reviewed by the City's consultant, Gladwell Governmental Services Inc., and the City Attorney's Office. Attachment: Resolution No. 20-45, Amending the Citywide Records Retention Schedule DocuSign Envelope ID: 3431 F6CE-8632-432D-8504-AED3F6D95485 RESOLUTION NO. 20-45 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TUSTIN, CALIFORNIA, ADOPTING AN AMENDED RECORDS RETENTION SCHEDULE, AUTHORIZING THE DESTRUCTION OF CERTAIN CITY RECORDS, AND RESCINDING PREVIOUS RESOLUTION NO. 17-51 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 17-51, adopting a records retention schedule on December 19, 2017, and the City Council finds that the retention schedule should be updated and Resolution 17-51 rescinded. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF TUSTIN DOES RESOLVE AS FOLLOWS: Section 1. Resolution Number 17-51 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 papers; as defined by the California Public Records Act. Resolution No. 20-45 Page 1 of 2 DocuSign Envelope ID: 3431 F6CE-8632-432D-8504-AED3F6D95485 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 16th day of June 2020. DR. ALLAN BERNSTEIN, Mayor ATTEST: ERICA N. YASUDA, City Clerk STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS CITY OF TUSTIN ) I, Erica N. Yasuda, 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. 20-45 was duly and regularly passed and adopted at a regular meeting of the City Council held on the 16th day of June 2020 by the following vote: COUNCILMEMBER AYES: COUNCILMEMBER NOES: COUNCILMEMBER ABSTAINED: COUNCILMEMBER ABSENT: ERICA N. YASUDA, City Clerk Resolution No. 20-45 Page 2of2 DocuSign Envelope ID: 3431F6CE-8832-432D-8504-AED3F6D95485 RECORDS RETENTION SCHEDULE LEGEND 01995 — 2019 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, that do NOT have substantive content: 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 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 drive, disks, 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: "Yes" indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed) IF the document has been imaged (electronically generated, scanned or imported and placed on Unalterable Media — DVD -R, CD -R, or WORM, or microfilmed), and both the images and indexing Quality Checked ("QC'd"). The electronic record or image must contain all significant details from the original and be an adequate substitute for the original document for all purposes, and other legal mandates apply. Includes all electronic records which are to serve as the Official Record. Leqend for legal citations (§: Section) B&P: Business & Professions Code (CA) CBC: California Building Code CC: Civil Code (CA) CCP: Code of Civil Procedure (CA) CCR: California Code of Regulations (CA) CFC: California Fire Code CFR: Code of Federal Regulations (US) EC: Elections Code (CA) EVC: Evidence Code (CA) FA: Food & Agriculture Code FC: Family Code (CA) FTB: Franchise Tax Board (CA) GC: Government Code (CA) H&S: Health & Safety Code (CA) HUD: Housing & Urban Develop. (US) LC: Labor Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) PC: Penal Code (CA) R&T: Revenue & Taxation Code (CA) UFC: Uniform Fire Code USC: United States Code (US) VC: Vehicle Code (CA) W&I: Welfare & Institutions Code (CA) GC§34090 is a base minimum retention; the "Total Retention" column is what has been adopted by the City Council DocuSign Envelope ID:343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Otions pr M=Mfrt MMf after 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.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). CITY-WIDE Used by All Departments) Accident, Incident, Injury Human reports: PUBLIC & Copies - Copies - Resources / CW -001 EMPLOYEES, with associated When No When No Mag, Copies retained for reference; Risk Longer Longer Ppr GC §34090.7 Management MSDS, if a chemical was Required Required involved Accounts Payable, Invoices, Petty Cash, Warrant Requests, Copies - Copies - Travel Reimbursement, etc. When No When No Yes: Before Mag, All originals go to Finance Finance CW -002 Longer Longer Payment Ppr (these are copies); GC ALL backup is forwarded to Required Required §34090.7 Finance Brown Act challenges must be Affidavits of Publications / filed within 30 or 90 days of Public Hearing Notices / Legal Mag, action; Statute of Limitations Lead Dept. CW -003 Advertising / Affidavits of 2 years 2 years Mfr, OD, on Municipal Government Posting Ppr actions is 3 - 6 months; GGP §§337 at ser a^o ^; GC §§34090, 54960.1(c)(1) Copies - 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, p OC &OD 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). 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 Some grant funding agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Published Audit Standards=4-7 years; Statute of Limitations: Agreements & Contracts: 10 years or Completion +' Contracts & Spec's=4 years, ADMINISTRATIVE FILES After 10 years or Wrongful Death=comp. + 5 (with Grant Funding) Funding After Funding Mag, Yes: Upon years, Developers=comp. + 10 Lead Dept. CW -006 Completion Agency Agency Audit, Yes: Before Mfr, OD, S/I Completio years; Statewide guidelines - (Correspondence, Project Audit, if if required, Completion Ppr n pFepeseteFFniRatieR i c .,eaFs. Administration, Project required, whichever is 2 CFR 200.333; CCP §337 et. Schedules, Certified Payrolls, whichever is longer seq., 21 CFR 1403.36 & Invoices, Logs, RFP, etc.) longer 1403.42(b); 24 CFR 85.42 91.105(h), 92.505, & 570.502(b), 29 rr�ae no-, 29 CFR 97.42; nn rro 31.42; nn GFR 13.42; 45 GFR 92.42; OMB Circular A-133GC §34090; GC §8546.7 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Options M=Mfrt MMf r after Center) S=Scan Imaged & QC'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 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. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or com letion . Covers E&O Statute of Limitations (insurance Agreements & Contracts: certificates are filed with ADMINISTRATIVE FILES agreement); Published Audit Mag, Yes: Upon Standards=4-7 years; Statute Lead Dept. CW -007 (Correspondence, Project Completion 10 years Completion + Yes: Before Mfr, OD, S/I Completio of Limitations: Contracts & Administration, Project 10 years Completion Ppr n Spec's=4 years, Wrongful Death=comp. + 5 years, Schedules, Certified Payrolls, Developers=comp. + 10 years; Invoices, Logs, RFP, etc.) Statewide guidelines propose termination + 5 years; CCP §337 et. seq., GC §34090 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 Audits / Audit Reports / CAFR - Copies - Copies - Finance CW -009 Comprehensive Annual When No When No Mag, Copies; GC §34090.7 Financial Reports 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -4 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). CW -010 Bids: See Agreements & Contracts Boards, Commissions, & Committees: City Council All recommendations are Staffing Dept. CW -011 Subcommittees 2 years 2 years Mag, presented to the City Council; Ppr GC §34090 et seq. (Composed solely of less than a quorum of the City Council) Boards, Commissions, & Committees: External When No When No CW -012 Organizations Longer Longer ag, Non -records Required Required Ppr (e.g. County Board of Supervisors) 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 90 days of years years Ppr action; GC §§344 090, AGENDAS, AGENDA 54960.1(c)(1) PACKETS. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -5 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). 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 Mag' Staffing Dept. CW -015 Advisory Bodies Formed by p P Mfr, OD, S No Department preference; GC CITY COUNCIL Ppr §34090 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 Cash Receipts Detail / Backup Copies - Copies - Finance CW -017 /Accounts Receivable Detail / When No When No Mag,Longer GC §34090.7 Refund Detail Longer ppr Required Required Copies - Copies - Human When No When No Resources / Longer Longer Yes: Before Mag' Yes: After Risk CW -018 Claims Required Required Settlement Mfr, OD, S/I Settlement GC §§34090.7 Management (Upon (Upon Settlement) Settlement) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -6 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Image: Active Inactive Total Media 1=Import Paper (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) Imaged & S=Scan QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). City preference; Statute of Limitations for personal Lead property, fraud, etc. is 3 years; (Responding) CW -019 Complaints /Concerns from Minimum 2 Minimum 2 Mag, Claims must be filed in 6 Dept. Citizens years years Ppr months; GGR §§338 et se 4 6, 340 et seq., 342, GG §§95. GC §34090 Human Send to,Send to Resources CW -020 Complaints Against Employees Human Human §34090.7 PPS GC Resources Resources CW -021 Contracts: See Agreements Copies - Copies - Lead Dept. CW -022 Copies or duplicates of any When No When No Mag Ppr GC §34090.7 record Longer Longer Required Required Correspondence - ROUTINE Dept. that (Content relates in a Authors substantive way to the Document conduct of the public's §34090; City of San Jose or CW -023 business) 2 years 2 years Mag, . v. Superior Court (Smith). v S218066. Supreme Court of Ppr Receives the City's Original (e.g. Administrative, Chronological, California. 2017 Document General Files, Letters, Memorandums, Reading File, Working Files, 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -7 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). Electronic and paper records 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 P 9 P g City's Original or social media posting, flyers, in 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, tent if a record is considered messages, transmittal letters, transitory / preliminary drafts. thank yous, requests from other GC §34090, GC §6252; 64 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 California, 2017 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -8 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Options M=Mfrt MMf r after Center) S=Scan Imaged & QC'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 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. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or com letion . 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 Deposit Accounts / Trust Close + 5 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 §34090 et seq. Lead Dept. CW -029 Grants (UNSUCCESSFUL 2 years 2 years Mag' GC §34090 Applications, Correspondence) Ppr TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -9 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Otions pr M=Mfrt MMf after 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.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or co===..- -Meets auditing standards; Grants covered by a Consolidated Action Plan are Grants / CDBG / Reimbursable required for 5 years; Uniform Claims/ «nnn C ,.;ms Admin. Requirements for (SUCCESSFUL Reports, other__ Grants to Local Governments records required to pass the After "` is 3 years from expenditure funding agency's audit, if Funding After Funding report or final payment of required) Agency Agency Audit, Ma g' grantee or subgrantee; Lead Dept. CW -030 2 years Audit, if if required - P pr Applications (successful), grant Required - Minimum 5 years 2 CFR 200.333 7 CPR agreement, program rules, Minimum 5 y ears 3016.42; 21 GFR ,nn� 26 n regulations & procedures, reports years 1403.42(b); 24 CFR 85.42, to grant funding agencies, 91.105(h), 92.505, 570.490, & correspondence, audit records, 570.502(a&b), 28 GFR 66.42; completion records 29 CFR 97.42; 40 GFR 31.42; nn GFR 13.42; 45 GFR 92.42; OMB Circular A-110 & A-133; GC §34090; GC &8546.7 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID:343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -10 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Options M=Mfrt MMf r after Center) S=Scan Imaged & QC'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 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. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or com letion . 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 §§12946,34090 Copies - 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) 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 Lead Dept. CW -058 Liability Waivers 2 years 2 years Maq, GC &34090 1 —PP—r 1 1 1 1 1--] _ i TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID:343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -11 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Otions pr M=Mfrt MMf after 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.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or co===..