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HomeMy WebLinkAboutCC RES 21-55 DocuSign Envelope ID: B732E4F4-2DA3-44D0-A2D6-174BE2829F55 RESOLUTION NO. 21-55 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. 20-45 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 20-45, adopting a records retention schedule on June 16, 2020, and the City Council finds that the retention schedule should be updated and Resolution 20-45 rescinded. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF TUSTIN DOES RESOLVE AS FOLLOWS: Section 1 . Resolution Number 20-45 is hereby rescinded.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in Department or Division names, improvements in descriptions, changes in comments, deleting records series that are no longer applicable, and/or what is scanned.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. 21-55 Page 1 of 2 DocuSign Envelope ID: B732E4F4-2DA3-44D0-A2D6-174BE2829F55 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 3rd day of August 2021 . DocuSigned by: LETITIA CL , Mayor ATTEST: 5`LV DocuSigned by: ' q",S,j,a ERICA . A, 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. 21-55 was duly and regularly passed and adopted at a regular meeting of the City Council held on the 3rd day of August 2021 by the following vote: COUNCILMEMBER AYES: Clark, Lumbard, Cooper, Gallagher, Gomez (5) COUNCILMEMBER NOES: (0) COUNCILMEMBER ABSTAINED: (0) COUNCILMEMBER ABSENT: (0) 5 DocuSigned by: q"'So' ERICA A, City Clerk Resolution No. 21-55 Page 2 of 2 RECORDS RETENTION SCHEDULE LEGEND ©1995—2021 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, Cloud, 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/Trustworthy Electronic Record: "Yes" indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed, or the record may be electronically generated and never exist in paper format;) 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. Legend 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) PRC Public Resources Code 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) Page No. INDEX — RECORDS RETENTION SCHEDULES FY 20-21 Update Abbreviations: CW— City-Wide Standards CC — City Clerk CM — City Manager CD — Community Development ED — Economic Development FIN — Finance HR— Human Resources IT— Information Technology P&R— Parks and Recreation PD — Police PW— Public Works 1095-C form................................................................................................................................................................................... HR-6 1099's / 1096's ............................................................................................................................................................................. FIN-1 941 Forms, IRS 5500 Forms (Employee Benefit Plans) .............................................................................................................. FIN-9 A AB939 Compliance / Tonnage Reports ....................................................................................................................................... PW-7 Abatement Case Files / Code Enforcement .......................................................................................................................CD-3— CD-4 ABC Applications - Alcohol Beverage Control License Applications ..............................................................................................CD-4 Aboveground CNG Storage Tanks (Agency Owned) ...................................................................................................................PW-10 Accident / Incident / Injury Reports (Potential Claims - medical and non-medical that do not result in a claim.) ........................... HR-8 Accident, Incident, Injury Reports — Public & Employees (Copies).............................................................................................. CW-1 Accident, Incident, or Injury Reports from Employees - Workers Compensation Claims / Long Term Disability Claims ................ HR-8 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 1 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Accounting........................................................................................................................................................................FIN-1 — FIN-5 Accounts Payable/ Invoices and Backup / Travel Expense Reimbursements, Direct Payment Vouchers..................................... FIN-1 Accounts Payable, Invoices, Petty Cash, Warrant Requests —All Backup Is Forwarded to Finance (Copies)........................... CW-1 Accounts Receivable - Miscellaneous - Invoices to Outside Entities, Transient Occupancy Tax (TOT), etc. ................................ FIN-5 Accounts Receivable Detail / Refund Detail / Cash Receipts Detail / Backup (Copies)................................................................. CW-5 Active CLETS Entries CRIME REPORTS / INCIDENT REPORTS: Missing Persons (Returned).................................................. PD-9 Activity Files / Program Files / Special Programs / Special Event Files & Reports........................................................................P&R-1 ActuarialValuation Reports .......................................................................................................................................................... FIN-9 ADA Accommodations - Personnel Files - Medical File (all employees) ........................................................................................ HR-5 ADAAccommodations .................................................................................................................................................................. HR-6 AddressAssignments ................................................................................................................................................................... PW-1 AddressFiles / Building Permits ....................................................................................................................................................CD-1 AdjustmentRegisters ................................................................................................................................................................... FIN-6 Adjustment Slips / Meter Mis-reads, Credits / Debits to Accounts ................................................................................................ FIN-8 Administration — Police Chief ........................................................................................................................................................ PD-1 AdministrativeCitation Hearings ...................................................................................................................................................CD-3 AdministrativeCitations ................................................................................................................................................................ FIN-6 Administrative: Correspondence — Routine .................................................................................................................................. CW-6 AdvisorReports /Trade Tickets .................................................................................................................................................. FIN-4 AerialMaps (Analog / Historical) .................................................................................................................................................. PW-1 Affidavits of Posting / Affidavits of Publications / Public Hearing Notices / Legal Advertising......................................................... CW-1 Affidavits of Publications / Public Hearing Notices / Legal Advertising / Affidavits of Posting......................................................... CW-1 Affordable Housing Projects, Rehabilitation, CDBG-funded Housing Projects ............................................................................... ED-2 Agenda Packets - Boards, Commissions & Committees .............................................................................................................. CW-4 Agenda Packets /Agendas City Council, Housing Authority, Redevelopment Agency, Successor Agency, Oversight Board ........CC-1 Agenda Packets / Staff Reports —City Council (Copies) ............................................................................................................. CW-1 AgendaPackets: Speaker Slips ...................................................................................................................................................CC-1 Agendas, Agenda Packets — Building Board of Appeals ...............................................................................................................CD-7 Agendas, Agenda Packets — Zoning Administrator .......................................................................................................................CD-7 Agendas, Agenda Packets —Audit Commission............................................................................................................................ FIN-1 Agendas, Agenda Packets - Boards, Commissions & Committees .............................................................................................. CW-4 Agendas, Agenda Packets — Community Services Commission ..................................................................................................P&R-1 Agendas, Agenda Packets — Planning Commission.......................................................................................................................CD-7 Agendas, Agenda Packets — Public Art Committee......................................................................................................................P&R-1 Aggravated or Sexual Assault CRIME REPORTS / INCIDENT REPORTS.................................................................................... PD-7 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 2 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Agreement/ Contract (copy) - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records........................ PW-3 Agreements —ALL (Except Class Instructors)................................................................................................................................CC-1 Agreements - Separation, Background Investigation files ............................................................................................................. HR-6 Agreements & Contracts —Administrative Files —with Grant Funding ..................................................................................... CW-2 Agreements & Contracts —Administrative Files ......................................................................................................................... CW-3 Agreements & Contracts —All Originals (Copies)........................................................................................................................ CW-1 Agreements & Contracts: Unsuccessful Bids, Unsuccessful Proposals or Responses to RFPs............................................ CW-3 Agreements, Tract History Files (Agreements, Easements, Main Extension Agreements) ..........................................................PW-19 Alcohol Beverage Control License Applications (ABC Applications)...............................................................................................CD-4 AlcoholTest Results - Negatives ................................................................................................................................................... HR-3 AlcoholTest Results — Positives ................................................................................................................................................... HR-3 Amendments to Records Retention Schedules .............................................................................................................................CC-8 Annexations / Boundaries / Consolidations / LAFCO .....................................................................................................................CD-4 Annual Consumer Confidence Reports .......................................................................................................................................PW-20 Annual Financial Reports and related Audit Opinions.................................................................................................................... FIN-2 Annual Reports: Reports and Studies —Other Than Historically Significant Reports................................................................... CW-14 Annual State or Federal: State Controller's Report, Local Government Compensation Report, Gas Tax .................................... FIN-4 Annual Valuation Reports, Actuarial Valuation Reports ................................................................................................................ FIN-9 Appeals - Water Billing: Payment Delinquency & Impending Discontinuation .............................................................................. FIN-8 Appeals (City Council Agendas / Agenda Packets)........................................................................................................................CC-1 Appeals and Code Enforcement Notices of Violation ................................................................................................................... FIN-6 Appeals and Code Enforcement Notices of Violation) - Water Billing: Drought Compliance ......................................................... FIN-8 Appeals: Code Enforcement / Abatement Case Files.........................................................................................................CD-3— CD-4 Application - Personnel Files - Employee File ............................................................................................................................... HR-6 Applications - Volunteer/ Unpaid Intern ......................................................................................................................................P&R-4 Applications (Successful): Grants/ Reimbursable Claims —Successful Reports ........................................................................ CW-9 ApplicationsCitizen's Academy .....................................................................................................................................................CC-2 Applications for Unsuccessful Candidates ..................................................................................................................................... HR-7 Applications for vacancies on the Council ......................................................................................................................................CC-5 Applications: Grants — Unsuccessful ........................................................................................................................................... CW-8 Appraisal Reports — Property NOT Purchased, Loans Not Funded............................................................................................. CW-12 Appraisal Reports — Purchased Property, Funded Loans........................................................................................................... CW-12 Approvalsof Water System .........................................................................................................................................................PW-19 Appurtenances and Single Family Residential (SFR) — Building Plans and Construction Documents - Finalled............................CD-2 AQMDPermits (Generators, etc.) ...............................................................................................................................................PW-10 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 3 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. AQMDPermits (Generators, etc.) ...............................................................................................................................................PW-14 Arbitrage / Certificate of Deposit / Investment Bonds (Receipts /Advisor Reports /Trade Tickets / LAIF .................................... FIN-4 ArsonRegistrants ....................................................................................................................................................................... PD-12 As-Builts ....................................................................................................................................................................................... PW-4 Assessment District Ballots, Protest Letters, & Envelopes - Prop. 218 proceedings ......................................................................CC-3 Assessment Rolls / Lighting and Landscape Districts / Special District Assessment Rolls (to Tax Assessor for Tax Rolls) .......... FIN-1 Associated CEQA Noticing: Planning Project Files —Approved Permanent Entitlements...........................................................CD-8 Attendance Rosters: Training —All Course Records ................................................................................................................. CW-16 Audio Recordings — Building Board of Appeals.............................................................................................................................CD-6 Audio Recordings — Zoning Administrator.....................................................................................................................................CD-6 Audio Recordings —Audit Commission ......................................................................................................................................... FIN-1 Audio Recordings - Boards, Commissions & Committees ............................................................................................................ CW-4 Audio Recordings — Community Services Commission................................................................................................................P&R-1 Audio Recordings — Planning Commission.....................................................................................................................................CD-6 Audio Recordings — Public Art Committee....................................................................................................................................P&R-1 Audio Recordings or Tapes - (CAD/RMS) Recordings of Telephone & Radio Communications Dispatch Tapes (CAD) ............... PD-1 Audit — Final / CAFR - Comprehensive Annual Financial Reports and related Audit Opinions....................................................... FIN-2 AuditCommission —VIDEO Recordings ........................................................................................................................................CC-8 Audit Commission Agendas, Agenda Packets............................................................................................................................ FIN-1 Audit Commission Audio Recordings.......................................................................................................................................... FIN-1 AuditCommission Minutes.............................................................................................................................................................CC-7 Audit Commission Minutes, Resolutions & Bylaws.................................................................................................................... FIN-1 Audit Commission Video Recordings.......................................................................................................................................... FIN-2 Audit Records: Grants / Reimbursable Claims —Successful Reports ......................................................................................... CW-9 Audit Reports / CAFR (Comprehensive Annual Financial Reports) / Audits (Copies).................................................................... CW-3 AuditWork Papers........................................................................................................................................................................ FIN-2 Audits / Audit Reports / CAFR (Comprehensive Annual Financial Reports) (Copies).................................................................... CW-3 Audits, Transportation Audits / PERS Audit, etc. .......................................................................................................................... FIN-4 Audits: DMV & CHP, TDA Fiscal Audit, Triennial Performance Audit ........................................................................................PW-12 Authorization Forms / Direct Deposit Authorizations ..................................................................................................................... FIN-9 Authorizationto give Medicine ....................................................................................................................................................P&R-2 Auto Pay Authorization Forms / Direct Deposit Authorizations ..................................................................................................... FIN-9 Awards of Significant Historical Interest: Historical Records & Historical Projects ..........................................................................CC-6 B Backflow - Cross Connection ......................................................................................................................................................PW-17 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 4 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Background File / Recruitment File - Police Applicants & Police Volunteers (UNSUCCESSFUL) ................................................. HR-1 Background File / Recruitment File - Police Employees & Police Volunteers (SUCCESSFUL) ..................................................... PD-4 Background Investigation files - Separation Agreements .............................................................................................................. HR-6 Backgrounds (Solicitors, Massage, Taxi, etc.) ............................................................................................................................... PD-2 Backup /Accounts Receivable Detail / Refund Detail / Cash Receipts Detail (Copies)................................................................. CW-5 Backups - DAILY (excludes Police) ............................................................................................................................................... IT-1 Backups - WEEKLY (excludes Police) ........................................................................................................................................... IT-1 Balance Sheets, Revenue & Expenditure Reports, etc ................................................................................................................. FIN-4 Ballots, Protest Letters, & Envelopes - Prop. 218 proceedings ......................................................................................................CC-3 BankDeposits .............................................................................................................................................................................. FIN-2 BankReconciliations .................................................................................................................................................................... FIN-2 Bank Statements and Trustee Statements ................................................................................................................................... FIN-2 BankTransmittal Advice .............................................................................................................................................................. FIN-2 Bankruptcies - NOT pursued ........................................................................................................................................................ FIN-5 Bankruptcies - Where a claim is filed ........................................................................................................................................... FIN-5 Banner Obstruction Permits, Dumpster Permits, Transportation Permits, Heavy Load Permits, Wide Load Permits..................... PW-6 BannersCode Enforcement ..........................................................................................................................................................CD-4 BaseMaps ................................................................................................................................................................................... PW-4 Basin Equity Assessment Report (submitted to Basin Watermaster) ...........................................................................................PW-14 Benchmarks ................................................................................................................................................................................. PW-1 Benefit Files / Administration Forms (W-4s, Changes, Personnel Action Form copies, Vacation pay-off requests, etc.)..............FIN-10 Benefit Plan Documents (CaIPERS, Optical, Dental, etc.) ............................................................................................................. HR-1 Bicycle Locker Rental Agreements................................................................................................................................................ PW-6 Bids, Successful ........................................................................................................................................................................... CW-2 Bids, Successful ........................................................................................................................................................................... CW-3 Bids, Unsuccessful........................................................................................................................................................................ CW-3 Billing Registers, Payment Registers, Adjustment Registers ........................................................................................................ FIN-6 Board & Commission / Committee Maddy Act Lists / Vacancy Notices ..........................................................................................CC-1 Board & Commission Historical List of Members ...........................................................................................................................CC-2 Boards & Commission Members —Oaths of Office ........................................................................................................................CC-7 Boards, Commissions & Committees: Agendas, Agenda Packets.............................................................................................. CW-4 Boards, Commissions & Committees: Audio Recordings............................................................................................................ CW-4 Boards, Commissions & Committees: City Council Subcommittees .......................................................................................... CW-4 Boards, Commissions & Committees: Employees Staff Meetings / Department Staff Meetings............................................... CW-4 Boards, Commissions & Committees: External Organizations.................................................................................................... CW-4 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 5 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Boards, Commissions & Committees: Minutes & Bylaws............................................................................................................ CW-5 Body-Worn Cameras ..................................................................................................................................................... PD-10— PD-11 Bonds (Performance Bonds, Subdivision Bonds, Letters of Credit) ...............................................................................................CC-2 Bonds (Revenue) - Official Statements / Transcripts / Certificates of Participations (COPs) ......................................................... FIN-2 Boundaries / Consolidations / LAFCO / Annexations .....................................................................................................................CD-4 Brochures, Season Brochures / Recreation Brochures ...............................................................................................................P&R-3 Brochures: Reference Materials — Produced by Other Departments ......................................................................................... CW-13 Brochures: Reference Materials — Produced by Outside Organizations.................................................................................... CW-13 Brochures: Reference Materials — Produced by Your Department............................................................................................. CW-13 Budgets - Adopted / Final ............................................................................................................................................................. FIN-3 Budgets — Finals (Copies)............................................................................................................................................................ CW-5 Budgets - Preliminary, Proposed, Backup Documents ................................................................................................................. FIN-3 BuildingActivity Reports ................................................................................................................................................................CD-2 Building Board of Appeals Agendas, Agenda Packets.................................................................................................................CD-7 Building Board of Appeals Audio Recordings...............................................................................................................................CD-6 Building Board of Appeals Minutes, Resolutions & Bylaws.........................................................................................................CD-7 BuildingDivision.................................................................................................................................................................CD-1 — CD-3 BuildingPermit Database..............................................................................................................................................................CD-1 BuildingPermits ............................................................................................................................................................................CD-1 Building Plans — Cancelled, or Withdrawn (prior to issuance of permits) .....................................................................................CD-1 Building Plans and Construction Documents — Finalled — Industrial, Commercial, Multi-Family Dwellings ..............................CD-1 Building Plans and Construction Documents — Finalled — Places of Public Accommodation, Tenant Improvements ..............CD-1 Building Plans and Construction Documents — Finalled —Single Family Residential (SFR) and Appurtenances......................CD-2 Business License & Permit Applications, Changes..................................................................................................................... FIN-6 Business License & Permit Database .......................................................................................................................................... FIN-6 Business License & Permit Renewals ......................................................................................................................................... FIN-6 Business License Administrative Citations / Code Enforcement ................................................................................................... FIN-6 Business License, Utility Billing & Revenue.......................................................................................................................FIN-5— FIN-8 Bylaws - Boards, Commissions & Committees ............................................................................................................................. CW-5 C CAD / Dispatch ............................................................................................................................................................................. PD-1 CAD/RMS) - Recordings of Telephone & Radio Communications Dispatch Tapes (CAD) ............................................................ PD-1 CAFR - Comprehensive Annual Financial Reports and related Audit Opinions ............................................................................. FIN-2 CAFR (Comprehensive Annual Financial Reports) / Audits /Audit Reports (Copies).................................................................... CW-3 CalOSHA Inspections, Citations ................................................................................................................................................. HR-10 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 6 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Calendars: Correspondence —Transitory / Preliminary Drafts................................................................................................... CW-7 California Building Code / Uniform Building Codes.........................................................................................................................CD-3 CalPERS Reports - Annual Valuation Reports, Actuarial Valuation Reports ................................................................................ FIN-9 Campaign Filings (FPPC 400 Series Forms): Other Committees .................................................................................................CC-4 Campaign Filings (FPPC 400 Series Forms): Successful Candidates.........................................................................................CC-4 Campaign Filings (FPPC 400 Series Forms): Those Not Required to File Original With City Clerk (Copies) ............................CC-4 Campaign Filings (FPPC 400 Series Forms): Unsuccessful Candidates.....................................................................................CC-4 Candidate File: Nomination Papers, Candidate Statements —Successful Candidates ................................................................CC-4 Candidate File: Nomination Papers, Candidate Statements — Unsuccessful Candidates............................................................CC-5 Candidate Statements to be Printed in the Sample Ballot: Elections —General, Working or Administration Files .....................CC-5 Candidate Statements, Nomination Papers: Candidate File — Successful Candidates ................................................................CC-4 Candidate Statements, Nomination Papers: Candidate File — Unsuccessful Candidates............................................................CC-5 Canine (Police Service Dogs) Program Files / Training Files: Animal Files .................................................................................. PD-3 CannabisCitations......................................................................................................................................................................... PD-6 Capital Improvement Project "As-Built", Base Maps ..................................................................................................................... PW-4 Capital Improvement Projects (CIP) - Water: Administration File / NOT Scanned ......................................................................PW-15 Capital Improvement Projects (CIP) - Water: Permanent File / Scanned Records .....................................................................PW-16 Capital Improvement Projects (CIP) where Engineering is the Lead: Maintenance Projects (All Records) ................................ PW-1 Capital Improvement Projects (CIP) where Engineering is the Lead: Administration File / NOT Scanned .................................... PW-2 Capital Improvement Projects (CIP) where Engineering is the Lead: Permanent File / Scanned Records.................................... PW-3 Carry Concealed Weapon Permits (CCW Permits) ....................................................................................................................... PD-1 Cash Receipts / Daily Cash Summaries / Cashiers Reports / Cash Reports / Petty Cash ............................................................ FIN-7 Cash Receipts Detail / Backup / Accounts Receivable Detail / Refund Detail (Copies)................................................................. CW-5 CashReports / Petty Cash ........................................................................................................................................................... FIN-7 Cashiers Reports / Cash Reports / Petty Cash ............................................................................................................................. FIN-7 Catch Basins, Field, General Cleaning, Open Channels, Slots, Stormwater Treatment Measures and Trash Cleaning ............... PW-9 CC&R Agreements/ Covenants, Conditions and Restrictions .......................................................................................................CD-4 CCWPermits ................................................................................................................................................................................ PD-1 CDBG / Grants / Reimbursable Claims —Successful Reports .................................................................................................... CW-9 CDBG-funded Housing Projects .................................................................................................................................................... ED-2 CD-r/ Blue Ray-R) or other unalterable media that does not permit additions, deletions, or changes ............................................. IT-2 Census, Demographics .................................................................................................................................................................CD-5 Certificate of Deposit/ Investment Bonds (Receipts / Advisor Reports / Trade Tickets ............................................................... FIN-4 Certificate of Records Destruction / Records Destruction Lists (Copies)..................................................................................... CW-13 Certificates - Personnel Files - Employee File ............................................................................................................................... HR-6 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 7 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Certificatesof Disposal ...............................................................................................................................................................PW-11 Certificatesof Occupancy ..............................................................................................................................................................CD-2 Certificates of Participations (COPs) ............................................................................................................................................ FIN-2 Certified Payrolls - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ......................................... PW-2 Certified Payrolls: Agreements & Contracts —Administrative Files —with Grant Funding......................................................... CW-2 Certified Payrolls: Agreements & Contracts —Administrative Files............................................................................................. CW-3 Chains of Custody: Bacteriological and Organics .......................................................................................................................PW-20 Chains of Custody: Chemical (Includes Chlorine Residuals) ......................................................................................................PW-20 Chainsof Custody: Lead & Copper ............................................................................................................................................PW-20 Change Orders - CIP Projects where Engineering is the Lead: Permanent File/ Scanned Records ............................................ PW-3 Chats, Notes and Recordings —Staff Videoconference................................................................................................................. CW-7 CheckRequests............................................................................................................................................................................ FIN-1 Checklists: Correspondence —Transitory / Preliminary Drafts................................................................................................... CW-7 Checks - NSF Checks .................................................................................................................................................................. FIN-7 Checks /Warrants (Cashed / Paid) .............................................................................................................................................. FIN-7 Checks deposited to Bank (City scans them for the Bank, rather than physically taking the checks to the bank to deposit them) FIN-7 Chemical Use Report Form / Material Data Safety Sheet (MSDS) .............................................................................................. CW-10 Child Abuse or Severe Neglect CRIME REPORTS / INCIDENT REPORTS .................................................................................. PD-8 Children's Programs - Activity Files / Program Files / Special Programs / Special Event Files & Reports.....................................P&R-1 CHP Inspections / Vehicle Safety Checks / Daily Vehicle Inspections - SENIOR VEHICLES FUNDED BY THE OCTA ..............PW-12 Chronological: Correspondence — Routine................................................................................................................................... CW-6 CIP - Water: Administration File / NOT Scanned .......................................................................................................................PW-15 CIP - Water: Permanent File / Scanned Records .......................................................................................................................PW-16 CIP Projects where Engineering is the Lead: Maintenance Projects (All Records) .................................................................... PW-1 CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ....................................................................... PW-2 CIP Projects where Engineering is the Lead: Permanent File / Scanned Records ....................................................................... PW-3 Citations - Marijuana / Cannabis .................................................................................................................................................... PD-6 Citations - Parking & Moving ......................................................................................................................................................... PD-3 Citations - Payment Plans for outstanding parking citations received by indigent persons ............................................................ PD-6 Citizen's Academy Applications .....................................................................................................................................................CC-2 City Council —Agenda Packets / Staff Reports (Copies) ............................................................................................................... CW-1 City Council — Resolutions (Copies)............................................................................................................................................ CW-14 CityCouncil Agendas / Agenda Packets........................................................................................................................................CC-1 CityCouncil Correspondence.........................................................................................................................................................CM-1 CityCouncil Minutes (Copies)..................................................................................................................................................... CW-11 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 8 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. CityCouncil Oaths of Office...........................................................................................................................................................CC-7 CityCouncil Ordinances (Copies) ............................................................................................................................................... CW-11 City Council Subcommittees: Boards, Commissions & Committees.............................................................................................. CW-4 City Council, Board & Commission Historical List of Members.......................................................................................................CC-2 CityCouncil: Minutes .....................................................................................................................................................................CC-7 CityCouncil: Resolutions...............................................................................................................................................................CC-8 City Seal: Historical Records & Historical Projects .........................................................................................................................CC-6 ClaimForms ..................................................................................................................................................................................CC-2 Claim Runs - Workers Compensation ........................................................................................................................................... HR-7 Claims - Department of Fair Employment & Housing (DFEH or EEOC) Claims ............................................................................. HR-2 Claims ........................................................................................................................................................................................... HR-9 Claims (Copies) ............................................................................................................................................................................ CW-5 Classification / Reorganization Studies (for employee classifications and department structures) ................................................. HR-1 ClassificationSpecifications .......................................................................................................................................................... HR-5 CMMSDATABASE .....................................................................................................................................................................PW-21 CMMS DATABASE (Computerized Maintenance Management System) ....................................................................................PW-13 CNGStorage Tanks (Agency Owned) ........................................................................................................................................PW-10 Code Enforcement - Business License ........................................................................................................................................ FIN-6 Code Enforcement / Abatement Case Files ...................................................................................................................................CD-3 Code Enforcement Complaint Letters: Code Enforcement / Abatement Case Files ...........................................................CD-3— CD-4 CodeEnforcement Database ........................................................................................................................................................CD-4 Code Enforcement Notices of Violation - Water Billing: Drought Compliance ............................................................................... FIN-8 CodeEnforcement.............................................................................................................................................................CD-3— CD-4 CofO - Certificates of Occupancy...................................................................................................................................................CD-2 Collection Agency Case Files & Statements/ Delinquent Accounts ............................................................................................. FIN-7 Collections / Collection Agency Case Files & Statements / Delinquent Accounts ......................................................................... FIN-7 Commendations ............................................................................................................................................................................CC-7 Commercial, Multi-Family Dwellings, Industrial — Building Plans and Construction Documents - Finalled.....................................CD-1 Commission / Committee Maddy Act Lists / Vacancy Notices........................................................................................................CC-1 Commissions, Committees & Boards: Agendas, Agenda Packets.............................................................................................. CW-4 Commissions, Committees & Boards: Audio Recordings............................................................................................................ CW-4 Commissions, Committees & Boards: City Council Subcommittees .......................................................................................... CW-4 Commissions, Committees & Boards: Employees Staff Meetings / Department Staff Meetings............................................... CW-4 Commissions, Committees & Boards: External Organizations.................................................................................................... CW-4 Commissions, Committees & Boards: Minutes & Bylaws............................................................................................................ CW-5 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 9 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Committees, Boards & Commissions: Agendas, Agenda Packets.............................................................................................. CW-4 Committees, Boards & Commissions: Audio Recordings............................................................................................................ CW-4 Committees, Boards & Commissions: City Council Subcommittees .......................................................................................... CW-4 Committees, Boards & Commissions: Employees Staff Meetings / Department Staff Meetings............................................... CW-4 Committees, Boards & Commissions: External Organizations.................................................................................................... CW-4 Committees, Boards & Commissions: Minutes & Bylaws............................................................................................................ CW-5 Communications Dispatch Tapes (CAD) ....................................................................................................................................... PD-1 Community Outreach / Notifications - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ............ PW-2 Community Services Commission —VIDEO Recordings................................................................................................................CC-8 Community Services Commission Agendas, Agenda Packets...................................................................................................P&R-1 Community Services Commission Audio Recordings ................................................................................................................P&R-1 Community Services Commission Minutes ....................................................................................................................................CC-7 Community Services Commission Minutes, Resolutions & Bylaws...........................................................................................P&R-1 CompensationSurveys & Studies.................................................................................................................................................. HR-2 Complaints / Concerns from Citizens ............................................................................................................................................ CW-5 ComplaintsAgainst Employees..................................................................................................................................................... CW-6 Complaints Against Peace Officers ............................................................................................................................................... PD-4 Complaints: Odor/ Taste / Visual Complaints about Potable Water.............................................................................................PW-17 Completion Records: Grants / Reimbursable Claims —Successful Reports................................................................................ CW-9 Compliance Orders: Construction Notices / Inspection Notices......................................................................................................CD-2 Comprehensive Annual Financial Reports (CAFR) / Audits / Audit Reports (Copies).................................................................... CW-3 Comprehensive Annual Financial Reports and related Audit Opinions.......................................................................................... FIN-2 Computer Backups - WEEKLY (excludes Police) ........................................................................................................................... IT-1 Concernsfrom Citizens................................................................................................................................................................. CW-5 Conditions of Approval: Planning Project Files —Approved Permanent Entitlements .................................................................CD-8 Conferences (copies) ....................................................................................................................................................................CM-1 ConfinedSpace Entries ..............................................................................................................................................................PW-16 Conservation Program Grants & Rebates (Toilets, etc.)...............................................................................................................PW-16 Consolidations / LAFCO / Annexations / Boundaries .....................................................................................................................CD-4 Construction Documents and Building Plans — Finalled — Industrial, Commercial, Multi-Family Dwellings ..............................CD-1 Construction Documents and Building Plans — Finalled — Places of Public Accommodation, Tenant Improvements ..............CD-1 Construction Documents and Building Plans — Finalled —Single Family Residential (SFR) and Appurtenances......................CD-2 Construction Hydrant Meter Application & Approvals ..................................................................................................................PW-16 ConstructionInspection ................................................................................................................................................................ PW-3 Construction Inspection Database................................................................................................................................................. PW-3 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 10 of 38 @1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Construction Manager's Logs - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ...................... PW-2 Construction Notices / Inspection Notices ......................................................................................................................................CD-2 Construction Standards - Authored by the City ............................................................................................................................. PW-4 Consumer Confidence Reports ...................................................................................................................................................PW-20 Continuing Disclosure Reports - Bonds ........................................................................................................................................ FIN-2 Contract (copy) - CIP Projects where Engineering is the Lead: Permanent File /Scanned Records ............................................ PW-3 Contracts —ALL (Except Class Instructors)....................................................................................................................................CC-1 Contracts & Agreements —Administrative Files —with Grant Funding ..................................................................................... CW-2 Contracts & Agreements —Administrative Files.......................................................................................................................... CW-3 Contracts & Agreements —All Originals (Copies)........................................................................................................................ CW-1 Contracts & Agreements Unsuccessful Bids, Unsuccessful Proposals or Responses to RFPs............................................. CW-3 Copies of Resolutions: Elections — Historical................................................................................................................................CC-5 Copies or Duplicates of Any Record (Copies) ............................................................................................................................... CW-6 Correction Notices: Construction Notices / Inspection Notices .......................................................................................................CD-2 Correspondence - Regulatory Agencies Not Related to a CIP (State & Federal Agencies, EPA, Health Department, etc.) .......... PW-4 Correspondence - Regulatory Agency Compliance, Supporting Documentation (DPH, EPA, etc.) ..............................................PW-18 Correspondence— Routine .......................................................................................................................................................... CW-6 Correspondence—Transitory / Preliminary Drafts..................................................................................................................... CW-7 Correspondence & Notes — CEQA, Environmental Determinations, EIRs, etc ...............................................................................CD-5 Correspondence & Staff Notes — CEQA, Environmental Determinations, EIRs, etc.......................................................................CD-5 Correspondence, City Council .......................................................................................................................................................CM-1 Correspondence: Agreements & Contracts —Administrative Files —with Grant Funding ......................................................... CW-2 Correspondence: Agreements & Contracts —Administrative Files.............................................................................................. CW-3 Correspondence: Elections —General, Working or Administration Files....................................................................................CC-5 Correspondence: Grants — Unsuccessful.................................................................................................................................... CW-8 Correspondence: Grants / Reimbursable Claims —Successful Reports...................................................................................... CW-9 County Election Services: Elections —General, Working or Administration Files ......................................................................CC-5 Covenants, Conditions and Restrictions / CC&R Agreements .......................................................................................................CD-4 COVID-19 Notifications to Employees............................................................................................................................................ HR-2 Credits / Debits to Accounts ......................................................................................................................................................... FIN-8 CrimeReport Photos ..................................................................................................................................................................... PD-5 CRIME REPORTS / INCIDENT REPORTS: ALL, Except for those Specifically Mentioned Elsewhere (mandated purges) ......... PD-6 CRIME REPORTS / INCIDENT REPORTS: Factually Innocent Petition Accepted ...................................................................... PD-7 CRIME REPORTS / INCIDENT REPORTS: Firearms entered into CLETS .................................................................................. PD-7 CRIME REPORTS / INCIDENT REPORTS: IF IMAGED, Homicide, Others Deemed Appropriate to Maintain............................. PD-7 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 11 of 38 @1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. CRIME REPORTS / INCIDENT REPORTS: Marijuana / Cannabis §11359(e) - Juvenile on School Grounds............................... PD-9 CRIME REPORTS / INCIDENT REPORTS: Misdemeanor or Infraction - Adult Marijuana / Cannabis ......................................... PD-8 CRIME REPORTS / INCIDENT REPORTS: Misdemeanor or Infraction - Juvenile Marijuana/ Cannabis .................................... PD-8 CRIME REPORTS / INCIDENT REPORTS: Missing Persons (Returned)..................................................................................... PD-9 CRIME REPORTS / INCIDENT REPORTS: Sealed Adult, Juvenile and Ward Cases .................................................................. PD-9 CRIME REPORTS / INCIDENT REPORTS: Juvenile Child Abuse or Severe Neglect .................................................................. PD-8 Crime Statistics / Uniform Crime Reports (UCR) - Summaries (BCS) ........................................................................................... PD-9 CriminalIntelligence Files ............................................................................................................................................................. PD-2 CrossConnection / Backflow ......................................................................................................................................................PW-17 Cultural Arts - Activity Files / Program Files / Special Programs / Special Event Files & Reports.................................................P&R-1 Customer Concerns / Customer Complaints: Odor/ Taste / Visual Complaints about Potable Water ..........................................PW-17 D Daily Cash Summaries / Cashiers Reports / Cash Reports / Petty Cash ...................................................................................... FIN-7 Daily Equipment Checks - SENIOR VEHICLES FUNDED BY THE OCTA ..................................................................................PW-12 DailyInspection Log, Juvenile Log............................................................................................................................................... PD-13 Daily Inspections - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ......................................... PW-2 Daily Logs - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ................................................... PW-2 Daily Vehicle Inspections / Daily Equipment Checks - SENIOR VEHICLES FUNDED BY THE OCTA ........................................PW-12 Daily Vehicle Inspections / Daily Equipment Checks ...................................................................................................................PW-11 Data / Layers / GIS Database — Both City-wide and Specialized................................................................................................... CW-8 Database, Building Permit..............................................................................................................................................................CD-1 DE-166, 941 Forms, IRS 5500 Forms (Employee Benefit Plans) ................................................................................................ FIN-9 DE-6, DE-9, DE-9, DE-43, W-3, & DE-166, 941 Forms, IRS 5500 Forms (Employee Benefit Plans) ........................................... FIN-9 Debitsto Accounts ....................................................................................................................................................................... FIN-8 Deeds, Easements, Final Orders of Condemnations (All) (Copies) .............................................................................................. CW-8 Deeds, Easements, Liens, Rights of Way .....................................................................................................................................CC-2 Deeds, Easements, Liens, Rights of Way (copies)........................................................................................................................ PW-4 Deferred Compensation (459) Reports, Registers......................................................................................................................... FIN-9 DelinquentAccounts .................................................................................................................................................................... FIN-7 DemographicsCensus ..................................................................................................................................................................CD-5 Department of Fair Employment & Housing (DFEH or EEOC) Claims .......................................................................................... HR-2 Department Policies & Procedures/ Operation Directives / General Orders / Lexipol (Department Policies and Procedures) ....... PD-4 DepartmentReports ....................................................................................................................................................................PW-17 DepartmentStaff Meetings ........................................................................................................................................................... CW-4 Deposit Accounts / Trust Accounts / Refundable Deposits ........................................................................................................... CW-8 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 12 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Deposits, Bank ............................................................................................................................................................................. FIN-2 Design & Construction Standards -Authored by the City ............................................................................................................. PW-4 Destruction Authorization Forms ...................................................................................................................................................CC-8 DetectiveBureau ........................................................................................................................................................................... PD-2 Development Projects / Job Files: Permanent Files .................................................................................................................... PW-7 DFEHor EEOC Claims ................................................................................................................................................................. HR-2 Dial-a-Ride Applications ..............................................................................................................................................................P&R-3 Dial-a-Ride Database ..................................................................................................................................................................P&R-3 DigAlerts ....................................................................................................................................................................................PW-10 Dig Alerts / Underground Service Alerts (USA's) .........................................................................................................................PW-19 DirectDeposit Authorizations ....................................................................................................................................................... FIN-9 Disciplinary files involving Police Department personnel ............................................................................................................... HR-4 Dispatch ........................................................................................................................................................................................ PD-1 Distribution, Municipal Code Administration ...................................................................................................................................CC-7 DMVPull Notices (Except Police) .................................................................................................................................................. HR-2 DMV Pull Notices (Police Only)...................................................................................................................................................... PD-1 Domestic Violence Crime Reports.................................................................................................................................................. PD-6 DOT Program / CHP Inspections / Vehicle Safety Checks - SENIOR VEHICLES FUNDED BY THE OCTA ...............................PW-12 DOT Program / Vehicle Safety Checks / Daily Vehicle Inspections / Daily Equipment Checks ....................................................PW-11 Drafts & Notes — Drafts that are Revised....................................................................................................................................... CW-8 Drawings, Maps, Plans and Record Drawings, Large-Format Drawings, Capital Improvement Project "As-Built", Base Maps .... PW-4 Drought Compliance (Includes Appeals and Code Enforcement Notices of Violation) .................................................................. FIN-8 Drug & Alcohol Test Results — Negatives....................................................................................................................................... HR-3 Drug & Alcohol Test Results — Positives ....................................................................................................................................... HR-3 Due Diligence Reports (for warrants) ............................................................................................................................................. PD-9 Dumpster Permits, Transportation Permits, Heavy Load Permits, Wide Load Permits .................................................................. PW-6 DVD-r/ CD-r/ Blue Ray-R or other unalterable media that does not permit additions, deletions, or changes ................................. IT-2 E Easements, Final Orders of Condemnations, Deeds (All) (Copies) .............................................................................................. CW-8 Easements, Liens, Rights of Way ..................................................................................................................................................CC-2 Easements, Liens, Rights of Way (copies).................................................................................................................................... PW-4 Economic Development / Redevelopment/ Successor Agency ..................................................................................................... ED-1 Economic Development Projects, Programs, Subject & Issues (Issues and/or projects will