- -Previous MSDS may be obtained from a service; MSDS may be destroyed as long as a record of the chemical I Material Safety Data Sheet substance I agent, where & (MSDS) I Safety Data Sheet While Mag, when it was used is Lead Dept. CW -034 (SDS) Chemical Use Report Chemical In 30 years 30 years Mfr, OD, S Yes - After maintained for 30 years; Form (or records of the Use Ppr QC & OD Applies to qualified employers; chemical I substance I agent, Claims can be made for 30 where & when it was used) years for toxic substance exposures; 8 CCR 3204(d)(1)(B)(2 and 3), 29 CFR 1910.1020(d)(1)(i), GC §34090 Copies - Copies - Mag, Originals maintained by City City Clerk CW -035 Minutes - City Council When No When No Yes (all) Mfr, OD, S No Clerk Permanently; GC Longer Longer Ppr §34090.7 Required Required Copies - Copies - Mag' Return any whole unused City Clerk CW -036 Municipal Code (these are When No When No Yes: Current Mfr, OD, I No codes to the City Clerk; copies) Longer Longer Original p Originals maintained by City Required Required Clerk Permanently; GC §34090 When No When No Non -records - may be obtained Lead Dept. CW -037 Newspaper Clippings Longer Longer Ppr from the newspaper company; Required Required 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -12 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). Notices: Public Hearing Statute of Limitations on Staffing Dept. CW -038 Notices and Proofs of 2 years 2 years Mag, Municipal Government actions Publications Ppr is 3 - 6 months; GGP§337 et seq; GC §34090 Copies - Copies - Mag' City Clerk CW -039 Ordinances -City Council When No When No Yes (all) Mfr, S No Originals maintained by City Longer Longer Ppr Clerk Permanently; GC §34090 Required Required Send to Send to Ensure records kept in Personnel Files (Department- Human Human Human level Files) Resources Resources Before Mag, Department files comply with Resources CW -040 Upon Upon Separation Ppr City policy (all originals are Except Police Department Separation or Separation or sent to Human Resources); Transfer Transfer GC §34090.7 Shred After Shred After Incorporation Incorporation Notes maintained in a separate Personnel Files (Supervisor's into into Before Mag' folder to be incorporated into Lead Dept. CW -041 Notes) Performance Performance Annual Ppr performance evaluation, or to Evaluation or Evaluation or Evaluation document progressive Documented Documented discipline; GC §34090 et seq. Discipline Discipline When No When No Mag' Preliminary Drafts; destroy Lead Dept. CW -042 Photographs Longer Longer Ppr1 unnecessary photographs. GC Required Required 1§§34090, 6252, 6254(a) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -13 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). Lead Dept. CW -043 Purchase Orders / Requisitions 2 years 3 years 5 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 PPS' Statewide Guidelines show 2 the Appraisal) Loans not funded, etc. years; GC §§34090, 6254(h) Not accessible to the public until purchase has been Lead Dept. Real Estate Appraisal Reports: Mag, completed; meets grant (Who Ordered CW -045 Purchased Property, Funded 2 years Minimum 3 Minimum 5 Yes: Before Mfr, OD, S Yes: After auditing requirements; 2 CFR the Appraisal) Loans years years Purchase Ppr QC &OD 200.333; 24 CFR 8x42 & 91.105(h), & 570.502(b); 29 CFR 97.42, GC §34090; GC §8546.7 Records Destruction Lists / Copies - Copies - City Clerk CW -046 Certificate of Records When No When No Mag, GC §34090.7 Destruction Longer Longer Ppr 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -14 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals, Newsletters, etc: When No When No CW -047 Produced by OUTSIDE Longer Longer ag PPS' Non -Records ORGANIZATIONS (League of Required Required California Cities, Chamber of Commerce, etc.) Reference Materials: Policies, Procedures, Brochures, Flyers, Statewide guidelines propose Lead Dept. CW -048 Manuals, Newsletters, etc: Minimum 2 Minimum 2 Mag, superseded + 2 or 5 years; GC Produced by YOUR years years Ppr §34090 Department Reference Materials: Policies, Procedures, Brochures, Flyers, Lead Dept. CW -049 Manuals, Newsletters, etc: When When Mag, Copies; GC §34090.7 Produced by OTHER Superseded Superseded Ppr Departments CW -050 Reference or Working Files: See Correspondence 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 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -15 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or completion). Information is outdated after 10 Reports and Studies (other years; statewide guidelines Lead Dept. CW -052 than Historically significant 10 years '10 years Ppr p propose 2 years; If historically reports - e.g. Annual Reports) significant, retain permanently; GC §34090 Copies - Copies - Mag, Originals maintained by City City Clerk CW -053 Resolutions - City Council When No When No Yes (all) Mfr, OD, S No Clerk Permanently; GC Longer Longer Ppr §34090.7 Required Required Lead Dept. CW -054 Special Projects / Subject Files Minimum 2 Minimum 2 Mag, Department Preference; GC / Issue Files years ears Ppr §34090 et seq. Surveys / Questionnaires (that the City issues). If a summary of the data is ag Lead Dept. CW -055 compiled, the survey forms are 2 years 2 years PPS' 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -16 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & QC'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". ifyou 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. HOLDS: Litigration, claims, complaints, audits, public records act requests, and/or investigations 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 / Yes: After signatures when they submit Payroll Contains the employee's Longer Longer P r p OC & 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: 12/19/2017 DocuSign Envelope ID:343lF6CE-8632-432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW -17 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1 Paper (OFR) (in office) (Records Retention Vital? Options M=Mfrt MMf r after Center) S=Scan Imaged & QC'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 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. HOLDS: Liti ation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods retention resumes after settlement or com letion . Department preference; Ethics Training is 5 years; Statewide guidelines propose 7 years; Training - ALL COURSE Calif. Labor Division is required RECORDS to keep their OSHA records 7 Mag, Yes: When years; EEOC/FLSA/ADEA Lead Dept. CW -057 (Attendance Rosters, Outlines 2 years 3 years 5 years Mfr, OD, S Inactive (Age) requires 3 years for and Materials; includes Ethics, Ppr promotion, demotion, transfer, Harassment Prevention & selection, or discharge; State Safety Training & Tailgates) 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), 53237.2(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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -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 City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). CITY CLERK Agenda Packets includes Appeals): City Council, City Clerk CC -001 Housing Authority, P P Mag, Mfr, S / I Yes: After Department preference; GC Redevelopment Agency, OD, Ppr QC & OD §34090 Successor Agency, Oversight Board Agenda Packets: Speaker Preliminary drafts used to Slips produce minutes: GC &34090 et seg. City Clerk CC -038 1 year 1 year, Ppr Agreements & Contracts - ALL (Except Class Department Preference; All Instructors) infrastructure contracts Yes: After should be permanent for Agreement or Contract- Yes: Before Mag, Mfr, QC & OD emergency preparedness; City Clerk CC -002 includes all contractual Completion P P Completion OD, Ppr S Statute of Limitations is 4 COMP18tiOR 4 obligations (e.g. Specifications 4 years; 10 years for Errors & and Successful Proposal / Yes Omissions; land records Scope of Work), Insurance are 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 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Securities (Performance Bonds, Letters of Credit, CD's, etc.) are released Bonds (Performance Bonds, Release of Release of after the Notice of City Clerk CC -004 Subdivision Bonds, Letters of Bond / Letter Bond / Letter Mag, Ppr Completion is issued and Credit) of Credit of Credit replaced with the Warranty Bond, which is released 1 year after the Notice of Completion date. GC §34090 City Clerk CC -004.1 Citizen's Academy Applications 3 years 3 years Mag. Por Department reference: GC 3§ 4090 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 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 seq. Economic Interest Filings 700 Series Forms City maintains original City Clerk CC -008 (FPPC - 7 years 7 years Mag, Mfr, S / I Yes: After 2 statements; GC Statement of Economic OD, Ppr years §81009(d)(e)(f)&(g) Interests): ALL 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -3 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 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Economic Interest Filings City Clerk CC -009 (FPPC Form 602/635) - 2 years 3 years 5 years Mag, Ppr S / I Yes: After 2 2 CCR 18615(d), GC Lobbyist Authorization years3§ 4090 Reporting Must post on website; City Clerk CC -010 FPPC Form 801 (Gift to 7 years 7 years Mag, Ppr S / I Yes: After 2 FPPC Opinion; GC Agency Report) years81& 009(e) 8944(e)(3)( 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) City Clerk CC -012 FPPC Form 803 (Behested 7 years 7 years Mag, Ppr S / I Yes: After 2 GC §81009e Payment Report) years City Clerk CC -013 FPPC Form 804 (Agency P P Mag, Mfr, S / I Yes: After 2 FPPC Regulation 18734(c); Report of New Positions) OD, Ppr years GC §81009e City Clerk CC -014 FPPC Form 805 (Agency P P Mag, Mfr, S / I Yes: After 2 FPPC Regulation 18734(c); Report of Consultants) OD, Ppr years GC §81009e FPPC Form 806 (Agency Yes: After 2 Must post on website; 2 City Clerk CC -015 Report of Public Official 7 years 7 years Mag, Ppr S / I CCR 18702.5 45; GC Appointments) years §34090; GC §81009(e) ELECTIONS - CONSOLIDATED Assessment District Ballots, City Clerk CC -016 Protest Letters, & Envelopes - 2 years Ayears Ppr GC §53753(e)(2) Prop. 218 proceedings 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -4 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Campaign Filings (FPPC 400 Series Forms & Form 501): Paper must be retained for City Clerk CC -017 2 Years P P Mag, Mfr, S Yes: After 2 at least 2 years; GC SUCCESSFUL CANDIDATES OD, Ppr years §81009(b)&(g) (Elected Officials) Campaign Filings (FPPC 400 Series Forms & Form 501): Mag, Mfr, Yes: After 2 Paper must be retained for City Clerk CC -018 UNSUCCESSFUL 5 years 5 years OD, Ppr S years at least 2 years; GC CANDIDATES §81009(b)&(g) Campaign Filings (FPPC 400 Series Forms): THOSE NOT Paper must be retained for City Clerk CC -019 REQUIRED TO FILE 4 years 4 years Mag, Ppr at least 2 years; GC ORIGINAL WITH CITY CLERK §81009(f)&(g) (copies) Campaign Filings (FPPC 400 Series Forms): OTHER Paper must be retained for City Clerk CC -020 COMMITTEES (PACS - not 7 Years 7 years Mag, Ppr at least 2 years; GC §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 CANDIDATES years years and 4 years after the expiration of term and does not delineate between the two; EC §17100 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -5 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (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 UNSUCCESSFUL years years and 4 years after the CANDIDATES expiration of term and does not delineate between the two; EC §17100 Elections - GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Precinct Maps, County Election City Clerk CC -023 Services, Candidate 2 years 2 years Mag, Ppr GC §34090 Statements to be printed in the Sample Ballot, Polling Locations and Precinct Board Members, Notices, Postings, etc.) Elections - HISTORICAL (Sample ballot, copies of Mag, Mfr, Retained for Historical City Clerk CC -024 resolutions, final results; 2 years P P OD, Ppr S No Value, GC §34090 Certificate of Election, Oath of Office) TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -6 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Results + 8 Results + 8 months or months or Not accessible to the Final Final public; The 8 month Examination Examination retention applies after Elections - Petitions (Initiative, if No Election if No Election election results, or final City Clerk CC -025 Recall or Referendum) + 1 year after + 1 year r Ppr examination if no election, petition after etition unless there is legal or examination if examination FPPC proceeding. EC if petition is petition is §§17200(b)(3), 17400 insufficient insufficient 8ma 8 Me. 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 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -7 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 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Minutes: City Council, Housing Authority, Redevelopment Agency, Successor Agency, Mag, Mfr, City Clerk CC -028 Oversight Board, Audit P P OD, Ppr S / I No GC §34090 Commission, Community Services Commission, Planning Commission Municipal Code When No When No Preliminary drafts not City Clerk CC -029 Administration, Distribution, Longer Longer Mag, Ppr retained in the ordinary etc. Required Required course of business; GC §34090 Municipal Code History/ Mag, Mfr, Yes: After Department preference City Clerk CC -030 Supplements P P OD, Ppr S / I QC'd & OD (retain one of each supplement); GC §34090 Oath of Office: City Council, Term of Mag, Mfr, Yes: After Department Preference; GC City Clerk CC -031 Boards & Commission Office + 4 P P OD, Ppr S / I QC'd & OD §34090 Members years City Clerk CC -032 Ordinances P P Mag, Mfr, S / I Yes: After GC §34090 OD, Ppr QC'd & OD City Clerk CC -033 Proclamations / P years P2 years Mag, Mfr, S/ Yes: After Department preference; GC Commendations OD, Ppr2 QC'd & OD §34090 Public Records Requests / City Clerk CC -034 Request for Records / 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 Subpoenas (Records / Duces OD, Ppr QC'd & OD Tecum) / Summons 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC -8 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 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Recordings - Video of City Department Preference; Council, Citizen's Finance Video recording of City Clerk CC -035 Oversight CommitteeAudit , 10 years 10 years '' Mag, OD meetings are onlyly required Commission, Planning for 90 days; GC §§34090.7, Commission, and Community 34090 Services Commission City Clerk CC -036 Records Destruction 10 years 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 City Clerk CC -041 Secretary of State Statement 2 years 2 years Mag. Ppr GC 434090 of Facts City Clerk CC -039 Vehicle Titles (Pink Slips) - All Sale or Sale or MagPpr , Department Preference; GC Vehicles Disposal Disposal §34090 City Clerk CD -037 Maps (Historically ni 9 P P Yes (all) Mag, Mfr, S No Department Preference; GC S ant) OD, Ppr §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion . CITY MANAGER City CM -001 City Council Correspondence Minimum 2 Minimum 2 Mag, Ppr Department Preference; GC Manager years ears §34090 City Grand Jury Reports and Department Preference (the Manager CM -002 Responses (Regarding City 5 years 5 years Mag, Ppr Grand Jury keeps their reports 5 Operations) years); GC §34090 City Projects, Programs, Subject & Minimum 2 Minimum 2 Department Preference; GC Manager CM -003 Issues (Issues and/or projects will years years Mag, Ppr §34090 vary over time) City Manager CM -004 Public Relations / Press Releases 2 years 2 years Mag, Ppr GC §34090 City Speech Notes /PowerPoint When No When No Notes, drafts, or preliminary Manager CM -005 Presentations Longer Longer Mag, Ppr documents; GC §34090 et seq. Required Required Copies - Copies - Finance CM -006 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: 12/19/2017 DocuSign Envelope ID:343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). BUILDING DIVISION Community Mag, Department preference; Develop. / CD -002 Address Files / Building Permits P P Yes (all) Mfr, OD, S Yes: After Statewide guidelines propose Building Ppr QC & OD permanent; GC §34090, H&S §19850 Community Department Preference - Data Develop. / CD -003 Building Permit Database Indefinite Indefinite Yes (all) Mag is interrelated; GC §34090, H&S Building §19850 Upon Department preference; Community Building Plans -Cancelled or Upon Cancellation Mag, Yes: After Preliminary drafts not retained Develop. / CD -004 Withdrawn Cancellation or Mfr, OD, S QC & OD i n the ordinary course of Building or Withdrawal Withdrawal Ppr business; CBC §104.7; H&S§19850, GC §34090 Department Preference; Law Building Plans - Finalled - requires for the life of the INDUSTRIAL, COMMERCIAL, building for commercial and Community MULTI -FAMILY DWELLINGS, Mag, Yes: After common interest dwellings only; Develop. / CD -005 PLACES OF PUBLIC P P Yes (all) Mfr, OD, S QC & OD Statewide guidelines propose 2 Building ACCOMMODATION, TENANT Ppr years for blueprints & IMPROVEMENTS specifications; CBC 104.7 & 107.5, H&S§19850, GC §34090 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & OC'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investi ations suspend normal retention ueriods retention resumes after settlement or completion). Department preference; Site Plans Only for dwellings less than 2 stories, garages & Community Building Plans - Finalled - Mag, Yes: After appurtenances, farms/ranches, Develop. / CD -006 SINGLE FAMILY RESIDENTIAL - P P Yes Mfr, OD, S OC & OD 1 -story with bearing walls less Building SFR and APPURTENANCES Ppr than 25; CBC requires 180 days from completion date; CBC 104.7 & 107.5, H&S§19850, GC §34090 Community Mag, Yes: After Department Preference; GC Develop. / CD -007 Certificate of Occupancy (CofO) P P Yes (all) I Mfr, OD, S OC & OD §34090 Building Ppr Community Certificate of Occupancy (CofO) - Expiration + 2 Expiration + Yes (until Department Preference; GC Develop. / CD -008 TEMPORARY years 2 years expired) Mag, Ppr §34090 Building Until Cleared Until Cleared or Project or Project Community Construction Notices I The finalled permit is the final / Completion Completion official record: these are Develop. / CD -009 Inspection Notices Mag, Ppr ,�„�, ��„�, Building (correction notices, compliance Preliminary Drafts; GC §34090 orders, stop work notices, etc.) LengeF Required LengeF Required Community Mag, Yes: After Department Preference; GC Develop. / CD -010 Grading Plans P P Mfr, OD, S OC & OD §34090 Building 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8632-432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investigations suspend normal retention Deriods retention resumes after settlement or completion). Community Develop. / CD -011 Reports: Building Activity 2 years 2 years Mag, Ppr GC §34090 Building Community Minimum 2 Minimum 2 Yes: Until Department preference; GC Develop. / CD -012 Hardship Waivers years years Resolution Mag, Ppr §34090 Building Community Requests & Permissions to Mag, Yes: After Develop. / CD -013 Receive Copies of Plans (to and 2 years 2 years Mfr, OD, S OC & OD GC §34090 Building from Architects) Ppr Minimum Minimum While Ordinance is While Ordinance is Community Uniform Building Codes /California Department preference; GC Develop. / CD -014 Building Codes Mag, Ppr §50022.6 in Force in Force Building R R CODE ENFORCEMENT Community Minimum Minimum Develop. / CD -015 Administrative Citation Hearings Resolution + Resolution + Yes: Until Mag, Ppr Department preference; GC Code 2 years 2 years Resolution §34090 Enforce-ment TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -4 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 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investigations suspend normal retention Deriods retention resumes after settlement or completion). Code Enforcement / Abatement Case Files / Administrative Citations / Vehicle Abatement Community (Includes appeals and Code Ma Mag, Department preference; Case is Develop. / CD -016 Enforcement Complaint Letters) P P Yes: Until Mfr, OD, S Yes: After open until satisfactorily resolved Code Resolution OC & OD (some cases are not resolved); Enforce-ment MAJOR: STRUCTURAL / Ppr OF §484.3.4, GC §34090 ILLEGAL DUMPING, SWIMMING POOLS, ETC. Code Enforcement / Abatement Case Files / Administrative Citations / Vehicle Abatement (Includes appeals and Code CommunityDepartment Enforcement Complaint Letters) Minimum Minimum preference; Case is Develop. / CD -017 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, SFS §194.3.4, GC §34090 SIDEWALK BLOCKING, PARKING, BANNERS, SIGNS, ETC. Community Develop. / CD -018 Code Enforcement Database Indefinite Indefinite Yes Mag Data Fields / Records are Code interrelated; GC §34090 Enforce-ment PLANNING TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -5 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & OC'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investi ations suspend normal retention ueriods retention resumes after settlement or completion). Community Alcohol Beverage Control License When No When No Develop. / CD -019 Applications (ABC Applications) Longer Longer Mag, Ppr (Non -Records) Planning Required ""Required Community Annexations / Boundaries / Mag, Yes: After Develop. / CD -020 Consolidations / LAFCO 5 years P P Mfr, OD, S / I OC & OD Land Records; GC §34090 Planning Ppr Community CD -039 Agreements /Covenants. P P MagCC&R S Yes: After Department Preference: GC Develop. / Conditions and Restrictions MfrOD. . OC & OD 3S 4090 Planning Community When No When No(Non-Records - Census Bureau Develop. / CD -021 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 Develop. / CD -022 (EIRs), Negative Declarations, P P Mfr, OD, S Yes: After determinations are required to Planning etc.) Ppr OC & OD be kept a "reasonable period of time'; 14 CCR §15095(c); GC Inside City boundaries §34090 Environmental Determinations: Community Environmental Impact Reports When No When No Non -records; EIRs and Develop. / CD -023 (EIRs), Negative Declarations, Longer Longer Ppr Negative Declarations within the Planning etc.) Required Required City Boundaries are with the project file Outside City boundaries Community General Plan, Elements and Mag' Yes: After '& City Clerk Maintains all Agenda Develop. / CD -024 Amendments P P Mfr, OD, S / I QC OD Packets Permanently; GC Planning I I I Ppr 1 §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -6 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & OC'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investi ations suspend normal retention ueriods retention resumes after settlement or completion). Community Historic Preservation Survey, Mag' Yes: After Department Preference; GC Develop. / CD -025 Evaluations and Designations P P : Mfr, OD, S / I OC & OD §34090 Planning Ppr Community Mag, Yes: After Department Preference; GC Develop. / CD -034 Home Occupation P P Mfr, OD, S OC & OD §34090 Planning Ppr Community Master Plans, Specific Plans, Land Mag' Yes: After Department Preference; GC Develop. / CD -026 Use Plans, etc. P P Mfr, OD, S / I OC & OD §34090 Planning Ppr Community When No When No Preliminary drafts not retained Develop. / CD -027 Materials Boards Longer Longer Mag, Ppr in the ordinary course of Planning Required Required business; GC §34090 Planning Commission, Building Community Board of Appeals, Zoning Department preference; State Develop. / CD -030 Administrator 2 years 2 years Mag, OD law only requires for 30 days; Planning AUDIO RECORDINGS of GC §54953.5(b) Meetings / Audio Tapes Planning Commission, Building Board of Appeals, Zoning Copies - Copies City Clerk CD -031 Administrator When No When No Yes Mag' Mfr, OD, S No Send originals to the City Clerk; Longer Longer P GC §34090.7 MINUTES, BYLAWS & Required Required RESOLUTIONS 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -7 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investi ations suspend normal retention ueriods retention resumes after settlement or completion). Planning Commission, Building Board of Appeals, Zoning Community Administrator Mag' Yes: After Department preference; Original Develop. / CD -029 P P Mfr, OD, S / I QC & OD Staff Reports are filed in the Planning AGENDAS &AGENDA Ppr project file; GC §34090 PACKETS Community Planning Project Log of Department Preference - Data Develop. / CD -032 ApplicationsDatabase , Indefinite Indefinite Yes (all) Mag is 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 -033 Determinations, Staff Reports, 3 years P P Yes Mfr, OD, S Yes: After are required to be kept a 'reasonable Planning Plans & Maps) Ppr QC & OD 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 Changes, etc. Community Special Event Permits / Film Minimum 2 Minimum 2 Develop. / CD -028 Interim Use Permits years years Mag, Ppr GC §34090 Planning 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD -8 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & OC'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act re uests, audits and/or investi ations suspend normal retention ueriods retention resumes after settlement or completion). Community Minimum 2 Minimum 2 Mag' Yes: After Department Preference; GC Develop. / CD -035 Special Studies years years Mfr, OD, S OC & OD §34090 Planning Ppr Temporary Entitlements / Community Temporary Permits (Approved & Yes: Mag, Develop. / CD -036 Unapproved): Minimum 2 Minimum 2 During Mfr, OD, S Yes: After Department preference; Planning years years Event Ppr OC & OD GC§§34090 Christmas Tree Lots, Pumpkin Lots, Banner Permits, etc. City Clerk CD -037 Zoning Maps (Historically P P Yes (all) Mag' Mfr, OD, S No Department Preference; GC Significant) §34090.7 Community Zoning Ordinance Amendments, Mag' Yes: After Department Preference Develop. / CD -038 Reclassifications / Zone Change P P Yes Mfr, OD, S / I 1 year (copies); GC §34090.7 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 4.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion . ECONOMIC DEVELOPMENT / REDEVELOPMENT / SUCCESSOR AGENCY Economic Development Projects, Economic ED -001 Programs, Subject & Issues Minimum 2 Minimum 2 Mag'p Ppr Department Preference; GC Develop. (Issues and/or projects will vary years years §34090 over time) MCAS Tustin Legacy Closure & Reuse / Tustin Base Closure & Reuse Records (Historically Economic ED -002 Minimum 2 P P Mag, Mfr, S / I Yes: After Department Preference for Develop. Significant) - Original Records years OD, Ppr QC & OD Historical Purposes; GC §34090 Only (Final Studies / Environmental Documents etc. Economic ED -003 Redevelopment Plans P P Mag, Mfr, S / I Yes: After Department Preference for Develop. OD, Ppr QC & OD Historical Purposes; GC §34090 Redevelopment Projects & Project Planning, Building and Areas Engineering retains final (Ensure Planning has all documents of construction Economic ED -004 Environmental Documents Completion Completion Mag, Mfr, S / I Yes: After projects (transfer any CIP Develop. , Engineering has all CIP Projects, + 10 years + 10 years OD, Ppr QC & OD project files to Engineering); and City Clerk has all Real Covers various Statute of Property records for Permanent Limitations; CCP §337 et seq.; retention) GC §34090 Tustin Legacy Development Economic ED -005 Minimum 2 P P — Map, Mfr, S / I Yes: After Department Preference for Proiects (MCAS) - Original Records Only Develop. years OD, Ppr QC & OD Historical Purposes; GC 634090 TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 4.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion . HOUSING DIVISION Economic Foreclosure Notices / Notices of When No WhenNo Preliminary drafts not retained in Develop. / ED -006 Defaults (NOD) - Not related to a Longer Longer Mag, Ppr the ordinary course of business; Housing City Loan /Case File Required Re wired GC §34090 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, Affordability restrictions are 5 years after the CDBG-funded Housing Projects, Period Period affordability period terminates; Economic etc. Terminates,Terminates, Uniform Admin. Requirements Develop. / ED -007 5 years or the or the Mag, Mfr, S / I Yes: After for Grants to Local Governments Housing WITH a Recapture I Resale Written Written OD, Ppr QC & OD is 3 years from expenditure Restriction Agreement Agreement gUid „R 86- report; statewide Terminates, Terminates, prepese 4 dears 2 CFR Deeds are sent to City Clerk Whichever is Longer Whichever 200.333: 24 CFR Q& , is Longer 92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, GC §34090 HUD requires 5 years after the Housing Programs: Affordable project completion; documents Housing Projects, Rehabilitation, imposing recapture/ resale CDBG-funded Housing Projects, restrictions are 5 years after the etc. Loan Pay-off Loan Pay -of affordability period terminates; Economic OR OR Mag, Mfr, Yes: After Uniform Admin. Requirements Develop. / ED -008 WITHOUT a Recapture / Resale Forgiveness Forgiveness OD, Ppr S / I QC & OD for Grants to Local Governments Housing Restriction + 5 years + 5 years is 3 years from expenditure report;statewide guid „R P•epese 4 y�T2 CFR Deeds and Insurance are sent to 200.333; 24 CFR °& City Clerk 92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, 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: 12/19/2017 DocuSign Envelope ID:343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 4.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED -3 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 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.g.last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, com laints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Loan Applications / Potential Economic Buyers Denied, Cancelled or Develop. / ED -009 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -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) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). FINANCE / ACCOUNTING Department Preference; IRS: 4 years after tax is due or paid Finance / (longer for auditing & contractor Accounting FIN -001 1099's / 1096's 2 years 3 years 5 years Mag, Ppr delinquency); Ca. FTB: 3 years; IRS Reg §31.6001-1(e)(2), R&T §19530, GC §34090; 29 USC 436 Accounts Payable / Invoices and Backup Department Preference (meets Finance / FIN -002 2 years 3 years ' 5 years - Yes: Until Mag, Mfr, S / I Yes: After municipal government auditing Accounting (Includes Invoices, Travel Paid OD, Ppr QC & OD standards); GC §34090 Expense Reimbursements, Check Request, etc.) Assessment Rolls / Lighting and Department preference; Meets Finance / FIN -003 Landscape Districts / Special 5 years 5 years Mag, Ppr auditing standards; GC §34090 Accounting District Assessment Rolls (to Tax et seq. Assessor for Tax Rolls) Audit Commission Brown Act challenges must be Finance / FIN -004 Minimum 2 Minimum 2 Mag, Ppr filed within 30 or 90 days of Accounting AGENDAS, AGENDA years years action; GC §§34090, PACKETS. 54960.1(c)(1) Audit Commission Department preference; State Finance / FIN -005 2 years 2 years Mag, OD law only requires for 30 days; Accounting AUDIO RECORDINGS of GC §54953.5(b) Meetings /Audio Tapes Audit Commission Copies - Copies - City Clerk FIN -006 When No When No Yes Mag, Mfr, S No Send originals to the City Clerk; MINUTES &BYLAWS Longer Longer OD, Ppr GC §34090.7 Required Required TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Audit Commission Department Preference; Video Finance / FIN -007 10 years 10 years Mag, OD recording of meetings are only Accounting VIDEO RECORDINGS of required for 90 days; GC 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 / FIN -009 Audit Work Papers 2 years 3 years 5 years Mag, Ppr standards); Statewide guidelines Accounting propose audit + 4 years; Published articles show 3 - 7 years; GC §34090 Bank Statements and Trustee Statements, Fiscal Agent Department Preference; meets Finance / FIN -010 Statements, Investment Account 2 years 3 years 5 years Mag, Ppr auditing standards; GC §34090, Accounting Statements, Bank 26 CFR 31.6001-1 Reconciliations, Bank Deposits, Bank Transmittal Advice Department Preference; Statute Bonds (Revenue) Official of Limitations for bonds, Statements / Transcripts / mortgages, trust deeds, notes or Certificates of Participations Full y Fully 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 1'0 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -3 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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods 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 Fiscal Year OD, Ppr days §34090 et seq. Finance / Budgets - Preliminary, Proposed, When No When No Accounting FIN -013 Backup Documents Longer Longer Mag, Ppr Preliminary drafts; GC §34090 Required Required Department preference; All tangible property held by Finance / Escheat (Unclaimed money/ government agencies escheats Accounting FIN -014 uncashed checks) 5 years 5 years Mag, Ppr after 3 years; Statute of Limitations is 1 year for seized property; CCP §§340(d), 1519; GC §34090 Finance / FIN -015 FEMA Reimbursement/ OES 1 year 9 years 10 years Mag, Ppr Department Preference; GC Accounting Reimbursements §34090 Finance / FIN -016 Financial Services Database Indefinite 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -4 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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Department Preference; Meets Investments / Arbitrage / auditing standards; Published Certificate of Deposit / articles show disposal + 7 years Finance / FIN -018 Investment Bonds (Receipts / 5 years 5 years Yes: Until Mag, Ppr for security brokerage slips; Accounting Advisor Reports / Trade Tickets / Paid statewide guidelines propose LAIF (Local Agency Investment permanent; FTC Reg's rely on Fund)) "self -enforcement'; GC§§ 34090, 43900 Department Preference; meets municipal government auditing Finance / FIN -019 Journal Entries / Journal 2 years 3 years 5 years Mag, Mfr, S / I No standards; Statute of Limitations Accounting Vouchers OD, Ppr is 4 years; statewide guidelines propose Audit + 5 years; GC §34090, CCP § 337 Reports, Subsidiary Ledgers, Reconciliations, Registers, Department preference (The Finance / Transaction Histories, Balance When No When No Financial System Database is Accounting FIN -020 Sheets, Revenue & Expenditure Longer Longer Mag, Ppr the original; reports are Reports, etc. (MONTHLY OR Required Required considered drafts or copies); GC PERIODIC) §34090 Reports: Annual State or Federal: State Controller's Finance / FIN -021 Report, Local Government 2 years 3 years S years Mag, Mfr, S/ I Yes: After Department Preference; Meets Accounting Compensation Report, Gas Tax, OD, Ppr QC & OD auditing standards; GC §34090 MOE (Maintenance of Effort) Report, Street Report, etc. Finance / Transportation Audits / PERS Department Preference (meets Accounting FIN -022 Audit, etc. 5 years 5 years Mag, Ppr municipal government auditing standards); 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention perio,ds retention resumes after settlement or completion). Finance / FIN -023 Treasurer's Reports & Backup 2 years 3 years 5 years Mag, Ppr Department Preference; GC Accounting §34090 Department Preference (meets municipal government auditing Finance / FIN -024 W -9s Minimum 5 Minimum 5 Yes: Until Mag, Mfr, S / I Yes: After standards); Statewide guidelines Accounting years years Paid OD, Ppr QC & OD propose audit + 4 years; Published articles show 3 - 7 ears; GC §34090 BUSINESS LICENSE UTILITY BILLING & REVENUE Finance / Business Accounts Receivable - Department preference; Meets License, FIN -025 Miscellaneous - Damage to 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Public Property, Invoices to OD, Ppr QC & OD et seq. Billing & Outside Entities, etc. Revenue Finance / Business Department preference; Meets License, FIN -026 Accounts Receivable - Utility 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Billing, etc. OD, Ppr QC & OD et seq. Billing & Revenue Finance / Business When No When No Preliminary drafts not retained in License, FIN -027 Bankruptcies - NOT pursued Longer Longer Mag, Ppr the ordinary course of business; Utility Required Required GC §34090 Billing & Revenue TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -6 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods 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 Finance / Billing Registers, Payment When No When No Business License & Permit Accounting FIN -029 Registers, Adjustment Registers Longer Longer Mag, Ppr Database is the original; reports Required Required are considered drafts or copies); GC §34090 Finance / 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 When No When No License, FIN -032 Business License Renewals Longer Longer Mag, Ppr Department preference Utility Required Required (Preliminary drafts); GC §34090 Billing & Revenue TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -7 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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Finance / Business Cash Receipts / Daily Cash Department preference; Meets License, FIN -033 Summaries / Cashiers Reports / 1 year 4 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Cash Reports / Petty Cash OD, Ppr QC & OD et seq. Billing & Revenue Finance / Business Department Preference; meets License, FIN -034 Checks / Warrants (Cashed / 2 years 5 years 7 years Mag, Mfr, S / I Yes: After municipal government auditing Utility Paid) OD, Ppr QC & OD standards; GC §34090, CCP § Billing & 337 Revenue Finance / Business Collections /Collection Agency Department preference; License, FIN -035 Case Files & Statements / 7 years 7 years Mag, Ppr Delinquencies remain on credit Utility Delinquent Accounts reports for 7 years; GC §34090 Billing & et seq. Revenue Finance / Business License, FIN -036 Returned Checks / NSF Checks 5 years 5 years Mag, Ppr Department Preference; Meets Utility auditing standards; GC §34090 Billing & Revenue Finance / Business When No When No Preliminary drafts not retained in License, FIN -037 Stubs / Payment Coupons Longer Longer Mag, Ppr the ordinary course of business; Utility (returned with payment) Required Required GC §34090 Billing & Revenue TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -8 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Finance / Business When No When No Preliminary drafts not retained in License, FIN -038 Turn Ons and Turn Offs Longer Longer Mag, Ppr the ordinary course of business; Utility Required Required GC §34090 Billing & Revenue Finance / Business Utility Adjustment Slips / Meter Department preference; Meets License, FIN -039 Mis-reads, Credits / Debits to 2 years 3 years 5 years Mag, Mfr, S / I Yes: After auditing standards; GC §34090 Utility Accounts OD, Ppr QC & OD et seq. Billing & Revenue Finance / Business License, FIN -040 Utility Billing Database Indefinite Indefinite Yes Mag Data Fields / Records are Utility interrelated; GC §34090 Billing & Revenue Finance / FIN -050 Water Billing: Appeals - Payment Final Final Mag, S Yes: After Documented or attached to Accounting Delinquency &Impending Decision + 2 Decision + 2 Ppr, Mfr, QC & OD Customer Record in database Discontinuation years years OD GC 434090: H&S &116908 Finance / FIN -051 Water Billing: Non-payment When No When No Mag, Ppr, Mfr, S Yes: After Documented or attached to Notices / Notice of Payment Longer Longer Customer Record in database Accounting Delinquency & Impending Required Required QC & OD GC §34090: H&S §116908 OD Discontinuation (Initial. Final) Finance / FIN -052 Water Billing: NSF Checks/ When No When No Mag, Ppr, Mfr, S Yes: After Documented or attached to Adjustments to Customer Longer Longer Customer Record in database Accounting QC & OD accounts Required Re uired OD GC § 11 34090: H&S §6908 TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -9 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Water Billing: Payment Plans: Expiration or Expiration or Mag, Documented or attached to Completion Completion Finance / FIN -053 Amortization, Alternative Ppr, Mfr, S Yes: After Customer Record in database Accounting Payment Plans, Deferrals, etc. of Payment of Payment OD QC & OD GC §34090; H&S §116910 Plan Plan Water Billing: Policy on When When Maq, Finance / FIN -054 Discontinuation of Residential Superseded Superseded; Ppr, Mfr, S Yes: After Must post to Website; H&S §116906; GC §34090 Accounting Service for Nonpayment Minimum 2 years Minimum 2 ears OD QC & OD Finance / FIN -055 Water Billing: Reportof Annual Minimum 2 Minimum 2 Maq, S Yes: After Must post to Website; H&S Accounting Discontinuations of Residential years years Ppr, Mfr, QC & OD §116918; GC §34090 Service OD PAYROLL Finance / Auto Pay Authorization Forms / Department Preference; GC Payroll FIN -041 Direct Deposit Authorizations 2 Years 3 years 5 years Mag, Ppr §34090 Finance / CaIPERS Reports - Annual Department Preference; GC FIN -042 Valuation Reports, Actuarial 2 years 3 years 5 years Mag, Ppr Payroll Valuation Reports §34090 DE -6, DE -7, DE -9, DE -43, W-3, & Department Preference; IRS: 4 DE -166, 941 Forms, IRS 5500 Forms (Employee Benefit Plans), yrs after taxis due or paid; Finance / FIN -043 PERS / FICA & Medicare 2 years 3 years 5 years Mag, Ppr 7 FTB: 3 years; Articles show 7 Payroll Adjustments - Quarterly Payroll years; 26 CFR 016. 2), Tax Returns / OASDI, Federal R&T §19530; 299 CFR - FR - Tax Deposits, Adjustments, etc. C §35 516.6, 29 USC 436, GC §34090 Finance / FIN -044 Deferred Compensation (457) 2 years 3 years 5 years Mag, Ppr Department preference; GC Payroll Reports, Registers §34090 Finance / When No When No Preliminary drafts not retained in FIN -045 Employment Verifications Longer Longer Mag, Ppr the Regular Course of Business Payroll Required Required 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Department preference; IRS Payroll Benefit Files / Regulation for W -4s is four Administration Forms (W -4s, years after the due date of such Finance / FIN -046 Changes, Personnel Action Form Separation + Separation + Yes Mag, Mfr, S / I Yes: After tax for the return period to which Payroll copies, Vacation pay-off 5 years 5 years OD, Ppr QC & OD the records relate, or the date requests, etc.) such tax is paid, whichever is the later. 26 CFR 31.6001-1; GC §34090 Finance / Payroll Journals / Payroll Mag, Mfr, Yes: After Department preference for Payroll FIN -047 Registers / Pay Day Registers 2 years 48 years 50 years OD, Ppr S / I QC & OD CalPERS buy-back purposes; GC §34090 Department preference; Meets auditing standards (audit + 4 years); IRS requires 4 years; Ca. requires 2 yr min.; FTB keeps 3 years; Most Employees provide Finance / Mag, Mfr, Yes: After digital signatures when they Payroll FIN -048 Time Cards / Time Sheets 2 years 3 years 5 years OD, Ppr S / I QC & OD submit their timecards, but some in Public Works and Community Services do not (another employee enters their time); IRS Reg §31.6001-1(e)(2), R&T §19530; LC § 1174(d); 29 CFR 516.5; GC §34090 TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -11 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 C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi fons sus end normal retention periods retention resumes after settlement or completion). Department Preference; IRS: 4 yrs after tax is due or paid; Ca. Finance / FTB: 3 years; Articles show 7 Payroll FIN -049 W -2's 2 years 3 years 5 years Mag, Ppr years; IRS Reg §31.6001- 1(e)(2), R&T §19530; 29CFR 516.5 - 516.6, 29USC 436, GC §34090 TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). HUMAN RESOURCES Background File / Recruitment Human File -Police Applicants Hiring Hiring Department preference; 29 Resources HR -024 Emplo aCFR &Police Decision + 3 Decision + 3 Mag, Ppr 1602.31 & 1627.3(b)(ii), PeNse I PD 07g Volunteers years years GC §§ 3105, 12946, 34090; Tr-aiRiRg (UNSUCCESSFUL) 29 USC 1113 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 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Bureau of National Affairs recommends 2 years for all supplementary Personnel Human HR -003 Compensation Surveys & Minimum 3 Minimum 3 MagP r ' 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 "fully Resources or EEOC) Claims 3 years 3 years years after and finally disposed'; 2 CCR 11013(c); o GGR 7287.0; GC §§12946, 34090 When When Human HR -005 DMV Pull Notices (Except Superseded, Superseded, MagP r ' p Department preference (Not Resources Police) or Upon or Upon City Records); GC §34090 Separation Separation 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -3 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Department preference; D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC/FLSA/ADEA (Age) Human HR -006 Drug & Alcohol Test Results 5 years 5 years Mag Ppr requires 3 years physical Resources (All -Positives and Negatives) examinations; State Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 34090; 49 CFR 655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71 Human HR -023 EEOC Reports, EEO -4 Reports 3 years 3 years Mag, Ppr 29 CFR 1602.30; 29 CFR Resources 1602.32 Human HR -007 Employee History Cards P P Mag, Ppr Department preference; GC Resources ("White Card") §§12946,34090 Department Preference for consistency with Personnel Files; 29 CFR 1602.31 & Human Resources HR -025 Employee Investigation Files Separation + Separation + Mag. Ppr (excludes Police) 6 years 6 years 1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113; LC §1198.5 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: 12/19/2017 DocuSign Envelope ID:343lF6CE-8632-432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -4 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active (in office) Inactive (Records Center) Total Retention Vital? Media Options Image: 1=Import M=Mfr S=Scan Destroy Paper after Imaged & 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.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). State requires for at least 5 years for civilian complaints; other State & Federal laws require retention until final disposition of formal Human Resources H R-026 PID 023 Employee Investigation and Final Disposition + Final Disposition + Mag, Ppr complaint: State requires 2 Disciplinary files involving years after action is taken; Penne IPs14 Police Department personnel 5 years 5 years Statute of Limitations is 4 years after the discovery of the offense for misconduct in office: PC 801.5, 803(c): EVC § 1045(b)(1). GC 4412946, 34090: VC &2547 Non -citizens must re -certify periodically; Required for 1 year from termination or 3 years from hiring, whichever is later; EEOC / FLSA / ADEA Human Resources HR -008 I -9s Separation + 3 years Separation + 3 years Mag Ppr (Age) requires 3 years for any other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29 CFR 1627.3(b)(1); 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -5 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend 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 GGR§32n4(d)(1) .tseq GC §§12946, 34090; oo 1 12G „�2 Labor Relations Files Human HR -010 (Negotiation Notes, 5 years Minimum 5 Minimum 10 Mag, Mfr, S / I Yes: After Department Preference; GC Resources Correspondence, Interpretation years years OD, Ppr QC & OD §34090 of MOU Provisions, Documentation, etc.) Human Livescan Results for Upon Upon Department preference (Not Resources HR -011 Contracted Course Instructors Separation or Separation or Mag, Ppr City Records); GC §34090 or Custodial Staff 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -6 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Department Preference; Personnel Files - Employee I statute of limitations for File retirement benefits is 6 years from last action; Includes Application, EEOC/FLSA/ADEA (Age) Human Evaluations, Policies, Oaths of Separation + Separation + requires 3 years for Resources HR -012 Office, PAFs (Personnel 6 years 6 years Mag, Ppr promotion, demotion, Action Forms), 1095-C form, transfer, selection, or Separation Agreements, discharge; State Law requires Background Investigation files 2 -3 years; 29 CFR 1602.31 etc. & 1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113 LC §1198.5 Whichever Whichever is is Longer: Longer: Separation Separation + Department preference; Files Personnel Files - Medical File + 24 years; 30 years; OR maintained separately; (all employees) OR Termination Claims can be made for 30 Human Separation + Termination of Benefits + Yes: Until Mag, Mfr, Yes: After years for toxic substance Resources HR -013 Pre-employment Medical 6 years of Benefits + 5 years; 5 years; OR Separation OD, Ppr S Separation + exposure; 8 CCR 5144, 8 Clearances, ADA 1 year CCR 15400.2_8 CCR Death of Accommodations, Respirator OR Death o Employee + Em + to ee 5 §3204(d)(1) et seq., 29 CFR Fit Tests, etc. 1910.1020(d)(1)(i), GC 5 years Wn.o,.r., yep iS-LengeF years §§12946,34090; LC §1198.5 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -7 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Recruitment and Testing File Department preference; (Includes Advertisements, EEOC / FLSA / ADEA (Age) Applications for Unsuccessful requires 1-3 years; State Law Human Candidates, Background Hiring Hiring requires 2 - 3 years; 29 CFR Resources HR -014 Investigations (Unsuccessful Decision + 3 Decision + 3 Mag, Ppr 1627.3(b)(1), 29 CFR Candidates), Interview Notes, years years 1602.14 et seq. 2 CCR Job Brochures, Test Data, 11013(c); 2 CCR Testing Analysis & statistical 7287.0(c)(2), GC §§12946, Metric, Job Analysis, Rating 34090 Sheets, Scantrons, etc.) Department preference: Per NeoGov Policv: 29 CFR 1627.3(b)(1), 29 CFR Human HR -027 Recruitment Database 5 years S� e� Resources NeoGov 1602.14 et seg.2 CCR 11013(c); GC §§12946, 34090 Studies & Surveys Conducted When No 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.) Required Required course of business; GC §34090 Human HR -016 Workers Compensation Claim 5 years 5 years Mag Ppr Meets auditing standards; GC Resources Runs / Monthly Reports §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -8 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Whichever Whichever is is Longer: Longer: Separation Separation + Department preference; Files + 20 years; 30 years; OR maintained separately; Workers Compensation Claims OR Termination Claims can be made for 30 Human / Long Term Disability Claims Separation + Termination of Benefits + Yes: Until Mag, Mfr, Yes: After years for toxic substance Resources HR -017 (Includes all Accident, Incident, 10 years of Benefits + 5 years; 5 years; OR Separation OD, Ppr S QC & OD exposure; 8 CCR 5144, 8 or Injury Reports from CCR 15400.2; 8 CCR Death of Employees)OR Death o Employee +1910.1020(d)(1)(i), Employee + 5 3204 d 1 et se 29 CFR § ()() q" GC 5 years is LengeF years §§12946,34090 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.) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 12.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -9 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in 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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Claim must be filed within 1 year, lawsuit within 2 years; complaints against peace officers within 5 years; Resolution + Yes: Until Mag, Mfr, Yes: After Statute of Limitations for Risk Manag. HR -019 Claims Resolution 5 years 5 years - Resolution OD, Ppr S Settled contracts is 4 years; wrongful death for construction is completion + 5 years; CCP §§ 337 et seq.; GC §§ 911.2, 945.E 34090, 34090.6; PC §832.5(b) Risk Manag. HR -020 Insurance Polices (City -owned P P Mag, Mfr, S / I Yes: After Department Preference; GC policies) OD, Ppr QC & OD §34090 Risk Manag. HR -021 JPA / JPIA Reports / General 5 years 5 years Mag, Ppr Department Preference; GC Liability Claim Runs §34090 Calif. Labor Division is OSHA Logs - 200, 300, 301, required to keep their records Risk Manag. HR -022 OSHA Inspections, 5 years 5 years Mag, Mfr, S Yes: After 7 years; OSHA requires 5 Citations Cit OD, Ppr QC & OD years; State law requires 2 years; 8 CCR §3203(b)(1), GC §34090.7; LC §6429c 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT -1 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion . INFORMATION TECHNOLOGY 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 tapes; GC §34090 et seq. Information IT -008 Enterprise System Catalogue 2 years 2 years Mag, Ppr GC §34090 Technology (posted on—line) Information Network Configuration Maps & When No 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 - Department Activity (Employees Performing Information Work, Cashiering, Building Technology IT -006 Security, etc.) 1 year 1 year Mag GC §34090.6 et seq, See City Clerk's schedule for City Council Video Recordings TUSTIN, CA 01995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 5.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT -2 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion . 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 Video Recordings - Public Information Activity (Parks, Public Areas, etc.) When No When No Does not record regular ongoing Technology IT -005 Longer Longer Mag operations of the City; GC See City Clerk's schedule for City Required Required §34090.6 et seq. Council Video Recordings For legal compliance for WORM I DVD -r / CD -r I Blue Ray- Trustworthy Electronic Records Information IT -007 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, 2 CCR 22620 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 6.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-1 Office of Retention No. Records Description Retention I Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PARKS & RECREATION SERVICES Parks & P&R-001 Registration Database (CivicRec / Indefinite Indefinite Mag Department Preference; data is Recreation Class / Active Net) interrelated; GC §34090 Activity / Special Programs / When No When No Special Event /Trips er Parks & P&R-002 Required - Requer ired - Mag, Ppr Department preference; GC Recreation Children's Programs, Cultural Arts, Minimum 2 Minimum 2 §34090 Sports, Seniors, Filming, Theatre Programs etc. years years Community Services Commission, Parks & P&R-003 Public Art Committee Minimum 2 Minimum 2 Mag, Ppr Department preference; GC Recreation years years §34090 AGENDAS, AGENDA PACKETS. Community Services Commission, Parks & Public Art Committee Department preference; State Recreation P&R-004 2 years 2 years Mag, OD law only requires for 30 days; AUDIO RECORDINGS of Meetings GC §54953.5(b) / Audio Tapes Community Services Commission, Copies - Copies - Mag' City Clerk P&R-005 Public Art Committee When No When No Yes Mfr, D, S No Send originals to the City Longer Longer Pp Clerk; GC §34090.7 MINUTES & BYLAWS 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 6.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-2 Office of Retention No. Records Description Retention I Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complain claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). When No When No Department Preference Parks & P&R-006 Evaluations / Surveys (Program Longer Longer Mag, Ppr (Transitory record not retained Recreation Evaluations) Required Required in the ordinary course of business); GC §34090 Parks & Facility Use Permits / Field Use Expiration + 2 Expiration + Yes: Recreation P&R-007 Permits years 2 years Before Mag, Ppr GC §34090 Event Parks & P&R-008 First Aid Reports / Minor Incident 2 years 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 Parks & Master Plans: Parks Master Plans, Mag' Yes: After Department Preference; GC Recreation P&R-010 etc. P P Mfr, P D, S / I OC & 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 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 6.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-3 Office of Retention No. Records Description Retention I 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 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complain claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Department preference (meets Parks & P&R-014 Scholarship Applications 5 years 5 years Mag, Ppr municipal government auditing Recreation standards); GC §34090 Parks & P&R-015 Season Brochures / Recreation P P Mag, Ppr Department Preference; GC Recreation Brochures §34090 Parks & P&R-016 Senior Advisory Board - ALL 2 years 2 years Mag, Ppr GC §34090 Recreation Records Parks & When No When No Longer Longer Recreation P&R-023 Staff Schedules / Work Schedules Mag, Ppr Preliminary Drafts; GC § 34090 Required Required Parks & P&R-017 Transportation Applications for Inactive + 2 Inactive + 2 Mag, Ppr GC § 34090 Recreation Service (Dial -a -Ride, etc.) years years Parks & Transportation Dispatch System / Department preference; GC §§ Recreation P&R-018 Dial -a -Ride Database Indefinite Indefinite Mag, Ppr 34090 & 26202 Parks & When No 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 6.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-4 Office of Retention No. Records Description Retention I Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & 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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complain claims, public records act requests, audits and/or investi ations suspend normal retention eriods 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, requires 3 years for promotion, Parks & P&R-021 (includes emergency contact Separation + Separation + Mfr, OD, S Yes: 1 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 CCR §3204(d)(1) et seq., GC §§12946, 34090; 29 USC 1113 Parks & P&R-022 Waivers of Liability 2 years "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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -1 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). POLICE 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 Police / W hen When Chief / PD -003 DMV Pull Notices (Police Only) Superseded, Superseded, Mag, Ppr Department preference (Not City Admin. or Upon or Upon Records); GC §34090 Separation Separation Police / Chief / PD -004 EOC Activations & Drills 10 years 10 years Mag, Mfr, S / I Yes: After Department Preference; GC Admin. OD, Ppr QC §34090 Police / Chief / PD -005 Neighborhood Watch 2 years 2 years Mag GC §34090 et seq. Admin. Police / Chief / Personnel Files - Police Separation + Separation + Before Mag, Mfr, Yes: After City preference; 29 CFR 1602.31 Admin. PD -080 Department Employees -f iRiRg 5 years 5 years Separation OD, Ppr S/M/I QC & OD & 1627.3(b)(ii), GC §§ 3105, T il T(By Employee) Files 12946, 34090; 29 USC 1113 CAD I DISPATCH Department Preference Audio Recordings or Tapes - (consortium standard); Statewide Police / (CAD/RMS) Recordings of guidelines propose 180 days Commun. PD -006 Telephone & Radio 1 year 1 year Mag (legally mandated for 100 days); Communications Dispatch Tapes (may be discoverable or made (CAD) public in some circumstances), GC §§34090, 34090.6 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -2 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). DETECTIVE BUREAU Informant information; Does not Police / Minimum 5 Minimum 5 contain criminal intelligence Detectives PD -007 Informant Files (Gangs) Mag, Ppr information concerning years years individuals; Department preference GC §34090 Files contain criminal intelligence information concerning an individual only if there is reasonable suspicion that the individual is involved in criminal conduct or activity and the Police / PD -008 Intelligence Files (Criminal No Longer No Longer Mag, Mfr, S / I Yes: After information is relevant to that Detectives Intelligence Files) than 5 years than 5 years OD, Ppr QC & OD criminal conduct or activity. Misleading, obsolete or unreliable information is required to be destroyed; remaining records must not be retained longer than 5 years; 28 CFR 23.20(h); GC §34090 Police / Investigation Files and Arrest Transfer to Transfer to Final reports and records are Detectives PD -009 Files Records Records Mag, Ppr transferred to the case file stored in Records; GC §34090 et seq. Police / Detectives PD -010 Narcotics Buy Fund Logs 2 years 2 years Mag GC §34090 et seq. Police / Regulatory Permits & Expiration + Expiration + Department preference; GC Detectives PD -011 Backgrounds (Solicitors, 2 years 2 years Mag, Ppr §34090 et seq. Massage, Taxi, 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -3 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PATROL 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 3 years 3 years §32003(e), PC §597.1(d); GC Animal Files §34090 et seq. Police / Canine (Police Service Dogs) Department preference; GC Patrol PD -013 Program Files: Action Reports, 5 years 5 years Mag, Ppr §34090 et seq. Monthly Reports Police / PD -014 Citations - Parking & Moving Minimum 2 Minimum 2 Mag, Ppr Department preference; GC Records years ears §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; GC §34090 et seq. Police / PD -016 PAS Device Calibration Logs 5 years 5 years Mag, Ppr Department preference; GC Patrol §34090 et seq. Police / Department preference (used in Patrol PD -017 Ride -A -Long Waivers 3 years 3 years Mag CLETS Audits); GC §34090 et seq. Preliminary drafts not made or retained for the purpose of Police / PD -018 Special Events /Ops Plan Minimum 2 Minimum 2 Mag, Mfr, S / I Yes: After preserving the informational Patrol years years OD, Ppr QC & OD content for future reference; GC §34090, GC §6252; 64 Ops. Cal. Atty. Gen. 317 (1981)) Police / PD -019 Traffic Control: Radar 2 years 2 years liil Mag, Ppr GC §34090 et seq. Patrol Calibration 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -4 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). 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 seq. Department preference; Police / PD -021 Watch Commander Logs 2 years 2 years Mag Preliminary drafts not retained in Patrol the ordinary course of business; GC §34090 et seq. PROFESSIONAL STANDARDS UNIT Police / Background File / Recruitment City preference; 29 CFR PSU PD -078 File - Police Employees & Separation + Separation + Mag, Ppr 1602.31 & 1627.3(b)(ii), GC §§ TFaiRiRg Police Volunteers 5 years 5 years 3105, 12946, 34090; 29 USC (SUCCESSFUL) 1113, 2 CCR 11013(c); 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 civilian ri«�^^'S complaints; Internal Affairs Investigations - other State & Federal laws Involving Police Department require retention until final Personnel lRdiViall^' ^'F^^•^ Final Final disposition of formal complaint; Police / PD -023 r,....plaiRts A,...,....« OffiG .. Disposition Disposition Mag, Ppr State requires 2 years after PSU -'5 years + 5 years action is taken; Statute of (May include criminal acts, moral Limitations is 4 years after the turpitude, complaints generated discovery of the offense for from a civilian e407eR) misconduct in office: PC 801.5. 803(c) ; EVC § 1045(b)(1), GC §§12946, 34090; VC §2547 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -5 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Police / PD -024 Internal Pursuit Critiques Incident + 5 Incident + 5 Mag, Ppr Department preference; GC PSU years ears §34090 et seq. Police / PD -025 Pitchess Motions Notifications 2 years 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) Police / Department preference; GC PSU PD -027 Range Qualifications 5 years 5 years Mag, Ppr §34090 et seq. Report of data regarding the number, type, or disposition of Police / PSU PD -083 2 years Mag. Ppr GC &34090 et seg. complaints made against its officers (optional) Police / PD -028 Use of Force Review Incident + 5 Incident + 5 Mag, Ppr Department preference; GC PSU ears ears §§12946,34090 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 OD, Ppr year §34090 Evidence Evidence Police / Property & PD -030 Forfeiture Notification 2 years 2 years Mag, Ppr GC §34090 Evidence Police / Gun and Narcotics Destruction Minimum 2 Minimum 2 Department Preference; GC Property & PD -031 Log (Documents related to) years years Mag, Ppr §34090 Evidence Police / Lost &Found Property rty Property & PID032(Documents related 2 years 2 years Mag, Ppr GC §34090 Evidence 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -6 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). 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 / Records PD -035 Citations - Marijuana / Cannabis 2 years 2 years Mag, Ppr GC §34090 Fully Paid. Fully Paid. Department preference (the Statute of Limitation for collections is 5 years from the Police / PD -084 Citations - Payment Plans for Mag, Ppr Written off. Written off. outstanding parking citations Records received by indigent persons or Forgiven or Forgiven date of the last violation); CVC + 5 years + 5 years 40222(b); GC §34090 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 age 18; H&S e.g., Domestic Violence, 5150, §11361.5, GC §34090, PC §802, Detention Reports, etc. PC §§187, 800 et seq. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -7 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Individual petitions District Factually Innocent Petition Date of Date of Yes: Attorney; Sheriff concurs that Police / PD -037 Accepted Records Sealed Arrest + 3 Arrest + 3 Before MagMfr, S/M/I Yes: After 3 person is factually innocent, then Records Pending Destruction -Except years years Disposition OD,,Ppr years seals record ("Shall" Destroy); those with outstanding stolen GC §34090; PC §851.8(a) property, including firearms, or lost firearms CRIME REPORTS / INCIDENT Firearm Firearm REPORTS: Found or Found or Police / PD -038 Recovered - Recovered - Yes Mag, Mfr, S/M/I Yes: After 3 PC§ 11108.2(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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -8 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims,ublic records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). REPORTS: IF IMAGED, Homicide. Embezzlement of Public Money, Fraud, Embezzlement Department Preference; DOJ or Falsification of public retains CACI (Child Abuse records, Kidnapping for Central Index) information for Ransom, Fatal Traffic adults 100 years; others have no Police / Accidents, Officer Involved Mag, Mfr, Yes: After 3 limitations on commencement of Records PD -039 Shootings. Aggravated or P P Yes OD, Ppr S/M/I years action; Courts keep permanently Sexual Assault, Others PC §§ 261, 286, 288, 288a, Deemed Appropriate to 288.5, 289, 289.5, 290, 799, Maintain Capital GFimes t- 803(h), 11169 et seq.; 11170(a); H91'Ri..iaes 1 Major Crime- i SPI'in S Feleniec i ee.. CFi...ec r Child Abuse l Fatale 1 Felony DNA ((;F FRGS 9 113jW# to the Death Penalty), SeX GF Fnes (PG WIC 707(b) CRIME REPORTS / INCIDENT Date of Date of REPORTS: Incident+ Incident+ Police Police / 10 years, 10 years, Yes - Mag, Mfr, Yes: After 3 PC §§11169(i); 11170(a); GC Records PD -040 Juvenile Child Abuse or If No If No Before OD, Ppr years §34090 Severe Neglect Subsequent Subsequent Disposition Reports 1 1 Reports 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -9 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Misdemeanor or Infraction - Police / Adult Marijuana / Cannabis - Yes: Mag, Mfr, Yes: After 2 ("Shall" Destroy); H&S §11361.5; Records PD -041 H&S §11357(b)(c)(d)(e) or H&S 2 years 2 years Before OD, Ppr S/M/I years GC §34090 §11360(b) (with procedure in Disposition H&S §11361.5) - Except those with outstanding stolen property, including firearms, or lost firearms CRIME REPORTS / INCIDENT REPORTS: Conviction Conviction Police / Misdemeanor or Infraction - or Arrest (if or Arrest (if Yes: Mag, Mfr, Yes: After 2 (Courts and other Agencies .,Shall" Records PD -042 Juvenile Marijuana / Cannabis No No Before OD, Ppr S/M/I Destroy); H&S §11361.5; H&S §11357(€ -Except those Conviction) Conviction}; Disposition years GC §34090 with outstanding stolen property, + 2 years + 2 years including firearms, or lost firearms CRIME REPORTS / INCIDENT REPORTS: Misdemeanor or Infraction Offender is Offender is (Courts and other Agencies Police / PD -043 Marijuana / Cannabis 18 Years 18 Years Yes Mag, Mfr, S/M/I Yes: After 2 .,Shall" destroy); H&S§ 11361.5 Records §1 1357(d - Juvenile on Old Old ODPpr , years et seq. School Grounds during School Hours (with procedure in H&S 11361.5 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -10 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper after (OFR) (in office) (Records Retention Vital? 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 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. HOLDS: Litigation. com lainis, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Until CLETS Until CLETS CRIME REPORTS / INCIDENT Entry No Entry No Police / REPORTS: Longer Longer Yes: Mag, Mfr, Yes: After 2 Department Preference; GC Records PD -044 Exists - Exists - Before OD, Ppr S/M/I years §34090 Missing Persons (Returned)_L Minimum 2 Minimum 2 Disposition Active CLETS Entries years years CRIME REPORTS / INCIDENT REPORTS: Sealed Adult, Juvenile and Sealing Date Sealed records forjuveniles and Police / Ward Cases -Except those with + 5 years Sealing Date Yes: Mag, Mfr, Yes: After 3 wards of the Court must be Records PD -045 Except Child Abuse or Severe (Or Court + 5 years (or Before OD, Ppr S/M/I years destroyed 5 years after sealing Neglect, (Substantiated), Order) Court Order) Disposition date; CCP §§340.1, GC §34090; W&I §§389(a), 781(d) outstanding stolen property, including firearms, or lost firearms Police / Crime Statistics / Uniform Crime Filed on line with the State; GC Records PD -046 Reports (UCR) - Summaries 2 years 2 years Mag, Ppr §34090 (BCS) Police / PD -047 Due Diligence Reports (for 2 years 2 years Mag, Ppr GC §34090 Records warrants) Police / PD -048 False Alarm Reports Minimum 2 Minimum 2 Mag GC §34090 et seq. Records years ears 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 Police / PD -085 Gang STEP Notice P P Mag, Ppr Department preference; GC§ 34090 et seq. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -11 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). 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; GC §34090 et seq. Police / PD -052 NCIC Validation 2 years 2 years Mag, Ppr GC §34090 Records Officer Recordings: Body -Worn Until Until Tustin Police Department Police / PD -053 Cameras & MAV (Mobile Audio Manually Manually Mag General Orders §446.12; PC§ Records Videos - 1 - Uncategorized Deleted Deleted 832.18(b)(5)(A); GC §34090.6 et seq. Tustin Police Department Officer Recordings: Body -Worn General Orders §446.12; Police / PD -054 Cameras &MAV (Mobile Audio 1 year 1 year Mag Department preference (only 60 Records Videos - 2 -Non-Evidence days is required); PC§ 832.18(b)(5)(A); GC §34090.6 et seq. 2 years 2 years Officer Recordings: Body -Worn Minimum Minimum Tustin Police Department Police / PD -055 Cameras & MAV (Mobile Audio and and Mag General Orders §446.12; PC§ Records Videos - 3 - Detention / Arrest Disposition Disposition 832.18(b)(5)(B)&(C); GC of Criminal of Criminal §34090.6 et seq. Case Case Officer Recordings: Body -Worn Tustin Police Department Police / PD -056 Cameras & MAV (Mobile Audio 5 years 5 years Mag General Orders §446.12; PC§ Records Videos - 4 - Use of Force 832.18(b)(5)(B)&(C); GC §34090.6 et seq. Officer Recordings: Body -Worn Cameras & MAV (Mobile Audio Tustin Police Department Police / PD -057 Videos - 5 - Formal or Informal 5 years 5 years Mag General Orders §446.12; PC§ Records Complaint Against Employee 832.18(b)(5)(B)&(C); GC §34090.6 et seq. or Agency 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -12 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Officer Recordings: Body -Worn Tustin Police Department Police / PD -058 Cameras & MAV (Mobile Audio P P Mag General Orders §446.12; PC§ Records Videos - 6 - Critical Incidents 832.18(b)(5)(B)&(C); GC (OIS, In -custody Death) §34090.6 et seq. Officer Recordings: Body -Worn Tustin Police Department Police / PD -059 Cameras & MAV (Mobile Audio P P Mag General Orders §446.12; PC§ Records Videos - 7 -Homicide 832.18(b)(5)(B)&(C); GC §34090.6 et seq. Officer Recordings: Body -Worn Tustin Police Department Police / PD -060 Cameras & MAV (Mobile Audio P P Mag General Orders §446.12; PC§ Records Videos — 8 - Records or Logs of 832.18(b)(5)(E); GC §34090.6 et Access or Deletion of Data seq. Department Preference to provide information to other Police / agencies; Non -records used for Records PD -061 Pawn Slips 2 years 2 years Mag, Ppr investigations; Originals entered into the State Automated Property System; most agencies retain for 2 years; GC §34090 Police / PD -062 Police RMS Database Indefinite Indefinite Yes Mag Data Fields / Records are Records interrelated; GC §34090 Police / PD -063 Public Records Requests / 2 years 2 years Mag, Ppr GC §34090 Records Information Requests - Police Department preference; Pursuant to PC §457.1 et seq.; required to Police / PD -064 Registrants: Arson -Adults 5 years P P Mag, Mfr, S/M/I Yes: After register for life; If released from Records OD, Ppr OC & OD CYA, records are destroyed after age 25 or sealing 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -13 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Pursuant to PC §457.1 et seq.; If Police / Registrants: Arson - Juveniles Age 25 or Age 25 or Mag, Mfr, Yes: After released from CYA, records are Records PD -065 released from California Youth Sealing Date Sealing Date ODPpr , S/M/I OC & OD destroyed after age 25 or sealing Authority + 5 years + 5 years pursuant to W&I §781; GC §34090.7 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 et seq., H&S §11594(a) Department Preference; After 2021, Offenders can petition Court for removal 10 or 20 years Police / PD -067 Registrants: Sex Offenders - P P Mag, Mfr, S/M/I Yes: After Records Adults OD, Ppr OC & OD after offense, provided there are no subsequent offenses: Pursuant to PC §290 et seq. Department preference; After 2021. Offenders can petition P P Court for removal 10 or 20 years Police / Registrants: Sex Offenders - or Sealing or Sealing Mag, Mfr, Yes: After after offense, provided there are Records PD -068 Juveniles Date + 5 Date + 5 OD, Ppr S/M/I OC & OD no subsequent offenses: years (or years (or Court Order) Court Order) Pursuant to PC §290 et seq.; W&I §781f!jl Police / When No When No Preliminary drafts not retained in Records PD -069 Repossession Notices Longer Longer Mag, Ppr the ordinary course of business; Required Re uired GC §34090 Police / PD -070 Subpoenas (Personal 2 years 2 years Mag, Ppr GC §34090 Records Appearance or Duces Tecum) Police / Records PD -071 Subpoenas (Records) 2 years 2 years Mag, Ppr 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -14 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation. com laints, claims, public records act reqnests, audits and/or investi ations sus end normal retention periods retention resumes after settlement or completion). Police / Video Recordings - Parking When No When No Does not record "regular and Records PD -072 Lots, Public Areas Longer Longer Mag ongoing operations'; GC Required Required §34090.6 Police / PD -073 Video Recordings - Police 1 year 1 year Mag Records "regular and ongoing Records Operations operations'; GC §34090.6 Police / PD -074 Warrants (Recalled or Served) 2 years 2 years Mag Department preference;; GC Records I I I I 1 1 §34090 et seq. TEMPORARY HOLDING FACILITY Police / Jail PD -075 Doaily Inspection Log, Juvenile 2 years 2 years Mag, Ppr GC §34090 Police / Jail PD -076 Monthly Counts, Official Counts 2 years 2 Vears Mag, Ppr GC §34090 Police / Jail PD -077 Video Recordings (Temporary 1 year 1 year Mag GC §34090.6(a) Holding Facility) TRAINING RAl16e-� TFaiiin§ PID � BaGI(.....URd Cil.. l RPGF-1itFR....4 File 9IiGe Employees Police Veluntee... (SUCCESSFUL) S OR S ��_���p�� 1°'�"J� PPF Gity pFefeFenee; 29 GFR 1602.31 s. 1627 zitivii\ GG cc 3105 -1394a 34090. 39 1 SG 1112 2 GGR -11043(0a Pe'mee TFaining RD g GFle9..1iss Employees oeli.re Vnluntepr-g S 1627.3(b)(00), 3105,12946,34090;29 USG 3 Relle�� T'T000 Tr-aiRiRg Glee (By C.....1........\ " 7"O1J Q..F�... fiSepaFatieri Mae- MtL ,-Ppr OtITrt V...��rF4..� o cS�n o u/\vo n Gity pFefeFenee; 29 GFR ' 31 12940 3409!\ ,79 1 1C!` � � � Police / Personnel Training Evaluations / When No 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 seq. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 11.0 RECORDS RETENTION SCHEDULE: POLICE Page PD -15 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan C'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 + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints. claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -1 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS, Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PUBLIC WORKS / ENGINEERING Public Works / PW -001 Address Assignments P P f, OD, Mfr, r, O S Yes: After Department preference; GC QC & OD §34090 Mag, Department Department Preference Public Works / PW -002 Aerial Maps (Analog /Historical) P P Mfr, OD, S / I No Development also keeps aerial maps): GC Engineering §34090 Public Works / PW -003 Benchmarks P P Mfr agOD, S/I Yes: After Department Preference; GC Engineering Ppr QC & OD §34090 Capital Improvement Projects Department preference; (CIP): Maintenance Protects 10-5 years Completion + Some grant funding agencies (All Records) or After 10 5 years or require audits; Statute of Funding After Funding Mag' Limitations for Errors & Public Works / PW -004 Examples of Maintenance Upon Agency Agency Yes: Until Mfr. OD, S/I Yes: After QC & OD Omissions is not applicable; Engineering Projects: Painting, Pavement Completion Audit, if Audit, if Completed Statute of Limitations: Ppr required, required, Contracts & Spec's=4 years; Overlays, Repairs, Ramps, Re- whichever iswhichever is Statewide guidelines propose Roof, Sidewalk Repairs, Slurry longer longer termination + 5 years; CCP Seals, etc. §337 et. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -2 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Capital Improvement Projects Department preference; (CIP): Administration File / Some grant funding agencies NOT Scanned 10 years or Completion + require audits; Statute of After 10 years or Limitations for Errors & Project Administration, Certified Funding After Funding Omissions is 10 years; Public Works / Payrolls, Community Outreach / Upon Agency Agency Yes: UntilMfr, Mag, Yes: After Statute of Limitations: Engineering PW -005 Notifications, Project Schedules, Completion Audit, if Audit, if Completed OD, S/I QC & OD Contracts & Spec's=4 years, Ppr Progress meetings, Punch Lists, required, required, Wrongful Death=comp. + 5 Real Estate Appraisals, RFIs & whichever is whichever is years, Developers=comp. + Responses, Temporary longer longer 10 years; Statewide Easements, Construction guidelines propose Manager's Logs, Daily termination + 5 years; CCP Inspections, Daily Logs, etc. §337 et. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -3 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigration, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Capital Improvement Projects (CIP): Permanent File/ Scanned Records Specifications & Addenda, Agreement / Contract (copy), Department preference; Successful Proposal, Change Mag, Yes: retained for disaster Public Works / PW -006 Orders, Geotechnical Studies & Upon P P Yes: Until Mfr, OD, S/I Com + preparedness purposes; Engineering Reports, Operations & Completion Completed Ppr earplet' 10 years Statewide guidelines propose Maintenance Manuals (O&M Permanent for Infrastructure Manuals,) Materials Testing plans; GC §34090 Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies, Submittals, Surveys, etc. 10 years or Completion + Department preference; After 10 years or Some grant funding agencies Funding After Funding require audits; Statute of Public Works / Upon Agency Agency Yes: Until Limitations for Errors & Engineering PW -007 Construction Inspection Completion Audit, if Audit, if Completed Mag, Ppr Omissions is 10 years; required, required, Statute of Limitations: whichever is whichever is Contracts & Spec's=4 years; longer longer CCP §337 et. seq., GC §34090 Public Works / PW 008Construction Inspection Indefinite Indefinite Yes I Mag Data Fields / Records are Engineering Database I I I I 1 1 interrelated; 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -4 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Correspondence - Regulatory Department preference; Public Works / Agencies Not Related to a CIP Minimum 2 Minimum 2 Yes: While Mag, Yes: After Some correspondence from Engineering PW -009 (State & Federal Agencies, EPA, years years Active Mfr, OD, S QC &OD Regulatory Agencies need to Health Department, etc.) Issues Ppr be retained for long periods 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 Ppr include correspondence; GC Clerk §34090 et seq. Public Works / PW -011 Design & Construction Standards P P Mag' Mfrr,,pOD, S/I Yes: After Department Preference; GC Engineering - Authored by the City QC & OD §34090 Yes: After Drafts should be destroyed; QC & OD: Drawings, Maps, Plans and Some maps are also retained Depending Public Works / Record Drawings, Large -Format Mag, Planning; Selected maps on Value in Engineering PW -012 Drawings, Survey Record Maps, "As- P P Yes (all) Mfr, OD, S are retained in Public Works ar Disaster Capital Improvement Project Ppr for administrative purposes; Response Built" GC §34090, 34090.7 NG 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -5 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Encroachment Permits / Excavation Permits: Temporary Public Works / (Street Permits, Temporary Final / Final / Yes: Until Ma g, Mfr, OD, Yes: After Engineering PW -013 Construction, Sidewalk Repairs, Completion + Completion + Completion S/I QC & OD GC § 34090 Ppr Traffic Control, Utility Cuts etc.) 2 years 2 years Includes Insurance Certificates Public Works / Encroachments - Permanent Mag, Yes: After Department Preference; GC Engineering PW -014 (Permanent structures in the P P Mfr, OD, S QC & OD §34090 City's Right of Way) Ppr Public Works / PW -015 Engineering Permits Database Indefinite Indefinite Yes Mag Data Fields / Records are Engineering interrelated; GC §34090 Public Works / Engineering Studies / Surveys - Mag, Yes: After '& Department Preference; GC Engineering PW -016 Preliminary Studies / Project P P Mfr, OD, S/I QC OD §34090 Assessments Ppr Public Works / Geotechnical and Soil Reports; Mag,Yes: After Department Preference; GC Engineering PW -017 Hydrology Reports (Authored on P P Mfr, OD, S QC & OD §34090 behalf of the City) Ppr Master Plans: Bikeway, Park, Public Works / Pavement, Sewer, Traffic, Mag, Yes: After Department preference; Engineering PW -018 Transportation, Water Master P P Mfr, OD, S QC & OD Drafts should be destroyed; Plan, Water Quality Master Ppr GC §34090 Plans. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -6 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigration, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Permits (Temporary): Banner Obstruction Permits, Dumpster Public Works / PW -019 Permits, Transportation Permits, Expiration + 2 Expiration + Yes: Until Mag, Ppr GC § 34090 Engineering Bicycle Locker Rental years 2 years Completion Agreements Heavy Lead PeFM46-, 1A1map I nad Perm 4. - When No When NoPreliminary 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 Construction Inspections, Errors & Omissions is 10 Correspondence, Photos, years; Statute of Limitations: Public Works / PW -021 Private Lab Verifications, Testing Upon 10 years Completion + Yes: Until Mag, Ppr Contracts & Spec's=4 years, Engineering Lab Final Reports, etc. Completion 10 years Completed Wrongful Death=comp. + 5 years, Developers=comp. + Examples: CUPs, Lot Line 10 years; CCP §337 et. seq., Adjustments, Parcel Maps, GC §34090 Precise Alignment, Specific Plans, Split Lots, Subdivisions, Tracts,. TPMs, TSMs 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -7 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention riods retention resumes after settlement or completion). Private Land Development Projects / Job Files: Permanent Files Drainage, Driveway, Rights of Way, Soil Reports, Stormwater, etc. Mag' Department preference; Public Works / PW -022 Dedications, Easements, Upon P P Yes: Until Mfr, OD, S/I Yes: After retained for disaster Engineering Abandonments (City Clerk is Completion Completed Ppr OC & OD preparedness purposes; GC OFR) §34090 Examples: CUPS, Lot Line Adjustments, Parcel Maps, Precise Alignment, Specific Plans, Split Lots, Subdivisions, Tracts, TPMs, TSMs Public Works / PW 023 Solid Waste Liens / Garbage 10 years P P Mag, Ppr GC §34090 et seq. Engineering Liens & Releases Public Works / PW 024 Solid Waste Reduction / AB 939 10 years 10yearsMag, Ppr Department preference; GC Engineering Compliance/ Tonnage Reports §34090 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -8 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Required for a minimum of 5 Public Works / Mag' Yes (after 2 years; 40 CFR 122.410)(2); Engineering PW -025 Stormwater Illicit Discharges 5 years 5 years Mfr, OD, S / I years) SWRCB Order 2006-03; 40 Ppr CFR §§122.21, 122.41, 122.44; GC §34090 Department Preference; Public Works / Stormwater Monitoring / NPDES Monitoring records required Engineering PW -026 Monitoring and Inspection 5 years 5 years Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq. Required for a minimum of 5 Public Works / Stormwater: Business Mag' Yes: After years; 40 CFR 122.410)(2); Engineering PW -027 Inspections 5 years 5 years Mfr, OD, S / I QC & OD SWRCB Order 2006-03; 40 Ppr CFR §§122.21, 122.41, 122.44; GC §34090 Mag' Department preference; Public Works / PW -028 Stormwater: NPDES Annual 5ears y 5ears yP,pr Mfr, S / I Yes: After Monitoring records required Engineering Reports QC for 3 years; 40 CFR §§122.21, 122.41, 122.44 Department Preference; Public Works / Expiration + 5 Expiration + Yes: Until Monitoring records required Engineering 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 seq. 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -9 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Stormwater: Operation & Department preference; Maintenance (Catch Basins, Mag' plans must be updated every Public Works / PW -030 Field, General Cleaning, Open 5 years 5 years Mfr, OD, S / I Yes: After 5 years, audits are required Engineering Channels, Slots, Stormwater Ppr OC & OD every 2 years; SW RCB Order Treatment Measures and Trash 2006-03; 4§§122.21, 122.41, Cleaning) 122.44; GC §34090 Department preference; Mag' plans must be updated every Public Works / PW -031 Stormwater: TMDL Plan (Total 5ears y 5ears yP,pr Mfr, S / I Yes: After 5 years, audits are required Engineering Maximum Daily Load) Plan OC & 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; CCP §337 et seq. Public Works / PW -033 Traffic Counts 15 years 15 years Mag Ppr Department preference; GC Engineering §34090 Department preference Public Works / PW -034 Traffic Speed Surveys 15 years 15 years Mag Ppr (required every 5 years, but Engineering can be extended to 7 or 10 years); GC §34090 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -10 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department Preference Lead Dept. PW -035 Underground Service Alerts 3 years 3 years Mag, Ppr (required for 3 years); GC (USA's) §§4216.2(f) & 4216.3(d), 34090 FIELD SERVICES Aboveground CNG Storage Department Preference; Tanks (Agency Owned) applies to both Tier I and Tier Public Works / PW -036 Spill Prevention Control and 20 years 20 years Mag, Ppr II Tanks; (Tier II tanks are Field Services Countermeasures (SPCC), required to have an integrity Inspections, Integrity Testing, test every 20 years); GC Maintenance, Repairs §60201 Public Works / Field Services PW -037 AQMD Permits (Generators, etc.) 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Public Works / PW -038 Facility Inspections 2 years 2 years Mag, Ppr GC §34090 Field Services Department preference Public Works / PW -039 Fuel Inventories 5 years 5 years Mag, Ppr (meets municipal government Field Services auditing requirements); GC § 34090 Generator Operation Logs & Lead Dept. PW -040 Inspections - Fixed I Stationary 3 years 3 years Mag, Ppr AQMD Rule 1470; GC Generators §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -11 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Generator Operation Logs & AQMD Rule 1470; Form Lead Dept. PW -041 Inspections - Portable / 5 years 5 years Mag, Ppr 400—E -13a instructions; GC Emergency Generators §34090 Department Preference (City Public Works / Hazardous Waste Manifests / Mag, Yes: After has "cradle to grave' liability); Field Services PW -042 Certificates of Disposal 5 years P P Mfr, OD, S QC & OD 40 CFR 262.40, 8 CCR Ppr 3204(d)(1)(A), 22 CCR 66262.40 Lead Dept. PW -043 Operations &Maintenance Life of Facility Life of Facility or Mag, Ppr Department Preference; GC Manuals (O&M Manuals) or Equipment Equipment §34090 et. seq. Public Works / PW -044 Permits: Pressure Vessels, When When Mag, Ppr 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; 13 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 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -12 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigration, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). 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 Transportation Audits: DMV & Consistent with CHP Public Works / PW -048 CHP, TDA Fiscal Audit, Triennial 5 years 5 years Mag, Ppr requirements; OSHA requires Field Services Performance Audit 1 year; 8 Ca. Code Reg. § 3203(b)(1); GC § 34090 Division Data is interrelated; GC Providing PW -049 Tree Database / Tree Trimming Indefinite Indefinite Mag §34090 Service / Work Underground Service Alerts Required for 3 years; GC Lead Dept. PW -050 (USA's) 3 years 3 years ', Mag, Ppr §§4216.2(f) & 4216.3(d), 34090 Underground Storage Tank (City Monitoring and Maintenance Owned) records are required on site for 3 years, 6 '/� years for Public Works / UST Monitoring, Inspections cathodic protection Field Services PW -051 and Maintenance, Release 7 years 7 years Mag, Ppr maintenance, 5 years for Detection Systems, Cathodic calibration & maintenance of release detection systems; Protection Maintenance 23 CCR 2712(b); H&S Records §25284.2(i) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -13 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Underground Storage Tanks - Life of the Life of the Public Works / PW -052 USTs (City Owned) Tank- Tank- Mag' Mfr, OD, S Yes: After 23 CCR 2712(b), H&S Field Services Minimum 2 Minimum 2 Ppr 1 year §25284.2(1) Repairs, Lining, Upgrades years years Underground Storage Tanks (City Department Preference Owned) Mag, (required for the life of the Public Works / PW -053 10 years P P Mfr, OD, S Yes: After tank); 23 CCR 2712(b), H&S Field Services Location, Soil Remediation, Ppr 1 year §25284.2(i); GC §34090 et. Monitoring Well Records seq. Public Works / 22 CCR 66266.130(c)(5), Field Services PW -054 Used Oil Disposal 3 years 3 years Mag, Ppr H&S §25250.18(b), 25250.19(a)(3) et seq. Department Preference; If a Vehicle & Equipment History motor carrier, required for 18 Files, Disposal of Disposal of months after vehicle is sold; Public Works / Vehicle or Vehicle or CHP requires life of vehicle; Field Services PW -055 AQMD Certifications, Equipment+ Equipment+ Mag, Ppr OSHA requires 1 year; 8 Maintenance, Registrations, 2 years 2 years CCR § 3203(b)(1); 49 CFR Safety Certifications, etc. 396.21(b)(1); 49 CFR396.3(c); CCP §337 et. Seq., GC §34090 Division Work Orders / Service Requests Providing PW -056 CMMS DATABASE Indefinite Indefinite Mag Data is interrelated; GC Service / Work (Computerized Maintenance §34090 Management System) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -14 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigration, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Work Orders / Service Requests - Division All Information Entered in When No When No Preliminary drafts (the Providing PW -057 CMMS 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 Division Database (or partial information City Preference; CCP §§338 Providing PW -058 entered into 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 copy) WAT Public Works / PW -059 AQMD Permits (Generators, etc.) 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Water Public Works / PW -060 Basin Equity Assessment Report 5 years 5 years Mag, Ppr Department Preference; GC Water (submitted to Basin Watermaster) §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8832-432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -15 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention enods retention resumes after settlement or completion). Capital Improvement Projects Department preference; (CIP) - Water: Administration Some grant funding agencies File / NOT Scanned 10 years or Completion + require audits; Statute of After 10 years or Limitations for Errors & Project Administration, Certified Funding After Funding Omissions is 10 years; Public Works / Payrolls, Community Outreach / Upon Agency Agency Yes: Until Statute of Limitations: Water PW -061 Notifications, Project Schedules, Completion Audit, if Audit, if Completed Mag, Ppr Contracts & Spec's=4 years, Progress meetings, Punch Lists, required, required, Wrongful Death=comp. + 5 Real Estate Appraisals, RFIs & whichever is whichever is years, Developers=comp. + Responses, Temporary longer longer 10 years; Statewide Easements, Construction guidelines propose Manager's Logs, Daily termination + 5 years; CCP Inspections, Daily Logs, etc. §337 et. seq., GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -16 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations sus end normal retention eriods retention resumes after settlement or completion). Capital Improvement Projects (CIP) - Water: Permanent File / Scanned Records Specifications & Addenda, Agreement / Contract (copy), Department preference; Successful Proposal, Change retained for disaster Public Works / Orders, Environmental / EIR, etc., Upon Yes: Until Mag, Yes: preparedness purposes; Water PW -062 Geotechnical Studies & Reports, Completion P P Completed Mfr, OD, S/I Complet. + Statewide guidelines propose Operations & Maintenance Ppr 10 years Permanent for Infrastructure Manuals (O&M Manuals,) plans; GC §34090 Materials Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies, Submittals, Surveys, etc. Public Works / PW -063 Confined Space Entries 2 years 2 years Ppr 8 CCR 5157(e)(6); GC §3409 Water Public Works / Conservation Program Grants & Mag, Yes: After Department preference - Water PW -064 Rebates (Toilets, etc.) 2 years 3 years 5 years Mfr, OD, S / I QC meets auditing standards; Ppr GC §34090 Public Works / PW -065 Construction Hydrant Meter 10 years 10 years Mag, Ppr Department Preference; GC Water Application & Approvals §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -17 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). 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 about Potable Water 122.410)(2) & 40 CFR 141.33(b); 22 CCR 64470 Public Works / PW -068 Department Reports 10 years 10 years Mag, Ppr Department Preference; GC Water §34090 Public Works / PW -069 Encroachment Permits -Water P P Mag, Ppr Department Preference; GC Water §34090 Public Works / PW -070 Fire Flow (OCFA) P P Mag, Ppr Department Preference; GC Water §34090 Public Works / Fire Hydrant Flow/ Pressure Department Preference; GC Water PW -071 Tests (Development or 10 years 10 years Mag, Ppr §34090 Maintenance) 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 §34090 Public Works / Groundwater Extraction Department Preference; GC Water PW -074 (Reported to County Water 5 years 5 years Mag, Ppr §34090 Basin Master) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -18 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Department Preference; Public Works / NPDES Monitoring and Monitoring records required Water PW -075 Inspection - Water Operations 5 years 5 years Ir Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq. Department Preference; Public Works / NPDES Permits - Water Expiration + 5 Expiration + Yes: Until Monitoring records required Water PW -076 Operations years 5 years Expiration Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq. Public Works / PW 077 Operations &Maintenance Life of Facility Life of Facility or Mag, Ppr Department Preference; GC Water Manuals (O&M Manuals) or Equipment Equipment §34090 et. seq. When No When No Public Works / Regulatory Agency Compliance - Longer Longer Mag, Yes: After Department Preference; GC Water PW -078 Correspondence, Supporting Required - Required - Mfr, OD, S / I OC §34090 Documentation (DPH, EPA, etc.) Minimum 5 Minimum 5 Ppr years years Public Works / PW -079 Requests for Meter Size 5 years 5 years Mag, Ppr Department Preference; GC Water Changes §34090 Public Works / PW -080 Reservoirs / Tanks P P Mag, Ppr Department Preference; GC Water §34090 Public Works / PW -081 SCADA Database Indefinite Indefinite Yes Mag Data Fields / Records are Water interrelated; 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -19 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Specifications From Tustin Water Public Works / PW -082 Works (TWW): Job Files P P Mag, Ppr Department Preference; GC Water (handwritten labor costs), Tract §34090 Files, Transfer Files Public Works / PW -083 State Approvals of System P P Mag, Ppr Department Preference; GC Water §34090 Public Works / Mag' Yes: After 22 CCR §64470; 40 GFR Water PW -084 Surveys of Water System 10 years 10 years Mfrr,, P S / I QC 141.33 ^; GC &34090 D, 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(f) & 4216.3(d), Ppr 34090 Public Works / PW -087 Variances /Exem Exemptions Expiration + 5 Expiration + Mag Ppr Department Preference; 40 Water years 5 years CFR 141.33(b)(3) Public Works / PW -088 Violations &Corrections Correction + Correction + Mag Ppr Department Preference; 40 Water 3 years 3 years CFR 141.33(b)(3) Vulnerability Assessment / Department Preference Public Works / PW -089 Emerciency Res onsePlan / Risk Superseded Superseded Mag Ppr (highly confidential); 42 USC & Resiliency Assessment / Water 300i_2(d): GC §34090 Hazard Mitigation Plan Public Works / PW -090 Water Audits 5 years 5 years Mag, Ppr Department Preference; GC Water §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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -20 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Mag' Liens are good for 10 years Public Works / PW -091 Water Liens 10 years 10 years Mfr, OD, S / I Yes - After from recording date, and may Water Ppr QC & OD be extended by re-recording lien; WC 36729; 37212(b) Public Works / PW -092 Water Main Break Reports 5 years 5 years Mag, Ppr Department Preference; GC Water §34090 Public Works / PW -093 Water Production Reports 5 years 5 years Mag, Ppr Department Preference; GC Water §34090 Public Works / Water Quality - Lab Reports & Chains Custody: Mag, Yes -After Water PW -094 of 5 years 5 years Mfr, OD, S / I QC & OD 40 CFR 141.33(a) Bacteriological and Organics Ppr 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) Ppr Required for 12 years or 2 Public Works / Water Quality - Lab Reports & Chains Custody: Lead & Mag, Yes -After compliance cycles; 22 CCR Water PW -096 of 12 years 12 years Mfr, OD, S / I QC & OD 64400.25: 22 CCR &64470. Copper Ppr 40 CFR 141.33(a): 40 CFR 141.91 Public Works / PW -097 Water Quality Reports / Annual P P Mag' Mfr,P D, S Yes: After Department Preference; GC Water Consumer Confidence Reports Ppr QC & OD §34090 Public Works / Water Rights Mag, Water & PW -098 P P Mfr, OD, S Yes: After Department Preference; GC City Clerk (Send final contracts and Ppr 10 years §34090 et seq. agreements to City Clerk) 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: 12/19/2017 DocuSign Envelope ID: 343lF6CE-8B32432D-8504-AED3F6D95485 Ver. 8.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW -21 Office of Retention No. Records Description Retention I 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 imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigration, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention eriods retention resumes after settlement or completion). Public Works / PW -099 Water Usage Reports 10 years 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 P P! Mfr, OD, S 10 years §34090 et seq. Destroyed Wells) Ppr Work Orders / Service Requests Public Works / PW -101 CMMS DATABASE Indefinite Indefinite Mag Data is interrelated; GC Water (Computerized Maintenance §34090 Management System) Work Orders / Service Requests - Public Works / All Information Entered in When No When No Preliminary drafts (the Water PW -102 CMMS Database Longer Longer Mag Ppr database is the original); GC Required Required §34090 (Paper drafts) Work Orders / Service Requests - NOT entered in CMMS Database (or partial information City Preference; CCP §§338 Public Works / PW -103 entered into CMMS Database) 5 years 5 years '. Mag Ppr et seq., 340 et seq., 342, GG - Water §§945:6GC §34090 (Division providing service retains originals; Division requesting service is considered a copy) 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: 12/19/2017