vary over time) .................................. ED-1 Economic Interest Filings (FPPC 700 Series Forms —Statement of Economic Interests): All ........................................................CC-2 Economic Interest Filings (FPPC Form 603/635) - Lobbyist Reporting...........................................................................................CC-3 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 13 of 38 @1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. EEOCClaims ................................................................................................................................................................................ HR-2 EEOCReports, EEO-4 Reports .................................................................................................................................................... HR-3 EIRs (Environmental Impact Reports), Negative Declarations: Environmental Determinations — Inside City Boundaries ............CD-5 EIRs (Environmental Impact Reports), Negative Declarations: Environmental Determinations —Correspondence & Notes ........CD-5 EIRs (Environmental Impact Reports), Negative Declarations: Environmental Determinations —Outside City Boundaries .........CD-6 Elected Officials: Campaign Filings (FPPC 400 Series Forms) —Successful Candidates............................................................CC-4 Elections — Consolidated....................................................................................................................................................CC-3— CC-4 Elections —General, Working or Administration Files................................................................................................................CC-5 Elections — Historical ....................................................................................................................................................................CC-5 Elections — Petitions.......................................................................................................................................................................CC-6 Elements and Amendments, General Plan.....................................................................................................................................CD-6 E-mail or Social Media that Does Not Have a Material Impact on the Conduct of Business: ......................................................... CW-7 Embezzlement CRIME REPORTS / INCIDENT REPORTS ........................................................................................................... PD-7 Emergency Response Plan / Risk & Resiliency Assessment/ Hazard Mitigation Plan ................................................................PW-19 Employee File - Personnel Files - Employee File .......................................................................................................................... HR-6 Employee History Cards („White Card") ........................................................................................................................................ HR-3 Employee Incident, or Injury Reports from Employees - Workers Compensation Claims / Long Term Disability Claims .............. HR-8 Employee Investigation and Disciplinary files involving Police Department personnel ................................................................... HR-4 Employee Investigation Files (excludes Police) ............................................................................................................................. HR-3 Employees Grievances and Informal Complaints (Copies)............................................................................................................ CW-9 Employees Staff Meetings / Department Staff Meetings................................................................................................................ CW-4 Employment Applications for Unsuccessful Candidates ................................................................................................................ HR-7 EmploymentVerifications.............................................................................................................................................................FIN-10 EncroachmentPermits —Water ..................................................................................................................................................PW-17 Encroachment Permits / Excavation Permits: Temporary (Street Permits, Temporary Construction, Sidewalk Repairs, etc.) ...... PW-5 Encroachment Permits Permanent (Permanent structures in the City's Right of Way) ................................................................. PW-5 Encroachments - Permanent (Permanent structures in the City's Right of Way) ........................................................................... PW-5 Enforcement of Business License Code ....................................................................................................................................... FIN-6 EngineeringPermits Database...................................................................................................................................................... PW-5 Engineering Studies / Surveys - Preliminary Studies / Project Assessments / Geotechnical and Soil Reports / Hydrology ........... PW-5 Engineering.......................................................................................................................................................................PW-1 — PW-7 Enterprise System Catalogue (posted on line) ................................................................................................................................. IT-1 Environmental Determinations: Environmental Impact Reports (EIRs), Negative Declarations — Inside City Boundaries ............CD-5 Environmental Determinations: Environmental Impact Reports (EIRs), Negative Declarations —Correspondence & Notes ........CD-5 Environmental Determinations: Environmental Impact Reports (EIRs), Negative Declarations —Outside City Boundaries .........CD-6 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 14 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Environmental Determinations: Planning Project Files —Approved Permanent Entitlements .....................................................CD-8 Environmental Impact Reports (EIRs), Negative Declarations: Environmental Determinations — Inside City Boundaries ............CD-5 Environmental Impact Reports (EIRs), Negative Declarations: Environmental Determinations —Correspondence & Notes ........CD-5 Environmental Impact Reports (EIRs), Negative Declarations: Environmental Determinations —Outside City Boundaries .........CD-6 EOCActivations & Drills ................................................................................................................................................................ PD-1 Equipment Checks - SENIOR VEHICLES FUNDED BY THE OCTA ...........................................................................................PW-12 EquipmentChecks ......................................................................................................................................................................PW-11 EquipmentHistory Files ..............................................................................................................................................................PW-13 Escheat (Unclaimed money / uncashed checks) .......................................................................................................................... FIN-3 Ethics & Safety Training: Training —All Course Records .......................................................................................................... CW-16 EthicsTraining Certificates.............................................................................................................................................................CC-6 Evaluations - Personnel Files - Employee File .............................................................................................................................. HR-6 Evaluations / Surveys (Program Evaluations) .............................................................................................................................P&R-1 Excavation Permits: Temporary (Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts etc.) ... PW-5 Exemptions (Water) ....................................................................................................................................................................PW-19 External Organizations: Boards, Commissions & Committees ...................................................................................................... CW-4 ExtraPatrol Requests ................................................................................................................................................................... PD-4 F FacilityInspections ......................................................................................................................................................................PW-10 FacilityReservations ...................................................................................................................................................................P&R-2 Facility Use Rental Contracts / Field Use Contracts / Facility Use Requests................................................................................P&R-1 Factually Innocent Petition Accepted ............................................................................................................................................ PD-7 FalseAlarm Reports ...................................................................................................................................................................... PD-9 Fatal Traffic Accidents CRIME REPORTS / INCIDENT REPORTS................................................................................................ PD-7 Federal Tax Deposits, Adjustments, etc ....................................................................................................................................... FIN-9 FEMAClaims Successful Reports.............................................................................................................................................. CW-9 FEMA Reimbursement/ OES Reimbursements ........................................................................................................................... FIN-3 Field Investigation Cards (FI's) - After Entry into RMS ................................................................................................................ PD-10 FieldServices ...............................................................................................................................................................PW-10— PW-14 Field Use Contracts / Facility Use Requests ...............................................................................................................................P&R-1 FilmInterim Use Permits................................................................................................................................................................CD-6 Filming - Activity Files / Program Files / Special Programs / Special Event Files & Reports.........................................................P&R-1 Final Orders of Condemnations, Deeds, Easements (All) (Copies) .............................................................................................. CW-8 Final Results: Elections— Historical..............................................................................................................................................CC-5 Finance / Accounting.........................................................................................................................................................FIN-1 — FIN-5 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 15 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Finance / Business License, Utility Billing & Revenue.......................................................................................................FIN-5— FIN-8 Finance / Payroll ............................................................................................................................................................FIN-9 — FIN-10 Financial Reports - Reconciliations, Registers, Transaction Histories, Balance Sheets, Revenue & Expenditure Reports, etc .... FIN-4 Financial Reports - State or Federal: State Controller's Report, Local Government Compensation Report, Gas Tax .................. FIN-4 Financial Reports and related Audit Opinions ............................................................................................................................... FIN-2 FinancialServices Database ........................................................................................................................................................ FIN-3 FireFlow (OCFA) ........................................................................................................................................................................PW-17 Fire Hydrant Flow/ Pressure Tests (Development or Maintenance) ............................................................................................PW-17 Firearmsentered into CLETS ........................................................................................................................................................ PD-7 First Aid Reports / Minor Incident Reports ...................................................................................................................................P&R-1 FI's - Field Investigation Cards - After Entry into RMS ................................................................................................................ PD-10 FiscalAgent Statements .............................................................................................................................................................. FIN-2 FixedAssets ................................................................................................................................................................................ FIN-3 Flyers: Reference Materials — Produced by Other Departments................................................................................................ CW-13 Flyers: Reference Materials — Produced by Outside Organizations.......................................................................................... CW-13 Flyers: Reference Materials — Produced by Your Department................................................................................................... CW-13 FoodBank Distributions ..............................................................................................................................................................P&R-1 Food Distributions / Food Bank Distributions ...............................................................................................................................P&R-1 Foreclosure Notices / Notices of Defaults (NOD) - Not related to a City Loan / Case File ............................................................. ED-2 ForfeitureNotification .................................................................................................................................................................... PD-5 Form501 .......................................................................................................................................................................................CC-4 Found Property (Documents related to) ........................................................................................................................................ PD-5 FPPC 400 Series Forms (Campaign Filings): Other Committees .................................................................................................CC-4 FPPC 400 Series Forms (Campaign Filings): Successful Candidates.........................................................................................CC-4 FPPC 400 Series Forms (Campaign Filings): Those Not Required to File Original With City Clerk (Copies) ............................CC-4 FPPC 400 Series Forms (Campaign Filings): Unsuccessful Candidates.....................................................................................CC-4 FPPC 700 Series Forms —Statement of Economic Interests (Economic Interest Filings): All ........................................................CC-2 FPPCForm 501 .............................................................................................................................................................................CC-4 FPPC Form 801 (Gift to Agency Report) .......................................................................................................................................CC-3 FPPC Form 803 (Agency Report of New Positions) ......................................................................................................................CC-3 FPPC Form 803 (Event Ticket / Pass Distributions Agency Report) .............................................................................................CC-3 FPPC Form 803 (Event Ticket / Pass Distributions Agency Report) .............................................................................................CC-3 FPPC Form 805 (Agency Report of Consultants) ..........................................................................................................................CC-3 FPPC Form 806 (Agency Report of Public Official Appointments) .................................................................................................CC-3 FPPCForms 801 -806 ..................................................................................................................................................................CC-3 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 16 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. FuelInventories ..........................................................................................................................................................................PW-10 G GangSTEP Notice....................................................................................................................................................................... PD-10 Gangs / Informant Files ................................................................................................................................................................. PD-2 GarbageLiens & Releases .......................................................................................................................................................... PW-7 GasTax Report ............................................................................................................................................................................ FIN-4 General Files: Correspondence — Routine ................................................................................................................................... CW-6 General Orders / Lexipol (Department Policies and Procedures) .................................................................................................. PD-4 General Plan, Elements and Amendments.....................................................................................................................................CD-6 Generator Operation Logs & Inspections - Fixed / Stationary Generators ...................................................................................PW-10 Generator Operation Logs & Inspections - Fixed / Stationary Generators ...................................................................................PW-17 Generator Operation Logs & Inspections - Portable / Emergency Generators .............................................................................PW-11 Generator Operation Logs & Inspections - Portable / Emergency Generators .............................................................................PW-17 Geotechnical and Soil Reports / Hydrology Reports ..................................................................................................................... PW-5 Geotechnical Studies & Reports - CIP Projects where Engineering is the Lead: Permanent File /Scanned Records .................. PW-3 GIS Database / Data / Layers — Both City-wide and Specialized................................................................................................... CW-8 Grading Permits - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records........................................... PW-3 Grand Jury Reports and Responses (Regarding City Operations) ................................................................................................CM-1 Grant Agreement: Grants / Reimbursable Claims — Successful Reports..................................................................................... CW-9 Grants — Unsuccessful ................................................................................................................................................................ CW-8 Grants / Reimbursable Claims —Successful Reports.................................................................................................................. CW-9 Grievances and Informal Complaints — Employees (Copies)......................................................................................................... CW-9 Groundwater Extraction (Reported to County Water Basin Master) ............................................................................................PW-18 Gun and Narcotics Destruction Log (Documents related to) .......................................................................................................... PD-5 H Harassment Prevention: Training —All Course Records ........................................................................................................... CW-16 HardshipWaivers...........................................................................................................................................................................CD-3 HazardMitigation Plan ................................................................................................................................................................PW-19 Hazardous Materials Plans - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records.......................... PW-3 Hazardous Waste Manifests / Certificates of Disposal ................................................................................................................PW-11 Historic Preservation Survey, Evaluations and Designations .........................................................................................................CD-6 HistoricalElections.........................................................................................................................................................................CC-5 Historical List of Members - City Council, Board & Commission ....................................................................................................CC-2 Historical Projects & Historical Records .........................................................................................................................................CC-6 Historical Records & Historical Projects .........................................................................................................................................CC-6 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 17 of 38 @1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Historically Significant: Reports and Studies ............................................................................................................................... CW-14 Holding Cell Video Recordings (Jail surveillance, security) ......................................................................................................... PD-13 HomeOccupation ..........................................................................................................................................................................CD-8 Homicide CRIME REPORTS / INCIDENT REPORTS.................................................................................................................... PD-7 HousingAuthority Minutes .............................................................................................................................................................CC-7 Housing Authority, Redevelopment Agency, Successor Agency, Oversight Board Agenda Packets..............................................CC-1 HousingAuthority: Resolutions ......................................................................................................................................................CC-8 HousingDivision ............................................................................................................................................................................ ED-2 Housing Programs: Affordable Housing Projects, Rehabilitation, CDBG-funded Housing Projects ............................................... ED-2 Hydrant Flow / Pressure Tests (Development or Maintenance) ...................................................................................................PW-17 HydrantMeter Application & Approvals .......................................................................................................................................PW-16 HydrologyReports ....................................................................................................................................................................... PW-5 1 I-9s ................................................................................................................................................................................................ HR-4 Incident / Injury Reports (Potential Claims - medical and non-medical that do not result in a claim.) ........................................... HR-8 IncidentReports, Minor ...............................................................................................................................................................P&R-1 INCIDENT REPORTS: ALL, Except for those Specifically Mentioned Elsewhere (mandated purges) ......................................... PD-6 INCIDENT REPORTS: Factually Innocent Petition Accepted ....................................................................................................... PD-7 INCIDENT REPORTS: Firearms entered into CLETS .................................................................................................................. PD-7 INCIDENT REPORTS: IF IMAGED, Homicide, Others Deemed Appropriate to Maintain............................................................. PD-7 INCIDENT REPORTS: Marijuana/ Cannabis §11359(e) - Juvenile on School Grounds during School Hours .............................. PD-9 INCIDENT REPORTS: Misdemeanor or Infraction - Adult Marijuana / Cannabis ......................................................................... PD-8 INCIDENT REPORTS: Misdemeanor or Infraction - Juvenile Marijuana / Cannabis ..................................................................... PD-8 INCIDENT REPORTS: Missing Persons (Returned) Active CLETS Entries .................................................................................. PD-9 INCIDENT REPORTS: Sealed Adult, Juvenile and Ward Cases................................................................................................... PD-9 INCIDENT REPORTS: Juvenile Child Abuse or Severe Neglect ................................................................................................... PD-8 Incident, Injury, Accident Reports — Public & Employees (Copies).............................................................................................. CW-1 Incident, or Injury Reports from Employees - Workers Compensation Claims / Long Term Disability Claims ............................... HR-8 Incorporation: Historical Records & Historical Projects...................................................................................................................CC-6 Industrial, Commercial, Multi-Family Dwellings — Building Plans and Construction Documents - Finalled.....................................CD-1 Informal Complaints and Grievances — Employees (Copies)......................................................................................................... CW-9 InformantFiles (Gangs) ................................................................................................................................................................. PD-2 InformationRequests - Police ..................................................................................................................................................... PD-12 InformationTechnology.................................................................................................................................................................... IT-1 Initiative: Elections — Petitions........................................................................................................................................................CC-6 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 18 of 38 @1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Injury Reports (Potential Claims - medical and non-medical that do not result in a claim.) ............................................................ HR-8 Injury Reports from Employees - Workers Compensation Claims / Long Term Disability Claims .................................................. HR-8 Injury, Accident, Incident Reports — Public & Employees (Copies).............................................................................................. CW-1 Inspection Notices / Construction Notices ......................................................................................................................................CD-2 Instant Messaging: Correspondence —Transitory / Preliminary Drafts ...................................................................................... CW-7 Insurance Certificates: Agreements & Contracts —Administrative Files —with Grant Funding ................................................. CW-2 Insurance Certificates: Agreements & Contracts —Administrative Files...................................................................................... CW-3 Insurance Polices (City-owned policies) ...................................................................................................................................... HR-10 Intelligence Files (Criminal Intelligence Files)................................................................................................................................. PD-2 Intern Applications & Agreements ...............................................................................................................................................P&R-4 Internal Affairs Investigations - Involving Police Department Personnel ....................................................................................... PD-4 InternalPursuit Critiques ............................................................................................................................................................... PD-5 Inventories: Correspondence —Transitory / Preliminary Drafts.................................................................................................. CW-7 Investigation and Disciplinary files involving Police Department personnel ................................................................................... HR-4 Investigation files - Separation Agreements .................................................................................................................................. HR-6 Investigation Files (excludes Police) - Employee ........................................................................................................................... HR-3 Investigation Files and Arrest Files ................................................................................................................................................ PD-2 Investigations - Involving Police Department Personnel ............................................................................................................... PD-4 Investment Account Statements ................................................................................................................................................... FIN-2 Investment Bonds (Receipts) / Advisor Reports /Trade Tickets .................................................................................................. FIN-4 Investments / Arbitrage / Certificate of Deposit / Investment Bonds (Receipts /Advisor Reports / Trade Tickets / LAIF .............. FIN-4 Invitations: Correspondence —Transitory / Preliminary Drafts................................................................................................... CW-7 Invoices and Backup / Payment Vouchers.................................................................................................................................... FIN-1 Invoices to Outside Entities —Accounts Receivable ..................................................................................................................... FIN-5 Invoices, Petty Cash, Warrant Requests, Accounts Payable —All Backup Is Forwarded to Finance (Copies)........................... CW-1 Invoices: Agreements & Contracts —Administrative Files —with Grant Funding ...................................................................... CW-2 Invoices: Agreements & Contracts —Administrative Files........................................................................................................... CW-3 IRS 5500 Forms (Employee Benefit Plans) .................................................................................................................................. FIN-9 Issue Files / Special Projects / Subject Files ............................................................................................................................... CW-14 J Job Descriptions / Classification Specifications ............................................................................................................................. HR-5 Job Files (handwritten labor costs), Tract Files, Transfer Files - Tustin Water Works (TWW): Job Files .....................................PW-19 Journal Entries / Journal Vouchers ............................................................................................................................................... FIN-4 JournalVouchers ......................................................................................................................................................................... FIN-4 Journals / Payroll Registers / Pay Day Registers .........................................................................................................................FIN-10 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 19 of 38 @1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. JPA / JPIA Reports / General Liability Claim Runs ...................................................................................................................... HR-10 Juvenile Child Abuse or Severe Neglect CRIME REPORTS / INCIDENT REPORTS .................................................................... PD-8 K Kidnapping for Ransom CRIME REPORTS / INCIDENT REPORTS.............................................................................................. PD-7 L Lab Reports & Chains of Custody: Bacteriological and Organics ...............................................................................................PW-20 Lab Reports & Chains of Custody: Chemical (Includes Chlorine Residuals) ..............................................................................PW-20 Lab Reports & Chains of Custody: Lead & Copper ....................................................................................................................PW-20 Labor Relations Files - (Negotiation Notes, Correspondence, Interpretation of MOU Provisions, Documentation, etc.) ................ HR-5 LAFCO /Annexations / Boundaries / Consolidations .....................................................................................................................CD-4 LAIF (Local Agency Investment Fund) ......................................................................................................................................... FIN-4 Land Development Projects / Job Files: Administration File ........................................................................................................ PW-6 Land Development Projects / Job Files: Administration File ........................................................................................................ PW-6 Land Development Projects / Job Files: Permanent Files ........................................................................................................... PW-7 LandUse Plans .............................................................................................................................................................................CD-6 Large-Format Drawings, Capital Improvement Project "As-Built", Base Maps ............................................................................. PW-4 Lawsuits, Litigation, Pending Litigation (Copies) ......................................................................................................................... CW-10 Layers / GIS Database / Data — Both City-wide and Specialized................................................................................................... CW-8 Leave Requests / Vacation Requests ......................................................................................................................................... CW-10 Legal Advertising / Affidavits of Posting / Affidavits of Publications / Public Hearing Notices......................................................... CW-1 Lettersof Credit - Bonds ...............................................................................................................................................................CC-2 Letters: Correspondence — Routine.............................................................................................................................................. CW-6 Lexipol (Department Policies and Procedures) .............................................................................................................................. PD-4 Liability Forms / Release of Liability Forms / Permissions: Camps, Field Trips, Authorization to give Medicine, etc. ..................P&R-2 LiabilityWaivers ......................................................................................................................................................................... CW-10 LiabilityWaivers ..........................................................................................................................................................................P&R-4 Liens (All) (Copies)....................................................................................................................................................................... CW-8 Liens / Garbage Liens & Releases ............................................................................................................................................... PW-7 Liens, Rights of Way .....................................................................................................................................................................CC-2 Liens, Rights of Way (copies)........................................................................................................................................................ PW-4 Liens, Water ................................................................................................................................................................................PW-20 Lighting and Landscape Districts / Special District Assessment Rolls (to Tax Assessor for Tax Rolls) ......................................... FIN-1 Litigation, Pending Litigation, Lawsuits (Copies) ......................................................................................................................... CW-10 Livescan Results for Contracted Course Instructors or Custodial Staffhr-5 Loan Applications / Potential Buyers Denied, Cancelled or Withdrawn ......................................................................................... ED-3 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 20 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Local Government Compensation Report .................................................................................................................................... FIN-4 Logs, Watch Commander Logs ..................................................................................................................................................... PD-4 Logs: Arrest Packet, JDIC .......................................................................................................................................................... PD-10 Logs: Agreements & Contracts —Administrative Files —with Grant Funding............................................................................ CW-2 Logs: Agreements & Contracts —Administrative Files................................................................................................................ CW-3 Logs: Correspondence—Transitory / Preliminary Drafts ........................................................................................................... CW-7 Long Term Disability Claims (Includes all Accident, Incident, or Injury Reports from Employees) ................................................. HR-8 Lost & Found Property (Documents related to) ............................................................................................................................. PD-5 M MaddyAct Lists / Vacancy Notices ................................................................................................................................................CC-1 Mailing Lists: Correspondence —Transitory / Preliminary Drafts................................................................................................ CW-7 Maintenance Projects (All Records) ............................................................................................................................................. PW-1 Manuals: Reference Materials — Produced by Other Departments............................................................................................ CW-13 Manuals: Reference Materials — Produced by Outside Organizations ...................................................................................... CW-13 Manuals: Reference Materials — Produced by Your Department ............................................................................................... CW-13 Maps & Plans: Planning Project Files —Approved Permanent Entitlements...............................................................................CD-8 Maps, Plans and Record Drawings, Large-Format Drawings, Capital Improvement Project "As-Built", Base Maps ..................... PW-4 Marijuana/ Cannabis §11359(e) - Juvenile on School Grounds during School Hours.................................................................... PD-9 Marijuana/ Cannabis Citations ...................................................................................................................................................... PD-6 Master Plans, Specific Plans, Land Use Plans, etc. ......................................................................................................................CD-6 Master Plans: Bikeway, Park, Pavement, Traffic, Transportation, etc. ......................................................................................... PW-5 Master Plans: Parks Master Plans, etc. ......................................................................................................................................P&R-2 Material Safety Data Sheet (MSDS) / Chemical Use Report Form .............................................................................................. CW-10 Materials and Outlines: Training —All Course Records............................................................................................................. CW-16 MaterialsBoards ...........................................................................................................................................................................CD-6 Materials Testing Reports - CIP Projects where Engineering is the Lead: Permanent File/ Scanned Records............................ PW-3 MAV Recordings: Mobile Audio Video .......................................................................................................................... PD-10— PD-11 MCAS Tustin Legacy Closure & Reuse/Tustin Base Closure & Reuse Records ......................................................................... ED-1 MedicalFile (all employees) .......................................................................................................................................................... HR-6 Meeting Room Registrations: Correspondence—Transitory / Preliminary Drafts ...................................................................... CW-7 Memorandums: Correspondence — Routine................................................................................................................................. CW-6 Meter Mis-reads, Credits / Debits to Accounts .............................................................................................................................. FIN-8 MeterSize Changes Requests ....................................................................................................................................................PW-18 MinorIncident Reports ................................................................................................................................................................P&R-1 Minutes & Bylaws - Boards, Commissions & Committees ............................................................................................................ CW-5 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 21 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Minutes, Resolutions & Bylaws — Building Board of Appeals.........................................................................................................CD-7 Minutes, Resolutions & Bylaws — Zoning Administrator.................................................................................................................CD-7 Minutes, Resolutions & Bylaws —Audit Commission..................................................................................................................... FIN-1 Minutes, Resolutions & Bylaws — Community Services Commission............................................................................................P&R-1 Minutes, Resolutions & Bylaws — Planning Commission ................................................................................................................CD-7 Minutes, Resolutions & Bylaws — Public Art Committee ...............................................................................................................P&R-1 Minutes: Audit Commission, Community Services Commission, Planning Commission.................................................................CC-7 Minutes: City Council (Copies).................................................................................................................................................... CW-11 Minutes: City Council, Housing Authority, Redevelopment Agency, Successor Agency, Oversight Board. ....................................CC-7 Minutes: Community Services Commission, Planning Commission ...............................................................................................CC-7 Minutes: Housing Authority, Redevelopment Agency, Successor Agency, Oversight Board. ........................................................CC-7 Minutes: Oversight Board. .............................................................................................................................................................CC-7 Minutes: Planning Commission......................................................................................................................................................CC-7 Minutes: Redevelopment Agency, Successor Agency, Oversight Board. ......................................................................................CC-7 Minutes: Successor Agency, Oversight Board. ..............................................................................................................................CC-7 Misdemeanor or Infraction - Adult Marijuana / Cannabis ............................................................................................................... PD-8 Misdemeanor or Infraction - Juvenile Marijuana / Cannabis .......................................................................................................... PD-8 Missing Persons (Returned) Active CLETS Entries........................................................................................................................ PD-9 Mobile Audio Video (MAV) Recordings ......................................................................................................................... PD-10— PD-11 MOE (Maintenance of Effort) Report ............................................................................................................................................ FIN-4 Monthly Counts, Official Counts —Temporary Holding Facility..................................................................................................... PD-13 MovingCitations ........................................................................................................................................................................... PD-3 MSDS (Material Data Safety Sheet) / Chemical Use Report Form .............................................................................................. CW-10 Multi-Family Dwellings, Industrial, Commercial — Building Plans and Construction Documents - Finalled.....................................CD-1 MunicipalCode (Copies)............................................................................................................................................................. CW-11 Municipal Code Administration, Distribution ...................................................................................................................................CC-7 MunicipalCode and History File.....................................................................................................................................................CC-7 N NarcoticsBuy Fund Logs .............................................................................................................................................................. PD-2 Narcotics Destruction Log (Documents related to) ........................................................................................................................ PD-5 NarcoticsRegistrants .................................................................................................................................................................. PD-12 NCICValidation .......................................................................................................................................................................... PD-10 Negative Declarations, Environmental Impact Reports (EIRs): Environmental Determinations — Inside City Boundaries ............CD-5 Negative Declarations, Environmental Impact Reports (EIRs): Environmental Determinations —Correspondence & Notes ........CD-5 Negative Declarations, Environmental Impact Reports (EIRs): Environmental Determinations —Outside City Boundaries .........CD-6 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 22 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Negotiation Notes, Correspondence, Interpretation of MOU Provisions, Documentation, etc. ....................................................... HR-5 NeighborhoodWatch .................................................................................................................................................................... PD-1 Network Configuration Maps & Plans .............................................................................................................................................. IT-1 Newsletters: Reference Materials — Produced by Other Departments....................................................................................... CW-13 Newsletters: Reference Materials — Produced by Outside Organizations ................................................................................. CW-13 Newsletters: Reference Materials — Produced by Your Department.......................................................................................... CW-13 NewspaperClippings.................................................................................................................................................................. CW-11 Nomination Papers, Candidate Statements: Candidate File — Successful Candidates ................................................................CC-4 Nomination Papers, Candidate Statements: Candidate File — Unsuccessful Candidates............................................................CC-5 Non-payment Notices - Water Billing / Notice of Payment Delinquency & Impending Discontinuation (Initial, Final) .................... FIN-8 Notes — CEQA, Environmental Determinations, EIRs, etc..............................................................................................................CD-5 Notes & Drafts — Drafts that are Revised....................................................................................................................................... CW-8 Notes and Recordings —Staff Videoconference............................................................................................................................ CW-7 Notice of Completion - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records.................................... PW-3 Notices of Defaults (NOD) - Not related to a City Loan / Case File ................................................................................................ ED-2 Notices of Violation - Water Billing: Drought Compliance ............................................................................................................. FIN-8 Notices of Violation Business License Code Enforcement ............................................................................................................ FIN-6 Notices: Public Hearing Notices and Proofs of Publications ........................................................................................................ CW-11 NPDES Monitoring and Inspection - Water Operations ..............................................................................................................PW-18 NPDESMonitoring and Inspection .............................................................................................................................................. PW-8 NPDESAnnual Reports .............................................................................................................................................................. PW-8 NPDESPermits - Water Operations ............................................................................................................................................PW-18 NPDESPermits ........................................................................................................................................................................... PW-8 NSFChecks ................................................................................................................................................................................. FIN-7 NSF Checks Water Billing / Adjustments to Customer accounts .................................................................................................. FIN-9 O O&M Manuals - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records.............................................. PW-3 O&M Manuals - Operations & Maintenance Manuals ..................................................................................................................PW-11 O&M Manuals .............................................................................................................................................................................PW-18 OASDI, Federal Tax Deposits, Adjustments, etc .......................................................................................................................... FIN-9 Oaths of Office — City Council, Boards & Commission Members....................................................................................................CC-7 Oaths of Office - Personnel Files - Employee File ......................................................................................................................... HR-6 OESReimbursements ................................................................................................................................................................. FIN-3 OfficerDaily Logs .......................................................................................................................................................................... PD-3 Officer Involved Shootings CRIME REPORTS / INCIDENT REPORTS ......................................................................................... PD-7 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 23 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Officer Recordings: Body-Worn Cameras .................................................................................................................... PD-10— PD-11 Officer Recordings: Mobile Audio Video (MAV) Recordings ......................................................................................... PD-10— PD-11 Official Statements / Transcripts / Certificates of Participations (COPs) ....................................................................................... FIN-2 Open Channels, Slots, Stormwater Treatment Measures and Trash Cleaning ............................................................................. PW-9 Operation & Maintenance (Catch Basins, Field, General Cleaning, Open Channels, Slots, Stormwater Trash Cleaning) ............ PW-9 Operation Directives / General Orders / Lexipol (Department Policies and Procedures) ............................................................... PD-4 Operations & Maintenance Manuals - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records ............ PW-3 Operations & Maintenance Manuals (O&M Manuals) ..................................................................................................................PW-11 Operations & Maintenance Manuals (O&M Manuals) ..................................................................................................................PW-18 OpsPlan - Special Events ............................................................................................................................................................. PD-3 Ordinances — City Council (Copies) ............................................................................................................................................ CW-11 Ordinances ....................................................................................................................................................................................CC-7 OSHAInspections and Citations ................................................................................................................................................... HR-5 OSHA Inspections or Citations (copies) ..................................................................................................................................... CW-11 OSHAInspections, Citations ....................................................................................................................................................... HR-10 OSHA Logs - 200, 300, 301, 301 A, Inspections and Citations........................................................................................................ HR-5 OSHA Logs - 200, 300, 301, 301 A, OSHA Inspections, Citations ................................................................................................ HR-10 Other Committees: Campaign Filings (FPPC 400 Series Forms)...................................................................................................CC-4 Outlines and Materials: Training —All Course Records............................................................................................................. CW-16 OversightBoard Agenda Packets ..................................................................................................................................................CC-1 OversightBoard Minutes................................................................................................................................................................CC-7 P PAFs (Personnel Action Forms) - Personnel Files / Payroll File - Employee File ........................................................................... HR-6 ParkHistory Files ........................................................................................................................................................................P&R-2 ParkingCitations ........................................................................................................................................................................... PD-3 ParkingCode Enforcement ...........................................................................................................................................................CD-4 ParksMaster Plans .....................................................................................................................................................................P&R-2 PASDevice Calibration Logs ........................................................................................................................................................ PD-3 PatrolRequests ............................................................................................................................................................................ PD-4 Patrol ................................................................................................................................................................................. PD-3 — PD-4 PawnSlips .................................................................................................................................................................................... PD-2 PawnSlips................................................................................................................................................................................... PD-11 Payment Coupons (returned with payment) ................................................................................................................................. FIN-7 Payment Plans for outstanding parking citations received by indigent persons ............................................................................. PD-6 Payment Plans Water Billing - Amortization, Alternative Payment Plans, Deferrals, etc. .............................................................. FIN-9 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 24 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Payment Registers, Adjustment Registers ................................................................................................................................... FIN-6 Payroll ............................................................................................................................................................................FIN-9 — FIN-10 Payroll Benefit Files / Administration Forms (W-4s, Changes, Personnel Action Form copies, Vacation pay-off requests, etc.)..FIN-10 Payroll Journals / Payroll Registers / Pay Day Registers..............................................................................................................FIN-10 Payroll Tax Returns / OASDI, Federal Tax Deposits, Adjustments, etc. ....................................................................................... FIN-9 Pending Litigation, Lawsuits, Litigation (Copies) ......................................................................................................................... CW-10 Performance Bonds, Subdivision Bonds, Letters of Credit .............................................................................................................CC-2 Permissions & Requests to Receive Copies of Plans.....................................................................................................................CD-3 Permissions: Camps, Field Trips, Authorization to give Medicine, etc. .......................................................................................P&R-2 Permits —Water Encroachments .................................................................................................................................................PW-17 Permits & Backgrounds (Solicitors, Massage, Taxi, etc.) .............................................................................................................. PD-2 Permits (Temporary): Banner Obstruction Permits, Dumpster Permits, Transportation Permits, Heavy Load, Wide Load ........... PW-6 Permits, Building ............................................................................................................................................................................CD-1 Permits, Encroachments - Permanent (Permanent structures in the City's Right of Way) ........................................................... PW-5 Permits, NPDES - Water Operations ...........................................................................................................................................PW-18 Permits, Special Event/ Film Interim Use Permits ........................................................................................................................CD-6 Permits: Pressure Vessels, Boilers, etc. .....................................................................................................................................PW-11 Permits: Temporary (Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts etc.) ..................... PW-5 PERS / FICA & Medicare Adjustments - Quarterly Payroll Tax Returns / OASDI, Federal Tax Deposits, Adjustments, etc. ......... FIN-9 PERSAudit .................................................................................................................................................................................. FIN-4 PERS Reports - Annual Valuation Reports, Actuarial Valuation Reports ...................................................................................... FIN-9 Personnel Action Forms - Personnel Files / Payroll File - Employee File ....................................................................................... HR-6 Personnel Files - Employee File / Grievance File / Miscellaneous File .......................................................................................... HR-6 Personnel Files - Medical File (all employees) .............................................................................................................................. HR-5 Personnel Files - Medical File (all employees) .............................................................................................................................. HR-6 Personnel Files - Police Department Employees (By Employee) ................................................................................................... PD-1 Personnel Files - Police Department Employees / Department Training Files ............................................................................. PD-13 Personnel Files — Supervisor's Notes....................................................................................................................................... CW-12 PersonnelFiles (copies)............................................................................................................................................................. CW-11 Personnel Training Evaluations / Daily Observation Reports (Police) .......................................................................................... PD-13 Petitions — Elections.......................................................................................................................................................................CC-6 PettyCash ................................................................................................................................................................................... FIN-7 Petty Cash, Warrant Requests, Accounts Payable, Invoices —All Backup Is Forwarded to Finance (Copies)........................... CW-1 Photographs ............................................................................................................................................................................... CW-12 Photos - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records ......................................................... PW-3 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 25 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Photos - Crime Reports ................................................................................................................................................................. PD-5 PinkSlips - All Vehicles .................................................................................................................................................................CC-8 PitchessMotions Notifications ....................................................................................................................................................... PD-5 Places of Public Accommodation, Tenant Improvements — Building Plans and Construction Documents — Finalled.....................CD-1 PlanCheck Comments ..................................................................................................................................................................CD-2 PlanChecks for Building Permits.................................................................................................................................................. PW-6 Planning Commission —VIDEO Recordings...................................................................................................................................CC-8 Planning Commission Agendas, Agenda Packets .......................................................................................................................CD-7 Planning Commission Audio Recordings.....................................................................................................................................CD-6 PlanningCommission Minutes.......................................................................................................................................................CC-7 Planning Commission Minutes, Resolutions & Bylaws ...............................................................................................................CD-7 Planning Commission: Resolutions................................................................................................................................................CC-8 Planning Project Files —Approved Permanent Entitlements.......................................................................................................CD-8 Planning Project Log of Applications, Database.............................................................................................................................CD-7 Planning.............................................................................................................................................................................CD-4— CD-6 Plans & Maps: Planning Project Files —Approved Permanent Entitlements...............................................................................CD-8 Plans and Record Drawings, Large-Format Drawings, Capital Improvement Project "As-Built", Base Maps ............................... PW-4 Plans: Bikeway, Park, Pavement, Traffic, Transportation, etc. .................................................................................................... PW-5 Police Applicants & Police Volunteers - Backgrounds (UNSUCCESSFUL) ................................................................................... HR-1 PoliceChief/ Administration ......................................................................................................................................................... PD-1 Police Department Employees (By Employee) .............................................................................................................................. PD-1 Police Employees & Police Volunteers (SUCCESSFUL) ............................................................................................................... PD-4 PoliceRMS Database ................................................................................................................................................................. PD-11 Policies: Reference Materials — Produced by Other Departments ............................................................................................. CW-13 Policies: Reference Materials — Produced by Outside Organizations ....................................................................................... CW-13 Policies: Reference Materials — Produced by Your Department ................................................................................................ CW-13 Policy on Discontinuation of Residential Service for Nonpayment - Water Billing ......................................................................... FIN-9 Potential Claims - medical and non-medical that do not result in a claim.) .................................................................................... HR-8 PowerPointPresentations .............................................................................................................................................................CM-1 Precinct Maps: Elections —General, Working or Administration Files .......................................................................................CC-5 Pre-employment Medical Clearances - Personnel Files - Medical File (all employees) ................................................................. HR-5 Pre-employment Medical Clearances ............................................................................................................................................ HR-6 Preliminary Studies / Project Assessments / Geotechnical and Soil Reports / Hydrology Reports ................................................ PW-5 PressReleases .............................................................................................................................................................................CM-1 PressReleases ............................................................................................................................................................................. PD-5 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 26 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Pressure Vessels, Boilers, etc. Permits .......................................................................................................................................PW-11 Pre-Trip Inspections / DOT Program / CHP Inspections - SENIOR VEHICLES FUNDED BY THE OCTA ...................................PW-12 Pre-Trip Inspections / DOT Program / Vehicle Safety Checks / Daily Vehicle Inspections / Daily Equipment Checks .................PW-11 Private Land Development Projects / Job Files: Administration File............................................................................................. PW-6 Private Land Development Projects / Job Files: Permanent Files ................................................................................................ PW-7 Procedures & Regulations: Grants / Reimbursable Claims —Successful Reports....................................................................... CW-9 Procedures: Reference Materials — Produced by Other Departments ....................................................................................... CW-13 Procedures: Reference Materials — Produced by Outside Organizations.................................................................................. CW-13 Procedures: Reference Materials — Produced by Your Department........................................................................................... CW-13 Proclamations / Commendations ...................................................................................................................................................CC-7 ProfessionalStandards Unit........................................................................................................................................................... PD-4 Program Rules: Grants / Reimbursable Claims —Successful Reports........................................................................................ CW-9 Programs, Subject & Issues (Issues and/or projects will vary over time) .......................................................................................CM-1 Progress meetings - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ...................................... PW-2 Project Administration - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned .................................. PW-2 Project Administration: Agreements & Contracts —Administrative Files —with Grant Funding................................................. CW-2 Project Administration: Agreements & Contracts —Administrative Files ..................................................................................... CW-3 Project Assessments / Geotechnical and Soil Reports / Hydrology Reports ................................................................................. PW-5 Project Schedules - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ....................................... PW-2 Project Schedules: Agreements & Contracts —Administrative Files —with Grant Funding....................................................... CW-2 Project Schedules: Agreements & Contracts —Administrative Files ........................................................................................... CW-3 Projects, Programs, Subject & Issues (Issues and/or projects will vary over time) ........................................................................CM-1 Proofs of Publications and Public Hearing Notices: Notices........................................................................................................ CW-11 Prop. 218 proceedings - Assessment District Ballots, Protest Letters, & Envelopes ......................................................................CC-3 Property & Evidence Logs ............................................................................................................................................................. PD-6 Property & Evidence .......................................................................................................................................................... PD-5 — PD-6 PropertyAuctions .......................................................................................................................................................................... PD-6 ProposalsUnsuccessful................................................................................................................................................................ CW-3 Proposals, Successful .................................................................................................................................................................. CW-2 Proposals, Successful .................................................................................................................................................................. CW-3 Protest Letters, & Envelopes - Prop. 218 proceedings ..................................................................................................................CC-3 Public Art Committee Agendas, Agenda Packets ......................................................................................................................P&R-1 Public Art Committee Audio Recordings....................................................................................................................................P&R-1 Public Art Committee Minutes, Resolutions & Bylaws ..............................................................................................................P&R-1 Public Hearing Notices / Legal Advertising / Affidavits of Posting /Affidavits of Publications......................................................... CW-1 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 27 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Public Hearing Notices and Proofs of Publications: Notices........................................................................................................ CW-11 Public Noticing: Planning Project Files —Approved Permanent Entitlements .............................................................................CD-8 Public Records Requests / Information Requests— Police .......................................................................................................... PD-12 Public Records Requests / Request for Records / Subpoenas (Records / Duces Tecum) / Summons ..........................................CC-7 Public Relations / Press Releases .................................................................................................................................................CM-1 PublicWorks / Engineering ...............................................................................................................................................PW-1 — PW-7 Punch Lists - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned .................................................. PW-2 PurchaseCard Supporting Data .................................................................................................................................................. FIN-1 PurchaseOrders / Requisitions................................................................................................................................................... CW-12 PursuitCritiques ............................................................................................................................................................................ PD-5 Q Quarterly Payroll Tax Returns / OASDI, Federal Tax Deposits, Adjustments, etc. ........................................................................ FIN-9 Questionnaires / Surveys —That the City Issues......................................................................................................................... CW-14 R RadarCalibration Records ............................................................................................................................................................ PD-3 Radio Communications Dispatch Tapes (CAD) ............................................................................................................................. PD-1 RangeQualifications ..................................................................................................................................................................... PD-5 Reading File: Correspondence — Routine..................................................................................................................................... CW-6 Real Estate Appraisal Reports — Property NOT Purchased, Loans Not Funded.......................................................................... CW-12 Real Estate Appraisal Reports — Purchased Property, Funded Loans ....................................................................................... CW-12 Real Estate Appraisals - CIP Projects where Engineering is the Lead: Administration File/ NOT Scanned ................................ PW-2 Rebates, Water Conservation (Toilets, etc.) ................................................................................................................................PW-16 Recall or Referendum: Elections — Petitions ..................................................................................................................................CC-6 Reconciliations, Registers, Transaction Histories, Balance Sheets, Revenue & Expenditure Reports, etc ................................... FIN-4 Record Drawings, Large-Format Drawings, Capital Improvement Project "As-Built", Base Maps ................................................ PW-4 RecordedDocuments (All) (Copies)............................................................................................................................................. CW-8 Recordings - Audio, Commissions & Committees ........................................................................................................................ CW-4 Recordings — Staff Videoconference............................................................................................................................................. CW-7 Recordings - VIDEO of City Council ..............................................................................................................................................CC-8 Recordings of Telephone & Radio Communications Dispatch Tapes (CAD) ................................................................................. PD-1 Recordings: Body-Worn Cameras ................................................................................................................................ PD-10— PD-11 Recordings: Mobile Audio Video (MAV) Recordings ..................................................................................................... PD-10— PD-11 Records Destruction Authorization Forms .....................................................................................................................................CC-8 Records Destruction Lists / Certificate of Records Destruction (Copies)..................................................................................... CW-13 Records Requests / Information Requests — Police .................................................................................................................... PD-12 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 28 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Records Retention Schedules / Amendments to Records Retention Schedules ............................................................................CC-8 Records ........................................................................................................................................................................... PD-6— PD-12 RecreationBrochures .................................................................................................................................................................P&R-3 RecreationPrograms ..................................................................................................................................................................P&R-1 Recruitmentand Testing File ......................................................................................................................................................... HR-7 Recruitment File - Police Applicants & Police Volunteers (UNSUCCESSFUL) .............................................................................. HR-1 Recruitment File - Police Employees & Police Volunteers (SUCCESSFUL) .................................................................................. PD-4 Redevelopment / Successor Agency.............................................................................................................................................. ED-1 RedevelopmentAgency Minutes....................................................................................................................................................CC-7 Redevelopment Agency, Successor Agency, Oversight Board Agenda Packets............................................................................CC-1 Redevelopment Agency: Resolutions.............................................................................................................................................CC-8 RedevelopmentPlans ................................................................................................................................................................... ED-1 Redevelopment Projects & Project Areas ...................................................................................................................................... ED-1 Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals — Produced by Your Department................................ CW-13 Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals — Produced by Other Departments ............................ CW-13 Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals — Produced by Outside Organizations....................... CW-13 Refund Detail / Cash Receipts Detail / Backup/ Accounts Receivable Detail (Copies)................................................................. CW-5 RefundableDeposits .................................................................................................................................................................... CW-8 Registers / Pay Day Registers .....................................................................................................................................................FIN-10 Registers, Billing Registers, Payment Registers, Adjustment Registers ....................................................................................... FIN-6 Registers, Transaction Histories, Balance Sheets, Revenue & Expenditure Reports, etc ............................................................. FIN-4 Registrants: Arson ..................................................................................................................................................................... PD-12 Registrants: Narcotics ................................................................................................................................................................ PD-12 Registrants: Sex ......................................................................................................................................................................... PD-12 Registration / Applications / Liability Forms/ Release of Liability Forms/ Permissions: Camps, Field Trips ...............................P&R-2 Registration Database (Class /Active Net) ..................................................................................................................................P&R-1 Registryof Public Agencies............................................................................................................................................................CC-8 Regulations & Procedures: Grants / Reimbursable Claims —Successful Reports....................................................................... CW-9 Regulatory Agencies Correspondence - Not Related to a CIP (State & Federal Agencies, EPA, Health Department, etc.)........... PW-4 Regulatory Agency Compliance - Correspondence, Supporting Documentation (DPH, EPA, etc.) ..............................................PW-18 Regulatory Permits & Backgrounds (Solicitors, Massage, Taxi, etc.) ............................................................................................ PD-2 Reimbursable Claims / Grants —Successful Reports.................................................................................................................. CW-9 ReimbursementFEMA/ OES ...................................................................................................................................................... FIN-3 Release of Liability Forms / Permissions: Camps, Field Trips, Authorization to give Medicine, etc. ............................................P&R-2 Reorganization Studies (for employee classifications and department structures) ........................................................................ HR-1 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 29 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Report of Annual Discontinuations of Residential Service - Water Billing ..................................................................................... FIN-9 Report of data regarding the number, type, or disposition of complaints made against its officers (optional).................................. PD-5 Reports - CalPERS - Annual Valuation Reports, Actuarial Valuation Reports .............................................................................. FIN-9 Reports and Studies — Historically Significant, Zoning Studies.................................................................................................... CW-14 Reports and Studies —Other Than Historically Significant Reports, Annual Reports................................................................... CW-14 Reports to Grand Funding Agencies: Grants / Reimbursable Claims —Successful Reports ....................................................... CW-9 Reports, Canine (Police Service Dogs) Program Files: Action Reports, Monthly Reports ............................................................ PD-3 Reports, Subsidiary Ledgers, Reconciliations, Registers, Transaction Histories, Balance Sheets................................................. FIN-4 Reports: Annual State or Federal: State Controller's Report, Local Government Compensation Report, Gas Tax ..................... FIN-4 Reports: Annual State or Federal: State Controller's Report, Local Government Compensation Report, Gas Tax ..................... FIN-4 Reports: Building Activity ...............................................................................................................................................................CD-2 RepossessionNotices ................................................................................................................................................................. PD-13 Request for Records / Subpoenas (Records / Duces Tecum) / Summons ....................................................................................CC-7 Requests & Permissions to Receive Copies of Plans.....................................................................................................................CD-3 Requests for Meter Size Changes ...............................................................................................................................................PW-18 Requests from Other Cities: Correspondence —Transitory/ Preliminary Drafts ........................................................................ CW-7 Requisitions ................................................................................................................................................................................ CW-12 Reservationsof Facilities ............................................................................................................................................................P&R-2 Reservoirs /Tanks ......................................................................................................................................................................PW-18 Resolutions — City Council (Copies)............................................................................................................................................ CW-14 Resolutions: City Council, Housing Authority, Redevelopment Agency, Successor Agency, Planning Commission.......................CC-8 RespiratorFit Test ........................................................................................................................................................................ HR-6 Respirator Fit Tests - Personnel Files - Medical File (all employees) ............................................................................................ HR-5 ReturnedChecks / NSF Checks .................................................................................................................................................. FIN-7 Revenue & Expenditure Reports, etc ........................................................................................................................................... FIN-4 Revenue Bonds - Official Statements/ Transcripts/ Certificates of Participations (COPs) ........................................................... FIN-2 Revenue ...........................................................................................................................................................................FIN-5— FIN-8 RFls & Responses - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ....................................... PW-2 RFPs ............................................................................................................................................................................................ CW-2 RFPs ............................................................................................................................................................................................ CW-3 Ride-A-Long Waivers .................................................................................................................................................................... PD-3 Rightsof Way (copies).................................................................................................................................................................. PW-4 Rightsof Way ................................................................................................................................................................................CC-2 Rightsof Ways (All) (Copies) ....................................................................................................................................................... CW-8 Risk & Resiliency Assessment/ Hazard Mitigation Plan ..............................................................................................................PW-19 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 30 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. RiskManagement..............................................................................................................................................................HR-8 — HR-9 RMSDatabase ............................................................................................................................................................................ PD-11 S Safety & Ethics Training: Training —All Course Records .......................................................................................................... CW-16 Safety Data Sheet (MSDS) / Chemical Use Report Form............................................................................................................ CW-10 Sample Ballot: Elections— General, Working or Administration Files........................................................................................CC-5 Sample Ballot: Elections — Historical ............................................................................................................................................CC-5 SCADADatabase .......................................................................................................................................................................PW-18 ScholarshipApplications .............................................................................................................................................................P&R-3 SDS (Safety Data Sheet) / Chemical Use Report Form............................................................................................................... CW-10 Sealed Adult, Juvenile and Ward Cases ........................................................................................................................................ PD-9 Season Brochures / Recreation Brochures .................................................................................................................................P&R-3 Secretary of State Statement of Facts ...........................................................................................................................................CC-8 Senior Advisory Board - ALL Records .........................................................................................................................................P&R-3 Seniors - Activity Files / Program Files / Special Programs / Special Event Files & Reports.........................................................P&R-1 Separation Agreements, Background Investigation files ................................................................................................................ HR-6 Service Requests CMMS DATABASE ......................................................................................................................................PW-21 Service Requests CMMS DATABASE (Computerized Maintenance Management System) ......................................................PW-13 Service Requests - All Information Entered in CMMS Database .................................................................................................PW-14 Service Requests - All Information Entered in CMMS Database .................................................................................................PW-21 Service Requests - NOT entered in CMMS Database (or partial information entered into CMMS Database) ..............................PW-14 Service Requests - NOT entered in CMMS Database (or partial information entered into CMMS Database)...............................PW-21 Severe Neglect CRIME REPORTS / INCIDENT REPORTS .......................................................................................................... PD-8 SexRegistrants ........................................................................................................................................................................... PD-12 Sexual Assault CRIME REPORTS / INCIDENT REPORTS........................................................................................................... PD-7 SFR (Single Family Residential) and Appurtenances — Building Plans and Construction Documents - Finalled............................CD-2 SidewalkBlocking .........................................................................................................................................................................CD-4 Sidewalk Repairs, Traffic Control, Utility Cuts Permits .................................................................................................................. PW-5 SignCode Enforcement ................................................................................................................................................................CD-4 Single Family Residential (SFR) and Appurtenances — Building Plans and Construction Documents - Finalled............................CD-2 Slots, Stormwater Treatment Measures and Trash Cleaning ....................................................................................................... PW-9 Social Media that Does Not Have a Material Impact on the Conduct of Business: ........................................................................ CW-7 Soil Reports - CIP Projects where Engineering is the Lead: Permanent File/ Scanned Records................................................. PW-3 SoilReports / Hydrology Reports ................................................................................................................................................. PW-5 Solid Waste Liens / Garbage Liens & Releases ........................................................................................................................... PW-7 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 31 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Solid Waste Reduction / AB 939 Compliance / Tonnage Reports ................................................................................................ PW-7 SpeakerSlips ................................................................................................................................................................................CC-1 Speaker Slips: Correspondence —Transitory / Preliminary Drafts............................................................................................. CW-7 Special District Assessment Rolls (to Tax Assessor for Tax Rolls) ............................................................................................... FIN-1 Special Event Permits / Film Interim Use Permits .........................................................................................................................CD-6 SpecialEvents / Ops Plan.............................................................................................................................................................. PD-3 Special Programs / Special Event Files & Reports.......................................................................................................................P&R-1 Special Projects / Subject Files / Issue Files ............................................................................................................................... CW-14 SpecialStudies .............................................................................................................................................................................CD-8 SpecificPlans, Land Use Plans, etc. .............................................................................................................................................CD-6 Specifications - Job Descriptions / Classification Specifications .................................................................................................... HR-5 Specifications & Addenda - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records............................ PW-3 Specifications from Tustin Water Works (TWW): Job Files (handwritten labor costs), Tract Files, Transfer Files .......................PW-19 Speech Notes / PowerPoint Presentations ....................................................................................................................................CM-1 Sports - Activity Files / Program Files / Special Programs/ Special Event Files & Reports ..........................................................P&R-1 Staff Reports /Agenda Packets —City Council............................................................................................................................ CW-1 Staff Reports: Planning Project Files —Approved Permanent Entitlements................................................................................CD-8 Staff Schedules /Work Schedules (Parks & Recreation) .............................................................................................................P&R-3 Staff Videoconference Chats, Notes and Recordings.................................................................................................................... CW-7 StateApprovals of Water System ................................................................................................................................................PW-19 State Controller's Report, Local Government Compensation Report, Gas Tax ............................................................................. FIN-4 Statement of Economic Interests (Economic Interest Filings): All ..................................................................................................CC-2 Statementof Facts ........................................................................................................................................................................CC-8 Statements, Bank, Trustee, Fiscal Agent, Investment, etc. ........................................................................................................... FIN-2 Stop Work Notices: Construction Notices / Inspection Notices.......................................................................................................CD-2 StormwaterIllicit Discharges ........................................................................................................................................................ PW-8 Stormwater Monitoring / NPDES Monitoring and Inspection ........................................................................................................ PW-8 Stormwater Treatment Measures and Trash Cleaning ................................................................................................................. PW-9 Stormwater: Business Inspections .............................................................................................................................................. PW-8 Stormwater: NPDES Annual Reports ......................................................................................................................................... PW-8 Stormwater: NPDES Permits ...................................................................................................................................................... PW-8 Stormwater: Operation & Maintenance (Catch Basins, Field, General Cleaning, Open Channels, Slots, Trash Cleaning) .......... PW-9 Stormwater: TMDL Plan (Total Maximum Daily Load) Plan.......................................................................................................... PW-9 Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cut Permits.................................................... PW-5 StreetReport ............................................................................................................................................................................... FIN-4 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 32 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. StreetSweeping ........................................................................................................................................................................... PW-9 Stubs / Payment Coupons (returned with payment) ..................................................................................................................... FIN-7 Studies - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records......................................................... PW-3 Studies & Surveys Conducted on Behalf of the City (Sick Leave, Attrition, Benefits, etc.) ............................................................. HR-7 Studies / Surveys - Preliminary Studies / Project Assessments / Geotechnical and Soil Reports / Hydrology Reports ................. PW-5 Studies and Reports — Historically Significant, Zoning Studies.................................................................................................... CW-14 Studies and Reports —Other Than Historically Significant Reports, Annual Reports................................................................... CW-14 Subdivision Bonds, Letters of Credit .............................................................................................................................................CC-2 Subject & Issues (Issues and/or projects will vary over time) ........................................................................................................CM-1 Subject Files / Issue Files / Special Projects ............................................................................................................................... CW-14 Submittals - CIP Projects where Engineering is the Lead: Permanent File/ Scanned Records.................................................... PW-3 Subpoenas (Personal Appearance or Duces Tecum) - Police ..................................................................................................... PD-13 Subpoenas (Records / Duces Tecum) / Summons ........................................................................................................................CC-7 Subpoenas (Records) - Police .................................................................................................................................................... PD-13 Subsidiary Ledgers, Reconciliations, Registers, Transaction Histories, Balance Sheets, Revenue & Expenditure Reports, etc. .. FIN-4 Successful Candidates: Campaign Filings (FPPC400 Series Forms).............................................................................................CC-4 Successful Proposal - CIP Projects where Engineering is the Lead: Permanent File /Scanned Records .................................... PW-3 SuccessfulProposals ................................................................................................................................................................... CW-2 SuccessfulProposals ................................................................................................................................................................... CW-3 SuccessorAgency Minutes............................................................................................................................................................CC-7 SuccessorAgency ......................................................................................................................................................................... ED-1 Successor Agency, Oversight Board Agenda Packets...................................................................................................................CC-1 Successor Agency: Resolutions.....................................................................................................................................................CC-8 Summons ......................................................................................................................................................................................CC-7 Supply Inventories: Correspondence —Transitory / Preliminary Drafts...................................................................................... CW-7 Surveys - CIP Projects where Engineering is the Lead: Permanent File / Scanned Records........................................................ PW-3 Surveys - Preliminary Studies / Project Assessments / Geotechnical and Soil Reports / Hydrology Reports ................................ PW-5 Surveys & Studies - Compensation ............................................................................................................................................... HR-2 Surveys (Program Evaluations) ...................................................................................................................................................P&R-1 Surveys / Questionnaires —That the City Issues......................................................................................................................... CW-14 Surveysof Water System.............................................................................................................................................................PW-19 T TailgateTraining Meetings)......................................................................................................................................................... CW-16 Tanks / Reservoirs ......................................................................................................................................................................PW-18 TaxDeposits, Adjustments, etc .................................................................................................................................................... FIN-9 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 33 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Tax Returns / OASDI, Federal Tax Deposits, Adjustments, etc. ................................................................................................... FIN-9 Telephone & Radio Communications Dispatch Tapes (CAD) ........................................................................................................ PD-1 Telephone Messages: Correspondence—Transitory / Preliminary Drafts ................................................................................. CW-7 Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cut Permits ............................................................................ PW-5 Temporary Easements - CIP Projects where Engineering is the Lead: Administration File / NOT Scanned ................................ PW-2 TemporaryHolding Facility .......................................................................................................................................................... PD-13 Temporary Permits (Street Permits, Temporary Construction, Sidewalk Repairs, Traffic Control, Utility Cuts etc.) ....................... PW-5 Temporary Use Permits (Approved & Unapproved) ......................................................................................................................CD-8 Tenant Improvements, Places of Public Accommodation — Building Plans and Construction Documents — Finalled ....................CD-1 Text Messages: Correspondence —Transitory / Preliminary Drafts........................................................................................... CW-7 Thank Yous: Correspondence —Transitory / Preliminary Drafts ................................................................................................ CW-7 Theatre Programs - Activity Files / Program Files / Special Programs / Special Event Files & Reports........................................P&R-1 Those Not Required to File Original With City Clerk: Campaign Filings (FPPC400 Series Forms) — (Copies)................................CC-4 TimeCards (copies).................................................................................................................................................................... CW-15 TimeCards /Time Sheets ...........................................................................................................................................................FIN-10 TimeSheets ................................................................................................................................................................................FIN-10 TMDL Plan (Total Maximum Daily Load) Plan .............................................................................................................................. PW-9 TonnageReports ......................................................................................................................................................................... PW-7 TotalMaximum Daily Load Plan ................................................................................................................................................... PW-9 Tract Files, Transfer Files - Tustin Water Works (TWW): Job Files ............................................................................................PW-19 Tract History Files (Water Agreements, Easements, Main Extension Agreements) .....................................................................PW-19 TradeTickets ............................................................................................................................................................................... FIN-4 Traffic Accidents, Fatal CRIME REPORTS / INCIDENT REPORTS............................................................................................... PD-7 Traffic Control, Utility Cuts Permits................................................................................................................................................ PW-5 Traffic Control: Radar Calibration Records ................................................................................................................................... PD-3 TrafficCounts ............................................................................................................................................................................... PW-9 TrafficSpeed Surveys .................................................................................................................................................................. PW-9 Training —All Course Records.................................................................................................................................................. CW-16 Training — Police .......................................................................................................................................................................... PD-13 TrainingBulletins (Police) ............................................................................................................................................................ PD-13 Transaction Histories, Balance Sheets, Revenue & Expenditure Reports, etc ............................................................................. FIN-4 Transcripts / Certificates of Participations (COPs) / Bonds ........................................................................................................... FIN-2 Transfer Files - Tustin Water Works (TWW): Job Files ...............................................................................................................PW-19 Transient Occupancy Tax (TOT)„ etc. ........................................................................................................................................ FIN-5 Transmittal Letters: Correspondence —Transitory / Preliminary Drafts...................................................................................... CW-7 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 34 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Transportation Applications for Service (Dial-a-Ride, etc.) ..........................................................................................................P&R-3 Transportation Audits / PERS Audit, etc. ...................................................................................................................................... FIN-4 Transportation Audits: DMV & CHP, TDA Fiscal Audit, Triennial Performance Audit .................................................................PW-12 Transportation Dispatch System / Dial-a-Ride Database ............................................................................................................P&R-3 Transportation Permits, Heavy Load Permits, Wide Load Permits ................................................................................................ PW-6 TransportationSchedules ...........................................................................................................................................................P&R-3 TrashCleaning ............................................................................................................................................................................. PW-9 Travel / Conferences (copies) .......................................................................................................................................................CM-1 Travel Expense Reimbursement................................................................................................................................................... FIN-1 Travel Reimbursement—All Backup Is Forwarded to Finance (Copies).................................................................................... CW-1 Treasurer's Reports & Backup ..................................................................................................................................................... FIN-4 TreeDatabase / Tree Trimming ..................................................................................................................................................PW-12 TreeTrimming .............................................................................................................................................................................PW-12 Trust Accounts / Refundable Deposits ......................................................................................................................................... CW-8 TrusteeStatements ...................................................................................................................................................................... FIN-2 TurnOns and Turn Offs ............................................................................................................................................................... FIN-8 Tustin Base Closure & Reuse Records (Historically Significant) ................................................................................................... ED-1 Tustin Legacy Development Projects (MCAS) - Original Records Only ......................................................................................... ED-1 Tustin Water Works (TWW): Job Files (handwritten labor costs), Tract Files, Transfer Files ......................................................PW-19 U UNALTERABLE MEDIA (WORM / DVD-r/ CD-r/ Blue Ray-R) ....................................................................................................... IT-2 Undeliverable Envelopes: Correspondence—Transitory/ Preliminary Drafts............................................................................ CW-7 Underground Service Alerts (USA's) ...........................................................................................................................................PW-10 Underground Service Alerts (USA's) ...........................................................................................................................................PW-12 Underground Service Alerts (USA's) / Dig Alerts .........................................................................................................................PW-19 Underground Storage Tank (City Owned) ...................................................................................................................................PW-13 Uniform Building Codes / California Building Code.........................................................................................................................CD-3 Uniform Crime Reports (UCR) - Summaries (BCS)........................................................................................................................ PD-9 Unpaid Intern Applications & Agreements ...................................................................................................................................P&R-4 Unsuccessful Bids, Unsuccessful Proposals or Responses to RFPs............................................................................................. CW-3 Unsuccessful Candidates: Campaign Filings (FPPC400 Series Forms).........................................................................................CC-4 USA's - Underground Service Alerts ...........................................................................................................................................PW-10 USA's - Underground Service Alerts ...........................................................................................................................................PW-12 USA's - Underground Service Alerts / Dig Alerts .........................................................................................................................PW-19 Useof Force Review ..................................................................................................................................................................... PD-5 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 35 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. UseRequests .............................................................................................................................................................................P&R-1 UsedOil Disposal .......................................................................................................................................................................PW-13 USTs - Underground Storage Tank (City Owned) .......................................................................................................................PW-13 Utility Adjustment Slips / Meter Mis-reads, Credits / Debits to Accounts........................................................................................ FIN-8 Utility Billing & Revenue....................................................................................................................................................FIN-5— FIN-8 UtilityBilling Database ................................................................................................................................................................. FIN-8 UtilityBilling .................................................................................................................................................................................. FIN-5 UtilityCut Permits ......................................................................................................................................................................... PW-5 V Vacancy Notices - Board & Commission / Committee Maddy Act Lists..........................................................................................CC-1 Vacation House Checks / Extra Patrol Requests ........................................................................................................................... PD-4 Vacation Requests / Leave Requests ......................................................................................................................................... CW-10 Variances / Exemptions (Water) ..................................................................................................................................................PW-19 Vehicle & Equipment History Files ..............................................................................................................................................PW-13 VehicleAbatement ........................................................................................................................................................................CD-4 Vehicle Safety Checks / Daily Vehicle Inspections - SENIOR VEHICLES FUNDED BY THE OCTA ...........................................PW-12 Vehicle Safety Checks / Daily Vehicle Inspections / Daily Equipment Checks .............................................................................PW-11 Vehicle Titles (Pink Slips) - All Vehicles ........................................................................................................................................CC-8 Video Recordings —Audit Commission ......................................................................................................................................... FIN-2 VideoRecordings - City Council ....................................................................................................................................................CC-8 Video Recordings - Department Activity........................................................................................................................................... IT-2 Video Recordings - Parking Lots, Public Areas ............................................................................................................................ PD-13 Video Recordings - Police Operations.......................................................................................................................................... PD-13 VideoRecordings - Public Activity ................................................................................................................................................... IT-2 Videoconference Chats, Notes and Recordings............................................................................................................................ CW-7 Violations & Corrections (Water) .................................................................................................................................................PW-19 Visitors Logs: Correspondence —Transitory / Preliminary Drafts............................................................................................... CW-7 Voice Mails: Correspondence —Transitory / Preliminary Drafts................................................................................................. CW-7 Volunteer/ Unpaid Intern Applications & Agreements .................................................................................................................P&R-4 VulnerabilityAssessment ............................................................................................................................................................PW-19 W W-2s ............................................................................................................................................................................................FIN-11 W-4 .............................................................................................................................................................................................FIN-10 W-9s ............................................................................................................................................................................................ FIN-5 Waivers ...................................................................................................................................................................................... CW-10 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 36 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Waiversof Liability ......................................................................................................................................................................P&R-4 Warrant Requests, Accounts Payable, Invoices, Petty Cash —All Backup Is Forwarded to Finance (Copies)........................... CW-1 Warrants (Cashed / Paid) ............................................................................................................................................................. FIN-7 Warrants (Recalled or Served)..................................................................................................................................................... PD-13 WatchCommander Logs .............................................................................................................................................................. PD-4 WaterAudits ...............................................................................................................................................................................PW-19 Water Billing: Appeals - Payment Delinquency & Impending Discontinuation .............................................................................. FIN-8 Water Billing: Non-payment Notices / Notice of Payment Delinquency & Impending Discontinuation (Initial, Final) ..................... FIN-8 Water Billing: NSF Checks /Adjustments to Customer accounts ................................................................................................ FIN-9 Water Billing: Payment Plans: Amortization, Alternative Payment Plans, Deferrals, etc. ............................................................ FIN-9 Water Billing: Policy on Discontinuation of Residential Service for Nonpayment ......................................................................... FIN-9 Water Billing: Report of Annual Discontinuations of Residential Service ..................................................................................... FIN-9 Water Billing: Drought Compliance (Includes Appeals and Code Enforcement Notices of Violation) ............................................ FIN-8 WaterLiens .................................................................................................................................................................................PW-20 WaterMain Break Reports ..........................................................................................................................................................PW-20 WaterProduction Reports ...........................................................................................................................................................PW-20 Water Quality - Lab Reports & Chains of Custody: Bacteriological and Organics .......................................................................PW-20 Water Quality - Lab Reports & Chains of Custody: Chemical (Includes Chlorine Residuals) ......................................................PW-20 Water Quality - Lab Reports & Chains of Custody: Lead & Copper ............................................................................................PW-20 WaterQuality Master Plans........................................................................................................................................................... PW-5 Water Quality Reports /Annual Consumer Confidence Reports .................................................................................................PW-20 Water Quality Reports /Annual Consumer Confidence Reports .................................................................................................PW-20 WaterRights ...............................................................................................................................................................................PW-20 WaterUsage Reports ..................................................................................................................................................................PW-21 Water............................................................................................................................................................................PW-14— PW-17 Web Pages: Correspondence —Transitory/ Preliminary Drafts................................................................................................. CW-7 WeedAbatement ...........................................................................................................................................................................CD-4 Wells: History & Operations (Includes Abandoned or Destroyed Wells) ....................................................................................PW-21 WhiteCard - Employee History Cards ........................................................................................................................................... HR-3 Work Orders / Service Requests CMMS DATABASE ...............................................................................................................PW-21 Work Orders / Service Requests CMMS DATABASE (Computerized Maintenance Management System) ...............................PW-13 Work Orders / Service Requests - All Information Entered in CMMS Database ..........................................................................PW-14 Work Orders / Service Requests - All Information Entered in CMMS Database ..........................................................................PW-21 Work Orders / Service Requests - NOT entered in CMMS Database (or partial information entered into CMMS Database) .......PW-14 Work Orders / Service Requests - NOT entered in CMMS Database (or partial information entered into CMMS Database) .......PW-21 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 37 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Page No. Work Schedules (Parks & Recreation).........................................................................................................................................P&R-3 Workers Compensation Claim Runs / Monthly Reports ................................................................................................................. HR-7 Workers Compensation Claims / Long Term Disability Claims (Includes all Accident, Incident, or Injury Reports ........................ HR-8 Working File: Correspondence — Routine..................................................................................................................................... CW-6 WORM / DVD-r/ CD-r/ Blue Ray-R or other unalterable media that does not permit additions, deletions, or changes ................... IT-2 X Y Z ZoneChange ................................................................................................................................................................................CD-9 Zoning Administrator Agendas, Agenda Packets.........................................................................................................................CD-7 Zoning Administrator Audio Recordings.......................................................................................................................................CD-6 Zoning Administrator Minutes, Resolutions & Bylaws.................................................................................................................CD-7 Zoning Maps (Historically Significant) ...........................................................................................................................................CC-8 Zoning Maps (Historically Significant) ...........................................................................................................................................CD-9 Zoning Ordinance Amendments, Reclassifications /Zone Change ...............................................................................................CD-9 Zoning Studies: Reports and Studies.......................................................................................................................................... CW-14 Retention Schedule Index—Tustin, CA — FY 20-21 Update Page 38 of 38 ©1995—2017 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written consent Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), 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 De artments Accident, Incident, Injury Human Copies- Copies- reports: PUBLIC& Resources/ When No When No Mag, Copies retained for reference; Risk CW-001 EMPLOYEES,with associated Longer Longer Ppr GC§34090.7 Management MSDS, if a chemical was Required Required involved Accounts Payable, Invoices, Petty Cash, Warrant Requests, Copies- Copies- All originals go to Finance Travel Reimbursement, etc. When No When No Yes: Before Mag, Finance CW-002 (these are copies); GC Longer Longer Payment Ppr §34090.7 ALL backup is forwarded to Required Required Finance Brown Act challenges must be Affidavits of Publications/ filed within 30 or 90 days of Lead Dept. CW-003 Public Hearing Notices/Legal Mag' action; Statute of Limitations 2 years 2 years Mfr, OD, Advertising/Affidavits of Pp r on Municipal Government Posting actions is 3-6 months; GC §§34090, 54960.1(c)(1) Copies- Copies- Agenda Packets/Staff When No When No Mag'Mfr, Yes: After City Clerk CW-004 Reports: City Council Longer Longer P,pr S QC&OD GC§34090.7 Required Required Copies- Copies- Mag, Yes: Upon Ensure the City Clerk receives Agreements&Contracts ALL When No When No City Clerk CW-005 Mfr, OD, S Completio all original agreements; GC ORIGINALS Longer Longer Required Required Ppr n §34090.7 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Some grant funding agencies require audits; Statute of Limitations for Errors& Omissions is 10 years; Agreements&Contracts: 10 years or Completion + Published Audit Standards=4-7 ADMINISTRATIVE FILES After 10 years or years; Statute of Limitations: (with Grant Funding) Funding Contracts&Spec's=4 years, After Funding Mag, Yes: Upon Agency Yes: Before Wrongful Death=comp. +5 Lead Dept. CW-006 Completion Agency Audit, Mfr, OD, S/I Completio (Correspondence, Project Audit, if if required, Completion Ppr n years, Developers=comp. + 10 Administration, Project required, years; 2 CFR 200.333; CCP Schedules, Certified Payrolls, whichever iwhichever is s longer §337 et. seq., 21 CFR 1403.36 Invoices, Logs, RFP, etc.) longer & 1403.42(b); 24 CFR 91.105(h), 92.505, & 570.502(b), 29 CFR 97.42; OMB Circular A-133GC §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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Covers E&O Statute of Limitations (insurance Agreements&Contracts: certificates are filed with ADMINISTRATIVE FILES agreement); Published Audit Completion + Yes: Before Mag' p Yes: Upon Standards=4-7 years; Statute Lead Dept. CW-007 (Correspondence, Project Completion 10 years Mfr, ODof Limitations: Contracts& 10 years Completion , S/I Completio Spec's-4 years, Wrongful Administration, Project Ppr n Schedules, Certified Payrolls, Death=comp. +5 years, Invoices, Logs, RFP, etc.) Developers=comp. + 10 years; 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- When No When No Mag, Finance CW-009 Comprehensive Annual Longer Longer Ppr Copies; GC§34090.7 Financial Reports Required Required CW-010 Bids: See Agreements & Contracts 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Boards, Commissions, & Committees: City Council Subcommittees Mag, All recommendations are Staffing Dept. CW-011 2 years 2 years Ppr presented to the City Council; (Composed solely of less than GC§34090 et seq. a quorum of the City Council) Boards, Commissions, & Committees: External When No When No CW-012 Organizations Longer Longer Ppr' Non-records (e.g. County Board of Required Required 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 or 90 days of years years Ppr action; GC§§34090, AGENDAS,AGENDA 54960.1(c)(1) PACKETS. Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Department preference; State Staffing Dept. CW-014 CITY COUNCIL 2 years 2 years Op' law only requires for 30 days; GC§54953.5(b) AUDIO RECORDINGS of Meetings/Audio Tapes 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Boards, Commissions, & Committees: Residents 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 When No When No Yes: Current Yes: After Finance CW-016 Budgets-Finals Longer Longer Fiscal Year Mfr, OD, S/I 5 years Auditor; GC §34090.7, 40802, Required Required Ppr 53901 Cash Receipts Detail/Backup Copies- Copies- When No When No Mag, Finance CW-017 /Accounts Receivable Detail/ Longer Longer Ppr GC§34090.7 Refund Detail 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) City preference; Statute of Lead Limitations for personal (Responding) CW-019 Complaints/Concerns from Minimum 2 Minimum 2 Mag, property, fraud, etc. is 3 years; Dept. Citizens years years Ppr Claims must be filed in 6 months; CCP§340 et seq., 342, 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Human Send to Send to Ma Resources CW-020 Complaints Against Employees Human Human Ppr' GC§34090.7 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 GC§34090; City of San Jose or CW-023 business) 2 years 2 years Mag, v. Superior Court(Smith). Receives the Ppr S218066. Supreme Court of City's Original (e.g.Administrative, Chronological, California, 2017 Document General Files, Letters, Memorandums, Reading File, Working Files,etc.) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Electronic and paper records Correspondence- are filed and retained based TRANSITORY I upon their CONTENT. PRELIMINARY DRAFTS, Records, e-mails, electronic Interagency and Intraagency records, or social media Memoranda not retained in the postings where either the ordinary course of business Content relates in a substantive way to the Content NOT Substantive,or conduct of the public's NOT made or retained for the business, or that ARE made Dept. that purpose of preserving the or retained for the purpose Authors informational content for future of preserving the Document reference When No When No informational content for or CW-024 Longer Longer Mag, future reference are saved by Receives the (e.g.calendars,checklists,e-mail Required Required Ppr printing them out and placing or social media posting, flyers, in a file folder, or savin them City's Original invitations, instant messaging, g electronically in a folder Document inventories, logs, mailing lists, meeting room registrations, outside the e-mail system; If speaker cards,staff not mentioned here, consult videoconference chats, notes and the City Attorney to determine recordings, supply inventories, if a record is considered telephone messages,text transitory/preliminary drafts. messages,transmittal letters, GC§34090, GC §6252-164 thank yous, requests from other Ops. Cal.Atty. Gen. 317 cities, undeliverable envelopes, (1981)); City of San Jose v. visitors logs,voice mails, webpages,etc.) Superior Court(Smith). S218066. Supreme Court of California, 2017 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Deeds, Easements, Final Copies- Copies- City Clerk CW-025 Orders of Condemnations, When No When No Mag, Send all originals to the City Liens, Recorded Documents, Longer Longer Ppr Clerk; GC§34090.7 Rights of Ways (All) Required Required 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Meets auditing standards; Grants/CDBG/Reimbursable Grants covered by a Claims (SUCCESSFUL Consolidated Action Plan are Reports, other records required After required for 5 years; Uniform to pass the funding agency's Funding After Funding Admin. Requirements for audit, if required) Agency Agency Audit, Grants to Local Governments Lead Dept. CW-030 2 years Audit, if if required- Mag, is 3 years from expenditure Applications(successful),grant Required- Minimum 5 Ppr report or final payment of agreement, program rules, Minimum 5 years grantee or subgrantee; 2 CFR regulations&procedures, reports 200.333; 24 CFR-91.105(h), to grant funding agencies, years 92.505, 570.490, &570.502(a), correspondence,audit records, 29 CFR 97.42;-OMB Circular A- completion records 110&A-133; GC §34090; GC §8546.7 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, 12960, 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Copies- Copies- When No When No Mag, Risk Management Lawsuits, Litigation, Pending Longer Longer Yes: Before Yes: After 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) When No When No Preliminary drafts not retained Lead Dept. CW-033 Leave Slips/Time Off Longer Longer Mag' in the Regular Course of Requests Required Required Ppr Business GC§34090 Lead Dept. CW-058 Liability Waivers 2 years 2 years Ppr' GC§34090 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)/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 OC&OD Applies to qualified employers; chemical/substance/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 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). 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- Return any whole unused Municipal Code (these are When No When No Yes: Current Mag' codes to the City Clerk; City Clerk CW-036 copies) Longer Longer Original Mfr,p OD, I No 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 Notices: Public Hearing agStatute of Limitations on Staffing Dept. CW-038 Notices and Proofs of 2 years 2 years Pprr' Municipal Government actions Publications p is 3-6 months; GC§34090 Copies- Copies- When No When No Mag' Originals maintained by City Ppr City Clerk CW-039 Ordinances -City Council Longer Longer Yes (all) Mfr, S No 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 CW-040 Resources Upon Upon Separation Ppr City policy(all originals are sent to Human Resources); Except Police Department Separation or Separation or Transfer Transfer GC§34090.7 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Shred After Shred After Incorporation Incorporation Notes maintained in a separate into into Before folder to be incorporated into Lead Dept. CW-041 Personnel Files (Supervisor's Performance Performance Annual Mag' performance evaluation, or to Notes) Evaluation or Evaluation or Evaluation Ppr document progressive Documented Documented discipline; GC§34090 et seq. Discipline Discipline When No When No Preliminary Drafts; destroy Lead Dept. CW-042 Photographs Longer Longer Mag' unnecessary photographs. GC Required Required Ppr §§34090, 6252, 6254(a) Mag, Lead Dept. CW-043 Purchase Orders/Requisitions 2 years 3 years 5 years Mfr, OD, S Yes: After Department preference; GC OC&OD §34090 Ppr Lead Dept. Real Estate Appraisal Reports: Not accessible to the public; (Who Ordered CW-044 Property NOT purchased, 2 years 2 years Mag'PStatewide Guidelines show 2 the Appraisal) Loans not funded,etc. pr 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 91.105(h), & 570.502(b); 29 CFR 97.42, 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Records Destruction Lists/ Copies- Copies- When No When No Mag, City Clerk CW-046 Certificate of Records Longer Longer Ppr GC§34090.7 Destruction Required Required Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals, Newsletters, etc: When No When No ag CW-047 Produced by OUTSIDE Longer Longer Ppr' Non-Records ORGANIZATIONS (League of Required Required California Cities, Chamber of Commerce, etc.) Reference Materials: Policies, Procedures, Brochures, Flyers, Minimum 2 Minimum 2 Mag, Statewide guidelines propose Lead Dept. CW-048 Manuals, Newsletters, etc: superseded +2 or 5 years; GC Produced by YOUR years years Ppr §34090 Department Reference Materials: Policies, Procedures, Brochures, Flyers, en When Mag, Lead Dept. CW-049 Manuals, Newsletters, etc: Super,eded Superseded Ppr Copies; GC§34090.7 Produced by OTHER Departments CW-050 Reference or Working Files: See Correspondence TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). Reports and Studies Mag, Administratively and Lead Dept. CW-051 (Historically significant-e.g., 10 years P PMfr, OD, S/I Yes: After Historically significant, Zoning Studies) Ppr 10 years therefore retained permanently; GC §34090 Information is outdated after 10 Reports and Studies(other years; statewide guidelines Lead Dept. CW-052 than Historically significant 10 years 10 years Par' propose 2 years; If historically reports-e.g.Annual Reports) p 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 years Ppr §34090 et seq. Surveys/Questionnaires(that the City issues). If a summary of the data is ag Lead Dept. CW-055 compiled, the survey forms are 2 years 2 years Ppr' GC§34090 considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-15 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(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- Employees provide digital CW-056 Finance / When No When No Mag'p Yes: After signatures when they submit Mfr, OD, S/I Payroll Contains the employee's Longer Longer P r QC&OD their timecards, but some in signature Required Required Public Works and Community Services do not(another employee enters their time); IRS Reg §31.6001-1(e)(2), R&T§19530; LC§ 1174(d); 29 CFR 516.5; GC§34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-16 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper Active Total Media 1=Import (OFR) (Records Vital? after (in office) Retention Options M=Mfr Center) S=Scan Imaged& QC'd? Retentions 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 ears), since destruction is normally performed by file folder. HOLDS:Litigation, claims, complaints, audits,public records act requests, and/or investi ations suspend normal retention eriods(retention resumes after settlement or completion). 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)(1), LC §6429(c); GC §§12946, 12960, 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 Revision Approved: 8/3/2021 Ver. 10.0 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) 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 ears), 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 com letion). CITY CLERK Agenda Packets(includes Appeals): City Council, Housing Authority, Mag, Mfr, Yes: After Department preference; GC City Clerk CC-001 Redevelopment Agency, P P OD, Ppr S/I QC&OD §34090 Successor Agency, Oversight Board Agenda Packets: Speaker Preliminary drafts used to City Clerk CC-038 Slips 1 year 1 year Ppr produce minutes; GC §34090 et seq. Agreements&Contracts- ALL(Except Class Department Preference;All Instructors) infrastructure contracts should be permanent for Agreement or Contract emergency preparedness; Yes: Before Mag, Mfr, Yes: After City Clerk CC-002 includes all contractual Completion P P Completion OD, Ppr S QC&OD Statute of Limitations is 4 obligations(e.g. Specifications years; 10 years for Errors& and Successful Proposal/ 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-2 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). 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, Ppr Department preference; GC §34090 City Council, Board & City Clerk CC-005 Commission Historical List of P p Mag, Mfr, S/I Yes: After Department preference; GC OD, Ppr QC&OD §34090 Members City Clerk CC-006 Claim Forms 2 years 2 yeah Mag, Mfr, S/I Yes: After GC§34090 OD, Ppr QC&OD Department preference; Finals are maintained by Deeds, Easements, Liens, Mag, Mfr, S NCity Clerk; Department file City Clerk CC-007 Rights of Way P P Yes (all) OD, Ppr o may include correspondence; GC §34090 et seq. Economic Interest Filings City maintains original (FPPC 700 Series Forms- Mag, Mfr, S/I Yes: After 2 City Clerk CC-008 Statement of Economic 7 years 7 Years OD, Ppr years statements; GC Interests): ALL §81009(d)(e)(f)&(g) 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 Revision Approved: 8/3/2021 Ver. 10.0 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) 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Economic Interest Filings (FPPC Form 602/635)- 2 Yes: After 2 2 CCR 18615(d), GC City Clerk CC-009 Lobbyist Authorization years 3 years 5 years Mag, Ppr S/I years §34090 Reporting FPPC Form 801 (Gift to Yes: After 2 Must post on website; City Clerk CC-010 Agency Report) 7 years 7 years Mag, Ppr S/I years FPPC Opinion; GC §81009(e) 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; GC§34090; Appointments) years GC§81009(e) ELECTIONS-CONSOLIDATED Assessment District Ballots, City Clerk CC-016 Protest Letters, & Envelopes- 2 years 2 years Ppr GC§53753(e)(2) Prop. 218 proceedings 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Campaign Filings(FPPC 400 Series Forms&Form 501): Mag, Mfr, Yes: After 2 Paper must be retained for City Clerk CC-017 SUCCESSFUL CANDIDATES 2 Years P P OD, Ppr S years at least 2 years; GC (Elected Officials) §81009(b)&(g) Campaign Filings (FPPC 400 Paper must be retained for Series Forms & Form 501): Mag, MS fr, Yes: After 2 City Clerk CC-018 UNSUCCESSFUL 5 years 5 years OD, Ppr years at least 2 years; GC §81009(b)&(g) CANDIDATES Campaign Filings (FPPC 400 Series Forms): THOSE NOT Paper must be retained for City Clerk CC-019 REQUIRED TO FILE 4 years 4 years Mag, Ppr at least 2 years; GC ORIGINAL WITH CITY CLERK §81009(f)&(g) (copies) Campaign Filings (FPPC 400 Series Forms): OTHER Paper must be retained for City Clerk CC-020 7 7 MPat least 2 years COMMITTEES (PACS-not years years Mag, pr ; GC candidate-controlled) §81009(c)&(g) Department Preference; Statewide guidelines proposes 4 years for Candidate File: Nomination successful candidates, 2 Papers, Candidate Statement Term of Term of years for unsuccessful; CA City Clerk CC-021 Forms, etc. -SUCCESSFUL Office +4 Office +4 Mag, Ppr law states term of office CANDIDATES years years and 4 years after the expiration of term and does not delineate between the two; EC§17100 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-5 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). 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 City Clerk CC-024 resolutions, final results; 2 years P P Mag, Mfr, Retained for Historical S No Certificate of Election, Oath of OD, Ppr Value, GC §34090 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 Revision Approved: 8/3/2021 Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). 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 Pelection results, or final City Clerk CC-025 Recall or Referendum) + 1 year after + 1 year r pr examination if no election, petition after petition unless there is a legal or examination examination il FPPC proceeding. EC if petition is petition is §§17200(b)(3), 17400 insufficient insufficient 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 variety of subjects and City Clerk CC-027 Projects (e.g. Incorporation, P P Mag, Mfr,City S No media. Some media (e.g. City Seal,Awards of significant OD, pr 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 Revision Approved: 8/3/2021 Ver. 10.0 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) 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Minutes: City Council, Housing Authority, Redevelopment Agency, Successor Agency, City Clerk CC-028 Oversight Board,Audit P P Mag, Mfr, S/I No GC§34090 Commission, Community OD, Ppr 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 I Mag, Mfr, Yes: After Department preference City Clerk CC-030 Supplements P P OD, Ppr S/I QC'd &OD (retain one of each supplement); GC§34090 Oath of Office: City Council, Term of City Clerk CC-031 Boards&Commission Office +4 P P Mag, Mfr, S/I Yes: After Department Preference; GC Members years OD, Ppr QC'd &OD §34090 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 P Mag, Mfr, S/I Yes: After Department preference; GC Commendations OD, Ppr 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 10.0 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) 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Recordings-Video of City Council, Citizen's Finance Department Preference; Oversight CommitteeAudit Video recording of , City Clerk CC-035 10 years 10 years Mag, OD meetings are only 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/ City Clerk CC-037 Amendments to Records 10 years P P Mag, Mfr, S/I No GC§34090 et. seq. Retention Schedules OD, Ppr Resolutions: City Council, City Council, Housing Authority, City Clerk CC-038 Redevelopment Agency, P p Mag, Mfr, S/I No GC§34090 Successor Agency, Planning OD, Ppr Commission Secretary of State Statement City Clerk CC-041 of Facts/Registry of Public 2 years 2 years Mag, Ppr GC§34090 Agencies City Clerk CC-039 Vehicle Titles (Pink Slips)-All Sale or Sale or Mag, Ppr Department Preference; GC Vehicles Disposal Disposal §34090 City Clerk CD-037 Zoning Maps (Historically P P Yes (all) Mag, Mfr, S No Department Preference; GC Significant) OD, Ppr §34090.7 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 Minimum 2 Minimum 2 Department Preference; GC Manager CM-001 City Council Correspondence years ears Mag, Ppr §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 Projects, Programs, Subject& City 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 CM-004 Public Relations/Press Releases 2 years 2 years Mag, Ppr GC§34090 Manager City CM-005 Speech Notes/PowerPoint When No When No Longer Longer Mag, Ppr Notes, drafts, or preliminary Manager Presentations Required Required documents; GC§34090 et seq. Copies- Copies- When No When No Invoices are maintained by Finance CM-006 Travel/Conferences Longer Longer Mag, Ppr Finance; GC§34090.7 Required Required TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-1 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), 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 Department preference; Building Plans-Cancelled or Cancellation Yes: After Community Upon Upon Mag, Preliminary drafts not retained Develop./ CD-004 Withdrawn Cancellation Mfr, OD, S n the ordinary course of or Withdrawal Building or Withdrawal rawal Ppr QC&OD ibusiness; 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 Mag, Develop./ CD-005 MULTI-FAMILY DWELLINGS, P P Yes (all) Mfr, OD, S Yes: After common interest dwellings only; Building PLACES OF PUBLIC Ppr QC&OD Statewide guidelines propose 2 ACCOMMODATION, TENANT 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 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-2 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). 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 1-story with bearing walls less Building SFR and APPURTENANCES Ppr OC&OD 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) Mfr, OD, S QC&OD §34090 Building Ppr Community Certificate of Occup ancy( )CofO Expiration iration +2 Expiration + Yes until Department Preference; GC Develop./ CD-008 TEMPORARY years 2 years expired) Mag, Ppr §34090 Building Community Construction Notices I Until Cleared Until Cleared The finalled permit is the final/ Inspection Notices Develop./ CD-009 or Project or Project Mag, Ppr official record; these are Building (correction notices, compliance Completion Completion Preliminary Drafts; GC§34090 orders, stop work notices, etc.) Community Mag, Develop./ CD-010 Grading Plans P P Mfr, OD, S Yes: After Department Preference; GC OC&OD §34090 Building Ppr Community Develop./ CD-011 Reports: Building Activity 2 years 2 years Mag, Ppr GC§34090 Building 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 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-3 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complain , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). 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 QC&OD GC§34090 Building from Architects) Ppr Community Minimum Minimum Uniform Building Codes/California While While Department preference; GC Develop./ CD-014 Building Codes Ordinance is Ordinance is Mag, Ppr §50022.6 Building in Force in Force CODE ENFORCEMENT Community Minimum Minimum Develop./ Yes: Until Department preference; GC Code CD-015 Administrative Citation Hearings Resolution + Resolution + Resolution Mag, Ppr §34090 Enforce-ment 2 years 2 years Code Enforcement/Abatement Case Files/Administrative Citations/Vehicle Abatement Community (Includes appeals and Code MaDepartment preference; Case is Mag, Develop./ Yes: Until Yes: After open until satisfactorily resolved Code CD-016 Enforcement Complaint Letters) P P Resolution Mfr, OD, S QC&OD (some cases are not resolved); Enforce-ment MAJOR: STRUCTURAL I Ppr GC§34090 ILLEGAL DUMPING,SWIMMING POOLS, ETC. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-4 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complain , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). Code Enforcement/Abatement Case Files/Administrative Citations/Vehicle Abatement (Includes appeals and Code Community Department preference; Case is Enforcement Complaint Letters) Minimum Minimum Develop./ Yes: Until open until satisfactorily resolved CD-017 Resolution + Resolution + Mag, Ppr Code MINOR: WEED ABATEMENT, Resolution (some cases are not resolved); Enforce-ment VEHICLE ABATEMENT, 2 Years 2 years 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 Community When No When No Develop./ CD-019 Alcohol Beverage Control License ALonger Longer Mag, Ppr (Non-Records) Planning pp (ABC Applications) Required Required Community Mag, Develop./ CD-020 Annexations/Boundaries/ 5 years P P Mfr, OD, S/I Yes: After Land Records; GC§34090 Planning Consolidations/LAFCO Ppr QC&OD Community CC&R Agreements/Covenants, Mag' Yes: After Department Preference; GC Develop./ CD-039 Conditions and Restrictions P P Mfr, OD, S QC&OD §34090 Planning I I I 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 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-5 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). 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; Environmental Impact Reports Final environmental Develop. CD-022 P P Mfr, OD, S Community (EIRs), Negative Declarations, Mag' Yes: After determinations are required to / Planning etc.) Ppr QC&OD be kept a "reasonable period of time"; 14 CCR§15095(c); GC Inside City boundaries §34090 Not all internal communications and notes are required to be Environmental Determinations: saved; "E-mails that do not Environmental Impact Reports provide insight into the project (EIRs), Negative Declarations, or the agency's CEQA etc.) compliance with respect to the Community Completion of Completion project—are not within the Develop./ CD-022.1 Correspondence submitted to, CEQA of CEQA Mag, scope of section 21167.6, Planning or transferred from the agency, Process Process Ppr subdivision (e)and need not be and all internal agency retained." Golden Door communications, including staff Properties, LLC v. Superior notes related to a non-exempt Court of San Diego County CEQA action (County of San Diego, et al., Real Parties in Interest) (53 Cal.App.5th 733); PRC 21167,6; 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 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-6 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complain , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). 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 etc.) City Boundaries are with the Planning Required Required 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 Ppr §34090.7 Community Historic Preservation Survey, Mag' Yes: After Department Preference; GC Develop./ CD-025 Evaluations and Designations P P Mfr, OD, S/I QC&OD §34090 Planning Ppr Community Mag, Develop./ CD-034 Home Occupation P P Mfr, OD, S Yes: After Department Preference; GC 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 QC&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 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 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-7 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). Planning Commission, Building Board of Appeals, Zoning Copies- Copies- Administrator When No When No Mag'Yes Mfr, Send originals to the City Clerk; City Clerk CD-031 Longer Longer P,pr S No GC§34090.7 MINUTES, BYLAWS& Required Required RESOLUTIONS Planning Commission, Building Board of Appeals, Zoning Community Administrator Mag' Yes: After Department preference; Original Develop./ CD-029 P P Mfr, OD, S/I Staff Reports are filed in the Planning AGENDAS &AGENDA Ppr OC&OD project file; GC §34090 PACKETS Community Planning Project Log of Department Preference-Data Develop./ CD-032 Applications, Database Indefinite Indefinite Yes (all) Mag is interrelated; GC§34090, H&S Planning §19850 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 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-8 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complain claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). 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 kept a Planning Plans &Maps) Ppr QC&OD "reasonable period of time"; 14 CCR§15095(c); GC§§34090, Examples: Conditional Use Permits 34090.7 (CUPS), Correspondence, Design Review, Lot Line Adjustments, Parcel Maps, Site Plans,Tentative Subdivisions,Variances,Zone Changes,etc. Community Special Event Permits/Film Minimum 2 Minimum 2 Develop./ CD-028 Interim Use Permits years years Mag, Ppr GC§34090 Planning Community Minimum 2 Minimum 2 Mag' Yes: After Department Preference; GC Develop./ CD-035 Special Studies years years Mfr, OD, S QC&OD §34090 Planning Ppr Temporary Entitlements I Temporary Permits (Approved & Community Yes: Mag, Develop. CD-036 During Mfr, OD, S Unapproved): Minimum 2 Minimum 2 Yes: After Department preference; / Planning years years Event Ppr QC&OD GC§§34090 Christmas Tree Lots, Pumpkin Lots, Banner Permits, etc. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 8.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Page CD-9 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act request , audits and/or investigation suspend normal retention periods(retention resumes after settlement or com letion). Zoning Maps (Historically P P Yes (all) MfMag, S No Department Preference; GC City Clerk CD-037 Significant) r, O §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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 4.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED-1 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 MagPpr Department Preference; GC Develop. (Issues and/or projects will vary years years ' p §34090 over time) MCAS Tustin Legacy Closure& Reuse/Tustin Base Closure& Economic Reuse Records (Historically Minimum 2 Mag, Mfr, Yes: After Department Preference for Develop. ED-002 Significant) -Original Records years P P OD, Ppr S/I QC&OD Historical Purposes; GC§34090 Only(Final Studies I Environmental Documents,etc.) Economic Mag, Mfr, Yes: After Department Preference for Develop. ED-003 Redevelopment Plans P P OD, Ppr S/I QC&OD Historical Purposes; GC§34090 Redevelopment Projects&Project Areas Planning, Building and Engineering retains final (Ensure Planning has all documents of construction Economic ED-004 Environmental Documents, S/I Completion Completion Mag, Mfr, 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 Minimum 2 Mag, Mfr, Yes: After Department Preference for Develop. ED-005 Projects (MCAS)-Original years P P OD, Ppr S/I QC&OD Historical Purposes; GC§34090 Records Only TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 4.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED-2 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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). HOUSING DIVISION Economic Foreclosure Notices/Notices of When No When No 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 Required GC§34090 After the 5 years after HUD requires 5 years after the Housing Programs: Affordable the project completion; documents Housing Projects, Rehabilitation, Affordability Affordability imposing recapture/resale CDBG-funded Housing Projects, Period Period restrictions are 5 years after the Economic etc. Terminates, Terminates, affordability period terminates; Develop./ ED-007 5 years or the or the Mag, Mfr, S/I Yes: After Uniform Admin. Requirements Housing WITH a Recapture/Resale Written Written OD, Ppr QC&OD for Grants to Local Governments Restriction Agreement Agreement is 3 years from expenditure Terminates, Terminates, report; 2 CFR 200.333; 24 CFR Deeds are sent to City Clerk WhicheverWhichever 92.508(a)&(c)&570.502(a)(16), is Longer is Lon er 29 CFR 97.42, GC§34090 Housing Programs: Affordable HUD requires 5 years after the Housing Projects, Rehabilitation, project completion; documents CDBG-funded Housing Projects, I imposing recapture/resale etc. Loan Pay-off Loan Pay-off restrictions are 5 years after the Economic OR OR Mag, Mfr, Yes: After affordability period terminates; Develop./ ED-008 S/I Uniform Admin. Requirements Housing WITHOUT aRecapture/Resale Forgiveness Forgiveness OD, Ppr QC&OD f Restriction +5 years +5 years or Grants to Local Governments is 3 years from expenditure Deeds and Insurance are sent to report; 2 CFR 200.333; 24 CFR City Clerk 92.508(a)&(c)&570.502(a)(16), 29 CFR 97.42, GC §34090 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 Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-1 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 Finance/ Yes: Until Mag, Mfr, Yes: After Department Preference (meets Accounting FIN-002 (Includes Invoices, Travel 2 years 3 years 5 years Paid OD, Ppr S/I es&OD municipal government auditing Expense Reimbursements, standards); GC§34090 Check Request, Purchase Card Supporting Data, 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 Assessor for Tax Rolls) et seq. Audit Commission Brown Act challenges must be Finance/ Minimum 2 Minimum 2 filed within 30 or 90 days of Accounting FIN-004 AGENDAS,AGENDA years years Mag, Ppr action; GC§§34090, PACKETS. 54960.1(c)(1) Audit Commission Finance/ Department preference; State Accounting FIN-005 AUDIO RECORDINGS of 2 years 2 years Mag, OD law only requires for 30 days; Meetings/Audio Tapes GC§54953.5(b) Audit Commission Copies- Copies- When No When No Mag, Mfr, Send originals to the City Clerk; City Clerk FIN-006 Longer Longer Yes OD, Ppr S No GC§34090.7 MINUTES& BYLAWS Required Re uired TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . 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/ Comprehensive Annual Financial Mag, Mfr, Yes: After 90 Department Preference (copies); Accounting FIN-008 Reports and related Audit 10 years P P OD, Ppr S/I days GC§34090.7 Opinions Department Preference (meets municipal government auditing Finance/ FIN-009 Audit Work Papers 2 years 3 years 5 years Mag, Ppr standards); Statewide guidelines Accounting propose audit+4 years; Published articles show 3-7 years; GC§34090 Bank Statements and Trustee Statements, Fiscal Agent Department Preference; meets Finance/ FIN-010 Statements, Investment Account 2 years 3 years 5 years Mag, Ppr auditing standards; GC§34090, Accounting Statements, Bank 26 CFR 31.6001-1 Reconciliations, Bank Deposits, Bank Transmittal Advice Department Preference; Statute Bonds(Revenue)Official of Limitations for bonds, Statements/Transcripts/ mortgages, trust deeds, notes or Certificates of Participations Fully Full debentures is 6 years; Bonds Finance/ (COPs)- Includes Continuing y Yes: Until issued by local governments are 10 years 10 years Accounting FIN-011 Disclosure Reports Defeased + Defeased + Maturity Mag, Ppr 10 years; There are specific requirements for disposal of See Bank Statements for unused bonds; CCP §§336 et statement retention. seq. 337.5(a); 26 CFR 1.6001- 1(e): GC§43900 et seq. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-3 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . Finance/ Yes: Mag, Mfr, Yes: After 90 Department preference; GC Accounting FIN-012 Budgets-Adopted/Final P P Current OD, Ppr S/I days §34090 et seq. Fiscal Year Finance/ Budgets-Preliminary, Proposed, When No When No Accounting FIN-013 Backup Documents Longer Longer Mag, Ppr Preliminary drafts; GC§34090 Required Required Department preference;All tangible property held by Finance/ Escheat(Unclaimed money/ government agencies escheats Accounting FIN-014 uncashed checks) 5 years 5 years Mag, Ppr after 3 years; Statute of Limitations is 1 year for seized property; CCP§§340(d), 1519; GC§34090 Finance/ FIN-015 FEMA Reimbursement/OES 1 year 9 years 10 years Mag, Ppr Department Preference; GC Accounting Reimbursements §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 ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-4 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . Department Preference; Meets Investments/Arbitrage/ auditing standards; Published Certificate of Deposit/ articles show disposal + 7 years Finance/ Investment Bonds (Receipts/ Yes: Until for security brokerage slips; Accounting FIN-018 Advisor Reports /Trade Tickets/ 5 years 5 years Paid Mag, Ppr 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/ Journal Entries/Journal Mag, Mfr, standards; Statute of Limitations Accounting FIN-019 Vouchers 2 years 3 years 5 years OD, Ppr S/I No 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 I Required considered drafts or copies), GC PERIODIC) §34090 Reports: Annual State or Federal: State Controller's Finance/ Report, Local Government Mag, Mfr, Yes: After Department Preference; Meets Accounting FIN-021 Compensation Report, Gas Tax, 2 Years 3 years 5 years OD, Ppr S/I 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 Finance/ FIN-023 Treasurer's Reports &Backup 2 years 3 years 5 years Mag, Ppr Department Preference; GC Accounting §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-5 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . Department Preference (meets municipal government auditing Finance/ FIN-024 W-9s Minimum 5 Minimum 5 Yes: Until Mag, Mfr, Yes: After standards); Statewide guidelines Accounting years years Paid OD, Ppr S/I QC&OD propose audit+4 years; Published articles show 3-7 ears GC 34090 BUSINESS LICENSE UTILITY BILLING& REVENUE Finance/ Business Accounts Receivable - License, Miscellaneous-Damage to Mag, Mfr, Yes: After Department preference; Meets Utility FIN-025 Public Property, Invoices to 2 Years 3 years 5 years OD, Ppr S/I QC&OD auditing standards; GC§34090 et seq. Billing & Outside Entities, etc. Revenue Finance/ Business Department preference; Meets License, Accounts Receivable -Utility Mag, Mfr, Yes: After Utility FIN-026 Billing,etc. 2 years 3 years 5 years OD, Ppr S/I QC&OD auditing standards; GC §34090 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 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 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-6 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . 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 Billing & approvals); GC§34090 et seq. Revenue Business License Finance/ Business Administrative Citations I Code Enforcement I Enforcement of License, FIN-0311 Business License Close +2 Close +2 Mag, Mfr, Yes:/I Yes: After Department preference; GC . Utility years years OD, Ppr QC&OD §34090. Billing & Code (Includes Appeals and Revenue Code Enforcement Notices of Violation) 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 ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-7 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . 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, Checks/Warrants (Cashed/ Mag, Mfr, Yes: After municipal government auditing Utility FIN-034 Paid) 2 years 5 years 7 years OD, Ppr S/I QC&OD standards; GC§34090, CCP§ Billing & 337 Revenue Finance/ Business Department preference; License, Collections/Collection Agency Delinquencies remain on credit Utility FIN-035 Case Files &Statements/ 7 years 7 years Mag, Ppr reports for years; in §34090 Billing & Delinquent Accounts et seq. Revenue Finance/ Business License, FIN-036 Returned Checks/NSF Checks 5 years 5 years Mag, Ppr Department Preference; Meets Utility auditing standards; GC §34090 Billing & Revenue Finance/ Business When No When No Preliminary drafts not retained in License, FIN-037 Stubs/Payment Coupons Longer Longer Mag, Ppr the ordinary course of business; Utility (returned with payment) Required Required GC§34090 Billing & Revenue TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-8 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . 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/ Water Billing: Appeals-Payment Final Final Mag, Yes: After Documented or attached to FIN-050 Delinquency& Impending Decision +2 Decision +2 Ppr, Mfr, S Customer Record in database Accounting Discontinuation years ears OD QC&OD GC§34090; H&S §116908 Water Billing: Drought Mag, Documented or attached to Finance/ FIN-0501 Compliance (Includes Appeals Close +2 Close +2 Ppr, Mfr, S Yes: After Customer Record in database .Accounting and Code Enforcement Notices years years OD QC&OD GC§34090; H&S §116908 of Violation) Water Billing: Non-payment When No When No Mag, Documented or attached to Finance/ FIN-051 Notices/Notice of Payment Longer Longer Ppr, Mfr, S Yes: After Customer Record in database Accounting Delinquency& Impending Required Required OD QC&OD GC§34090; H&S §116908 Discontinuation (Initial, Final) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-9 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . Water Billing: NSF Checks/ When No When No Mag, Documented or attached to Finance/ FIN-052 Adjustments to Customer Longer Longer Ppr, Mfr, S Yes: After Customer Record in database Accounting accounts Required Required OD QC&OD GC§34090; H&S §116908 Expiration or Expiration or Finance/ Water Billing: Payment Plans: Completion Completion Mag' Yes: After Documented or attached to FIN-053 Amortization,Alternative Ppr, Mfr, S 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 M_ _ Mag, Finance/ Superseded Yes: After Must post to Website; H&S Accounting FIN-054 Discontinuation a Residential Minimum 2 Ppr, Mfr, S QC&OD §116906; GC§34090 Service for Nonpayment years ODWater Billing: Report of Annual Mag,Finance/ Minimum 2 Miniu2 Yes: After Must post to Website; H&S Accounting FIN-055 Discontinuations of Residential years years Ppr, Mfr, S 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 CalPERS Reports-Annual Finance/ Department Preference; GC Payroll FIN-042 Valuation Reports,Actuarial 2 years 3 years 5 years Mag, Ppr §34090 Valuation Reports DE-6, DE-7, DE-9, DE-43, W-3, & DE-166, 941 Forms, IRS 5500 Department Preference; IRS: 4 Forms (Employee Benefit Plans), yrs after tax is due or paid; Ca. Finance/ FTB: 3 years;Articles show 7 Payroll FIN-043 PERS/FICA& Medicare 2 years 3 years 5 years Mag, Ppr y Adjustments-Quarterly Payroll ears; 26 CFR§31.6001-1(e)(2), Tax Returns/OASDI, Federal R&T§19530-129 CFR 516.5- Tax Deposits,Adjustments, etc. 516.6, 29 USC 436, GC§34090 Finance/ Deferred Compensation (457) Department preference; GC Payroll FIN-044 Reports, Registers 2 years 3 years 5 years Mag, Ppr §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-10 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . Finance/ When No When No Preliminary drafts not retained in Payroll FIN-045 Employment Verifications Longer Longer Mag, Ppr the Regular Course of Business Required Required GC§34090 Department preference; IRS Payroll Benefit Files/ Regulation for W-4s is four Administration Forms (W-4s, years after the due date of such Finance/ Separation + Separation + Mag, Mfr, Yes: After tax for the return period to which copies, Vacation pay-off Payroll FIN-046 Changes, Personnel Action Form 5 years 5 years Yes OD, Ppr S/I 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 ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-11 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . 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 ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-1 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), 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 com letion). HUMAN RESOURCES Background File/Recruitment Hiring Hiring Department preference; 29 Human File-Police Applicants& CFR 1602.31 & 1627.3(b)(1), HR-024 Decision + 3 Decision+ 3 Mag, Ppr Resources Police Volunteers GC§§ 3105, 12946, 12960, (UNSUCCESSFUL) years years 34090; 29 USC 1113 EEOC/ADEA(Age) requires 1 year after benefit plan termination; Federal law Human Benefit Plan Documents Duration of Duration of Yes: For requires 6 years after filing Resources HR-001 (CaIPERS, Optical, Dental, the Contract the Contract Duration of Mag, Ppr date for retirement; State Law etc.) +6 years +6 years Contract requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC§§12946, 12960, 34090 Bureau of National Affairs recommends 2 years for all Classification/Reorganization supplementary Personnel Human HR-002 Studies (for employee Minimum 3 Minimum 3 Mag, Ppr records; Wage rate tables are Resources classifications and department years years 1 or 2 years; State requires 2 structures) years; 29 CFR 516.6, 29 CFR 1602.14, GC §§12946, 12960, 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 Revision Approved: 8/3/2021 Ver. 13.0 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Bureau of National Affairs recommends 2 years for all supplementary Personnel Human HR-003 Compensation Surveys & Minimum 3 Minimum 3 Mag, Ppr 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, 12960, 34090 Human HR-003.1 COVID-19 Notifications to 3 years 3 years Mag, Ppr LC§6409.6(k), GC§34090 Resources Employees All State and Federal laws require retention until final Human Department of Fair Final Final disposition of formal Resources HR-004 Employment&Housing (DFEH Disposition + Disposition + Mag, Ppr complaint; State requires 2 or EEOC)Claims 3 years 3 years years after"fully and finally disposed"; 2 CCR 11013(c); GC§§12946, 12960, 34090 When When Human HR-005 DMV Pull Notices (Except Superseded, Superseded, Mag, Ppr Department preference (Not Resources Police) or Upon or Upon City Records); GC§34090 Separation Separation 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 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Department preference; D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC/FLSA/ADEA(Age) Human Drug &Alcohol Test Results requires 3 years physical Resources HR-006 (All-Positives and Negatives) 5 years 5 years Mag Ppr examinations; State Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC§§12946, 12960, 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, 12960, 34090 Department Preference for consistency with Personnel Human HR-025 Employee Investigation Files Separation + Separation + Mag, P r Files; 29 CFR 1602.31 & Resources (excludes Police) 6 years 6 years 1627.3(b)(1), GC §§3105, 12946, 12960, 34090- 29 USC 1113; LC§1198.5 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 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-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) 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). State requires for at least 5 years for civilian complaints; other State &Federal laws require retention until final disposition of formal Employee Investigation and Final Final complaint; State requires 2 Human years after action is taken; Resources HR-026 Disciplinary files involving Disposition + Disposition + Mag, Ppr Statute of Limitations is 4 Police Department personnel 5 years 5 years years after the discovery of the offense for misconduct in office; PC 801.5, 803(c) ; EVC § 1045(b)(1), GC §§12946, 12960, 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 HR-008 I-9s Separation + Separation + Mag Ppr (Age) requires 3 years for Resources 3 years 3 years "any other forms of employment inquiry"; State Law requires 2-3 years; 8 CFR 274a.2-129 CFR 1627.3(b)(1); GC §§12946, 12960, 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 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-5 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Department preference; EEOC/FLSA/ADEA(Age) requires 3 years for Minimum Minimum promotion, demotion, Human Job Descriptions/ Mag, Mfr, Yes: After transfer, selection, or +3 years +3 years Resources HR-009 Classification Specifications Superseded Superseded OD, Ppr S/I QC&OD discharge; State Law requires 2-3 years; retirement benefits is 6 years from last action; 29 CFR 1602.31 & 1627.3(b)(1), GC§§12946, 12960, 34090 Labor Relations Files Human 5(Negotiation Notes, Minimum 5 Minimum 10 Mag, Mfr, Yes: After Department Preference; GC Resources HR-010 Correspondence, Interpretation years years years OD, Ppr S/I 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-6 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Department Preference; Personnel Files-Employee 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)(1), GC§§ 3105, 12946, 12960, 34090-129 USC 1113; LC §1198.5 Whichever Whichever is Department preference; Files is Longer: Longer: maintained separately; Personnel Files-Medical File Separation (all employees) +24 years; Separation + Claims can be made for 30 30 OR years; OR years for toxic substance Yes:After Human Separation + Termination Yes: Until Mag, Mfr, exposure; 8 CCR 5144, 8 HR-013 Pre-employment Medical Termination S Separation + Resources Clearances, ADA 6 years of Benefits of Benefits + Separation OD, Ppr 1 year CCR 15400.2-18 CCR Accommodations, Respirator +5 years; 5 years; OR §3204(d)(1)et seq., 29 CFR Fit Tests, etc. OR Death o Death of 1910.1020(d)(1)(i), GC Employee + Employee +5 §§12946, 12960, 34090; LC 5 years years §1198.5 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 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Recruitment and Testing File (Includes Advertisements, Department preference; Applications for Unsuccessful EEOC/FLSA/ADEA(Age) Candidates, Background Hiring Hiring requires 1-3 years; State Law Human requires 2-3 years;29 CFR HR-014 Investigations(Unsuccessful Decision + 3 Decision + 3 Mag, Ppr Resources 1627.3(b)(1), 29 CFR Candidates), Interview Notes, years years Job Brochures, Test Data, 1602.14; 2 CCR 11013(c); 2 Testing Analysis &statistical CCR 7287.0(c)(2), GC Metric, Job Analysis, Rating §§12946, 12960, 34090 Sheets, Scantrons, etc.) Department preference; Per Human Recruitment Database NeoGov Policy; 29 CFR Resources HR-027 (NeoGov) 5 years 5 years Mag 1627.3(b)(1), 29 CFR 1602.14;.2 CCR 11013(c); GC§§12946, 12960, 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-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) 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Whichever Whichever is is Longer: Longer: Department preference; Files Separation Separation + maintained separately; Workers Compensation Claims +20 years;130 years; OR Claims can be made for 30 Yes: After Mfr,, /Long Term Disability Claims Separation + OR Termination Yes: Until Mag, years for toxic substance 10 P HR-017 (Includes all Accident, Incident, Termination of Benefits + S exposure; 8 CCR 5144, 8 Resources or Injury Reports from years of Benefits 5 years; OR Separation OD, pr QC&OD CCR 15400.2; 8 CCR Employees) +5 years; Death of §3204(d)(1)et seq., 29 CFR OR Death of Employee +5 1910.1020(d)(1)(i), GC Employee + years §§12946, 12960, 34090 5 years= RISK MANAGEMENT Accident/Incident/Injury Risk Manag. HR-018 Reports (Potential Claims- 2 years 2 years Mag, Ppr Department preference; CCP medical and non-medical that §340.5, GC §34090 do not result in a claim.) Claim must be filed within 1 year, lawsuit within 2 years; complaints against peace officers within 5 years; 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, 34090, 34090.6; PC §832.5(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 Revision Approved: 8/3/2021 Ver. 13.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-9 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investi ations suspend normal retentionperiods(retention resumes after settlement or com letion). Insurance Polices (City-owned Mag, Mfr, Yes: After Department Preference; GC Risk Manag. HR-020 policies) P P OD, Ppr S/I 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 301A, OSHA Inspections, 5 years 5 years Mag, Mfr, S Yes: After 7 years; OSHA requires 5 Citations OD, Ppr QC&OD years; State law requires 2 years; 8 CCR§3203(b)(1), GC§34090.7; LC§6429c TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 5.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 Backups- DAILY(Monday- copy and can be destroyed Required Required Technology IT-001 Thursday) Longer Longer Yes Mag. 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 recovery; Considered a copy Technology IT-002 Backups-WEEKLY Longer Longer Yes Mag. and can be destroyed when no Required Required 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 ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 5.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-2 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or com letion . 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/DVD-r/CD-r/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 ©1995-2017 Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 8/3/2021 Ver. 7.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-1 Office of Retention No. Records Description Retention/Disposition Comments/Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), 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 Parks& P&R-002 Required- Requer ired- Mag, Ppr er 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 Ma Public Art Committee Minimum 2 Minimum 2 Department preference; GC Recreation years years g, Ppr §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- Public Art Committee When No When No Mag'Yes MfSend originals to the City City Clerk P&R-005 Longer Longer Ppr, S No Clerk; GC§34090.7 MINUTES& BYLAWS 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 Revision Approved: 8/3/2021 Ver. 7.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-2 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act requests, audits and/or investigations suspend normal retention enods(retention resumes after settlement or com letion). 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,pOD, S/I QC&OD §34090 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 7.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-3 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act requests, audits and/or investigations suspend normal retention enods(retention resumes after settlement or com letion). Parks & Department preference (meets Recreation P&R-014 Scholarship Applications 5 years 5 years Mag, Ppr municipal government auditing 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 Recreation P&R-023 Staff Schedules/Work Schedules Longer Longer 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& P&R-018 Transportation Dispatch System / Indefinite Indefinite Mag, Ppr Department preference; GC§§ Recreation Dial-a-Ride Database 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 7.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-4 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Image: Destroy Inactive Paper (OFR) Active (Records Total Vital? Media 1=Import 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 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaint , claims,public records act requests, audits and/or investigations suspend normal retention enods(retention resumes after settlement or com letion). 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)(1), 8 CCR §3204(d)(1)et seq., GC §§12946, 12960, 34090 Courts treat volunteers as employees; EEOC/FLSA/ADEA(Age) Volunteer/Unpaid Intern requires 3 years for promotion, Yes: 1 Parks& Applications&Agreements Inactive/ Inactive/ Mag, demotion, transfer, selection, Recreation P&R-021 (includes emergency contact Separation + Separation + Mfr, OD, S year or discharge; State Law information) -Successful 3 years 3 years Ppr requires 2-3 years; 29 CFR Applicants 1602.31 & 1627.3(b)(1), 8 CCR§3204(d)(1)et seq., GC §§12946, 12960, 34090-129 USC 1113 Parks& P&R-022 Waivers of Liability 2 years 2 years Mag, Ppr GC§34090 Recreation TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-1 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 Chief/ PD-001 Permits(CCW Permits)- Expiration + Expiration + Mag, Ppr Department preference; GC Admin. APPROVED 2 years 2 years §34090 et seq. Police/ Carry Concealed Weapon Department preference; GC Chief/ PD-002 Permits(CCW Permits)- 2 years 2 years Mag, Ppr §34090 et seq. Admin. DENIED Police/ When When Superseded, Superseded, Department preference (Not City Chief/ PD-003 DMV Pull Notices (Police Only) or Upon or Upon Mag, Ppr Records); GC§34090 Admin. Separation Separation Police/ Chief/ PD-004 EOC Activations& Drills 10 years 10 years Mag, Mfr, Yes:/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/ Personnel Files-Police City preference; 29 CFR 1602.31 Chief/ PD-080 Department Employees(By Separation + Separation + Before Mag, Mfr, S/M/I Yes: After & 1627.3(b)(1), GC§§ 3105, Admin. Employee) 5 years 5 years Separation OD, Ppr QC&OD 12946, 12960, 34090; 29 USC 1113 CAD/DISPATCH Department Preference Audio Recordings or Tapes- (consortium standard); Statewide Police/ (CAD/RMS) Recordings of guidelines propose 180 days Commun. PD-006 Telephone& Radio 1 year 1 year Mag (legally mandated for 100 days); Communications Dispatch Tapes (may be discoverable or made (CAD) public in some circumstances), GC§§34090, 34090.6 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-2 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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). DETECTIVE BUREAU Informant information; Does not Police/ Minimum 5 Minimum 5 contain criminal intelligence Detectives PD-007 Informant Files (Gangs) years years Mag, Ppr information concerning 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/ Intelligence Files (Criminal No Longer No Longer Mag, Mfr, Yes: After information is relevant to that Detectives PD-008 Intelligence Files) than 5 years than 5 years OD, Ppr S/I 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/ PD-010 Narcotics Buy Fund Logs 2 years 2 years Mag GC§34090 et seq. Detectives Regulatory Permits & Police/ Expiration + Expiration + Department preference; GC Detectives PD-011 Backgrounds (Solicitors, 2 years 2 years Mag, Ppr §34090 et seq. Massage, Taxi, etc. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-3 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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). PATROL Canine (Police Service Dogs) 3 years is required for animal Police/ Separation + Separation + care/treatment records; FA Animal Files Patrol PD-012 Program Files/Training Files: 3 years 3 years Mag, Ppr §32003(e), PC§597.1(d); GC §34090 et seq. Canine (Police Service Dogs) Police/ PD-013 Program Files: Action Reports, 5 years 5 years Mag, Ppr Department preference; GC Patrol Monthly Reports §34090 et seq. Police/ Minimum 2 Minimum 2 Department preference; GC Records PD-014 Citations-Parking &Moving years ears Mag, Ppr §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/ Minimum 2 Minimum 2 Mag, Mfr, Yes: After preserving the informational Patrol PD-018 Special Events/Ops Plan years years OD, Ppr S/I 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 Mag, Ppr GC§34090 et seq. Patrol Calibration Records TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-4 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . 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 Background File/Recruitment City preference; 29 CFR Police/ PD-078 File-Police Employees& Separation + Separation + Mag, Ppr 1602.31 & 1627.3(b)(1), GC §§ PSU Police Volunteers 5 years 5 years 3105, 12946, 12960, 34090-129 (SUCCESSFUL) USC 1113, 2 CCR 11013(c); Department Policies& Procedures/Operation Police/ 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) Consistent with Lexipol Policy; State requires for at least 5 years for civilian complaints; other Internal Affairs Investigations- State& Federal laws require Involving Police Department retention until final disposition of Police/ Personnel Final Final formal complaint; State requires PSU PD-023 Disposition Disposition Mag, Ppr 2 years after action is taken; (May include criminal acts, moral +5 years +5 years Statute of Limitations is 4 years turpitude, complaints generated after the discovery of the offense from a civilian) for misconduct in office; PC 801.5, 803(c), 832.5 ; EVC § 1045(b)(1), GC§§12946, 12960, 34090; VC§2547 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-5 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . Police/ Incident+5 Incident+5 Department preference; GC PSU PD-024 Internal Pursuit Critiques years ears Mag, Ppr §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/ PD-027 Range Qualifications 5 years 5 years Mag, Ppr Department preference; GC PSU §34090 et seq. Report of data regarding the Police/ number, type, or disposition of PSU PD-083 complaints made against its 2 Years 2 years Mag, Ppr GC§34090 et seq. officers(optional) Police/ Incident+5 Incident+5 Department preference; GC PSU PD-028 Use of Force Review ears ears Mag, Ppr 1§§12946, 12960, 34096 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 Property& PD-032 (Documents related to) 2 years 2 years Mag, Ppr GC§34090 Evidence 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-6 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . Police/ Property& PD-033 Property& Evidence Logs 2 years 2 years Mag, Ppr GC§34090 Evidence Police/ Property& PD-034 Property Auctions 2 years 2 years Mag, Ppr GC§34090 Evidence RECORDS Police/ PD-035 Citations-Marijuana/Cannabis 2 years 2 years Mag, Ppr GC§34090 Records Fully Paid, Fully Paid, Department preference (the Police/ Citations-Payment Plans for Written off, Written off, Statute of Limitation for Records PD-084 outstanding parking citations or Forgiven or Forgiven Mag, Ppr collections is 5 years from the received by indigent persons +5 years +5 years date of the last violation); CVC 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 & in the Schedule 290 and H&S§11850; Stat. of Limit. is 2 yrs; Destroy juvenile e.g., Domestic Violence, 5150, marijuana after age18; H&S Detention Reports, etc. §11361.5, GC§34090, PC §802, PC §§187, 800 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-7 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . 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 Mag, Mfr, S/M/I Yes: After 3 person is factually innocent, then Records ,ODPpr years Pending Destruction-Except years years Disposition seals record ("Shall" Destroy); those with outstanding stolen GC§34090; PC §851.8(a) property, including firearms, or lost firearms CRIME REPORTS/INCIDENT REPORTS: Firearm Firearm Found or Found or Police/ Mag, Mfr, Yes: After 3 Records PD-038 Firearms entered into CLETS Recovered- Recovered- Yes OD, Ppr S/M/I years PC§ 11108.2(b); GC§34090 (if not Permanent Retention)_ Minimum 2 Minimum 2 Found/Recovered Firearms years years REPORTS: Department Preference; DOJ IF IMAGED, Homicide, retains CACI (Child Abuse Embezzlement of Public Central Index) information for Money, Fraud, Embezzlement adults 100 years; others have no Police/ Mag, Mfr, S/M/I Yes: After 3 limitations on commencement of Records PD-039 records, Kidnapping for Falsification of public P P Yes OD, Ppr years action; Courts keep permanently re Ransom, Fatal Traffic PC §§261, 286, 288,288a, Accidents, Officer Involved 288.5, 289, 289.5,290, 799, Shootings,Aggravated or 803(h), 11169 et seq.; 11170(a); WIC 707(b) Sexual Assault, Others Deemed Annironirmate to 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-8 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . CRIME REPORTS/INCIDENT Date of Date of REPORTS: Incident+ Incident+ Yes: Police/ 10 years, 10 years, 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 S/M/I years §34090 Severe Neglect Subsequent Subsequent Disposition Reports Re porfs CRIME REPORTS/INCIDENT REPORTS: Misdemeanor or Infraction- Adult Marijuana I Cannabis - Yes: Police/ PD-041 H&S §11357(b)(c)(d)(e)or H&S 2 years 2 years Before Mag, Mfr, S/M/I Yes: After 2 ("Shall" Destroy); H&S§11361.5; Records OD, Ppr 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 Misdemeanor or Infraction - or Arrest(if or Arrest(if Yes: (Courts and other Agencies Records OD, Ppr years Police/ PD-042 Juvenile Marijuana I Cannabis No No Before Mag, Mfr, S/M/I Yes: After 2 "Shall" Destroy); H&S §11361.5; H&S §11357-Except those with Conviction) Conviction) Disposition GC§34090 outstanding stolen property, +2 years +2 years including firearms, or lost firearms TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-9 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . CRIME REPORTS/INCIDENT REPORTS: Offender is Offender is (Courts and other Agencies Police/ Misdemeanor or Infraction Mag, Mfr, Yes: After 2 , Records PD-043 Marijuana/Cannabis §11357(d) 18 Years 18 Years Yes OD, Ppr S/M/I years Shall'destroy); H&S§ 11361.5 -Juvenile on School Grounds Old Old et seq. during School Hours (with procedure in H&S §11361.5) CRIME REPORTS/INCIDENT Until CLETS Until CLETS S/M/I Entry No Entry No REPORTS: Yes: Police/ Longer Longer Mag, Mfr, Yes: After 2 Department Preference; GC Records PD-044 Exists- Exists- Before OD, Ppr years §34090 Missing Persons (Returned)/ 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 y Sealing Date wards of the Court must be Yes: g +5 ears Ma Mfr, Yes: After 3 PD-045 +5 years(or Before S/M/I destroyed 5 years after sealing Records Except Child Abuse or Severe (Or Court Court Order) Disposition OD, Ppr years date; CCP§§340.1, GC§34090; Neglect, (Substantiated), Order) outstanding stolen property, W&I §§389(a), 781(d) including firearms, or lost firearms Police/ Crime Statistics/Uniform Crime Filed on line with the State; GC Records PD-046 Reports BCS)s(UCR)-Summaries 2 years t2years Mag, Ppr §34090 Police/ PD-047 Due Diligence Reports(for 2 years Mag, Ppr GC§34090 Records warrants) Police/ PD-048 False Alarm Reports Minimum 2 2 Mag GC§34090 et seq. Records years TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-10 Office of Record Retention No. Records Description Retention/Disposition Comments/Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . 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. Police/ Field Investigation Cards(FI's) Preliminary Drafts; GC§ 34090 et Records PD-050 NOT Gangs-After Entry into 2 years 2 years Mag, Ppr seq. q Police/ Department preference; GC§ Records PD-085 Gang STEP Notice P P Mag, Ppr 34090 et seq. 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/ General Orders §446.12; PC§ Records PD-053 Cameras& MAV(Mobile Audio Manually Manually Mag 832.18(b)(5)(A); GC §34090.6 et Videos- 1 -Uncategorized Deleted Deleted seq. Tustin Police Department Officer Recordings: Body-Worn General Orders §446.12; Police/ Department preference (only 60 Records PD-054 Cameras& MAV(Mobile Audio 1 year 1 year Mag days is required); PC§ Videos-2-Non-Evidence 832.18(b)(5)(A); GC §34090.6 et 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 Disposition Disposition 832.18(b)(5)(B)&(C); GC Videos-3-Detention/Arrest of Criminal of Criminal §34090.6 et seq. Case Case 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-11 Office of Record Retention No. Records Description Retention I Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan 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). 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 832.18(b)(5)(B)&(C); GC Videos-4-Use of Force §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 832.18(b)(5)(B)&(C); GC Complaint Against Employee or Agency §34090.6 et seq. Officer Recordings: Body-Worn Tustin Police Department Police/ Cameras& MAV(Mobile Audio General Orders §446.12; PC§ Records PD-058 Videos -6-Critical Incidents P P Mag 832.18(b)(5)(B)&(C); GC (OIS, In-custody Death) §34090.6 et seq. Officer Recordings: Body-Worn Tustin Police Department Police/ General Orders §446.12; PC§ Records PD-059 Cameras& MAV(Mobile Audio P P Mag 832.18(b)(5)(B)&(C); GC Videos-7-Homicide §34090.6 et seq. Officer Recordings: Body-Worn Tustin Police Department Police/ Cameras& MAV(Mobile Audio General Orders §446.12; PC§ Records PD-060 Videos—8 -Records or Logs of P P Mag 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 I interrelated; 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-12 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . 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/ Mag, Mfr, Yes: After register for life; If released from Records PD-064 Registrants: Arson-Adults 5 years P P OD, Ppr S/M/I OC&OD CYA, records are destroyed after age 25 or sealing pursuant to W&I §781; GC§34090.7 Pursuant to PC§457.1 et seq.; If Registrants: Arson-Juveniles Age 25 or Age 25 or ODPpr QC released from CYA, records are Police/ PD-065 released from California Youth Sealing Date Sealing Date Mag, Mfr,Registrants: Yes:&OD After destroyed after age 25 or sealing Records 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 Police/ Registrants: Sex Offenders- Mag, Mfr, Yes: After Court for removal 10 or 20 years Records PD-067 Adults P P OD, Ppr S/M/I QC&OD after offense, provided there are no subsequent offenses; Pursuant to PC§290 et seq. Department preference;After P P 2021, Offenders can petition or Sealing or Sealing ODPpr OC Court for removal 10 or 20 years Police/ PD-068 Registrants: Sex Offenders- Date +5 Date +5 Mag, Mfr, After Yes:&OD After after offense, provided there are Records Juveniles years(or years (or , no subsequent offenses; Court Order) Court Order) Pursuant to PC §290 et seq.; W&I §781(d) 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 Revision Approved: 8/3/2021 Ver. 12.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-13 Office of Record Retention No. Records Description Retention/Disposition Comments I Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan 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 com letion . 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 Required GC§34090 Police/ PD-070 Subpoenas (Personal 2 years 2 years Mag, Ppr GC§34090 Records Appearance or Duces Tecum) Police/ PD-071 Subpoenas(Records) 2 years 2 years Mag, Ppr GC§34090 Records Police/ Video Recordings-Parking When No When No Does not record "regular and PD-072 Longer Longer Mag ongoing operations", GC Records Lots, Public Areas 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 34090 et se . TEMPORARY HOLDING FACILITY Police/Jail PD-075 ogy 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 Police/ Personnel Training Evaluations/ When No When No Preliminary drafts not retained in PD-081 Longer Longer Mag, Ppr the ordinary course of business; Training Daily Observation Reports Required Required GC§34090 et seq. City preference; 29 CFR 1602.31 Police/ PD-082 Training File Separation + Separation + Before Mag, Ppr & 1627.3(b)(1), GC§§ 3105, Training 5 years 5 years Separation 12946, 12960, 34090; 29 USC 1113 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 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 ears), 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 com letion). PUBLIC WORKS/ENGINEERING Public Works/ PW-001 Address Assignments P P Mfr, S Yes: After Department preference; GC Engineering 1 Ppr r, O QC&OD §34090 Department Preference Public Works/ Mag' (Economic Development also Engineering PW-002 Aerial Maps (Analog/Historical) P P Mfr,Ppr §34090 S/I No keeps aerial maps); GC §34090 Public Works/ PW-003 Benchmarks P P MMag, S/I Yes: After Department Preference; GC Engineering Ppr QC&OD §34090 Capital Improvement Projects Department preference; (CIP): Maintenance Projects 10 years or Completion + Some grant funding agencies (All Records) After 10 years or require audits; Statute of Funding After Funding Limitations for Errors& PW-004 Examples of Maintenance Mfr, OD, S/I Public Works/ Upon Agency Agency Yes: Until Mag' Yes: After Omissions is not applicable; Ppr Engineering Completion Audit, if Audit, if Completed QC&OD Statute of Limitations: Projects: Painting, Pavement required, required, Contracts&Spec's=4 years; Overlays, Repairs, Ramps, Re- whichever is whichever is Statewide guidelines propose Roof, Sidewalk Repairs, Slurry longer longer termination + 5 years; CCP Seals, 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Capital Improvement Projects Department preference; (CIP): Administration File/NOT Some grant funding agencies Scanned require audits; Statute of 10 years or Completion + After 10 years or Limitations for Errors& Project Administration, Certified Omissions is 10 years; Funding After Funding Yes Public Works Payrolls, Community Outreach/ Upon Agency Agency Yes: Until Mag, Statute of Limitations: / : After PW-005 Notifications, Project SchedulesQC, required, required, Mfr, OD, S/I Contracts&Spec's=4 years, Engineering Progress meetings, Punch Lists, Completion Audit, if Audit, if Completed Ppr &OD Wrongful Death=comp. +5 Real Estate Appraisals, RFIs & years, Develope rs=comp. + Responses, Temporary whichever is whichever is l 10 years; Statewide Easements, Construction longer longer 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Capital Improvement Projects (CIP): Permanent File I Scanned Records Specifications &Addenda, Agreement/Contract(copy), Department preference; Successful Proposal, Change retained for disaster PW-006 P P Mfr, OD, S/I Complet. + Public Works/ Orders, Geotechnical Studies & Upon Yes: Until Mag, Yes: preparedness purposes; Engineering Reports, Operations& Completion Completed Pp r 10 ears Statewide guidelines propose Maintenance Manuals (O&M y 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 orCompletion + 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 iswhichever is Contracts &Spec's=4 years; longer longer CCP§337 et. seq., GC §34090 Public Works/ PW-008 Construction Inspection Indefinite Indefinite Yes Mag Data Fields/Records are Engineering Database I I I I I I i interrelated; 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-4 Office of Retention No. Records Description Retention/Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged& S=Scan QC'd? If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). 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 MMag, S/I Yes: After Department Preference; GC Engineering -Authored by the City Ppr QC&OD §34090 Drawings, Maps, Plans and Yes:After Drafts should be destroyed; Record Drawings, Large-Format Mag, QC&OD; Some maps are also retained Public Works/ PW-012 Drawings, Survey Record Maps, P P Yes (all) Mfr, OD, S Depending by Planning; Selected maps Engineering Capital Improvement Project"As- Ppr on Value in are retained in Public Works Built' Disaster for administrative purposes; Response GC§34090, 34090.7 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Encroachment Permits/ Excavation Permits: Temporary (Street Permits, Temporary Final/ Final/ Mag, Public Works/ PW-013 Construction, Sidewalk Repairs, Completion + Completion + Yes: UntilYes: QC&OD Mfr, OD, S/I Yes: After Engineering GC§ 34090 Traffic Control, Utility Cuts etc.) 2 years 2 years Ppr Includes Insurance Certificates Encroachments-Permanent Mag, Public Works/ PW-014 (Permanent structures in the P P Mfr, OD, S Yes: After Department Preference; GC Engineering City's Right of Way) Ppr QC&OD §34090 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; PW-018 Transportation, Water Master P P Mfr, OD, S ODrafts should be destroyed; Engineering Plan, Water Quality Master Ppr C&OD GC§34090 Plans, etc. TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention periods(retention resumes after settlement or com letion). 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 When No When No Preliminary drafts; GC Building PW-020 Plan Checks for Building Permits Longer Longer Mag, Ppr §34090 et seq. Required Required Private Land Development Projects/Job Files: Administration File Statute of Limitations for 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention periods(retention resumes after settlement or com letion). Private Land Development Projects/Job Files: Permanent Files Drainage, Driveway, Rights of Way, Soil Reports, Stormwater, etc. Department preference; Public Works/ Upon Yes: Until Mag' Yes: After retained for disaster Engineering PW-022 Dedications, Easements, Completion P P Completed Mfr, OD, S/I QC&OD preparedness purposes; GC Abandonments(City Clerk is Ppr §34090 OFR) 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 10 years Mag, 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Required for a minimum of 5 Public Works/ Mag' Yes (after 2 years; 40 CFR 122.410)(2); PW-025 Stormwater Illicit Discharges 5 years 5 years Mfr, OD, S/I SWRCB Order 2006-03- 40 Engineering Ppr years) 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 2006-03-140 Ppr CFR§§122.21, 122.41, 122.44; GC§34090 Department preference; Public Works/ PW 028 Stormwater: NPDES Annual 5 5 years Mfr,aOD, S/I Yes: After Monitoring records required years Engineering Reports Ppr 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Stormwater: Operation & Department preference; Maintenance (Catch Basins, plans must be updated every 5ears 5ears Mfr, Public Works/ Field, General Cleaning, Open Mag' Yes: After 5 years, audits are required Engineering PW-030 Channels, Slots, Stormwater years p OD, S/I QC&OD every 2 years; SWRCB Order Treatment Measures and Trash 2006-03; 4§§122.21, 122.41, Cleaning) 122.44; GC§34090 Department preference; plans must be updated every 5ears 5ears Mfr, Public Works/ Stormwater: TMDL Plan (Total Mag' Yes: After 5 years, audits are required Engineering PW-031 Maximum Daily Load) Plan years pr S/I QC&OD every 2 years; SWRCB Order 2006-03; 4§§122.21, 122.41, 122.44; GC §34090 Department Preference; Public Works/ Monitoring records required Engineering PW-032 Street Sweeping 5 years 5 years Mag, Ppr for 3 years; 40 CFR §§122.21, 122.41, 122.44; 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/ (required every 5 years, but Engineering PW-034 Traffic Speed Surveys 15 years 15 years Mag Ppr can be extended to 7 or 10 years); 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-10 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Department Preference Lead Dept. PW-035 Underground Service Alerts 3 years 3 years Mag, Ppr (required for 3 years); GC (USA's)/Dig Alerts §§4216.2(f)&4216.3(d), 34090 FIELD SERVICES Aboveground CNG Storage Tanks (Agency Owned) Department Preference; applies to both Tier I and Tier Public Works/ 11 Tanks; (Tier 11 tanks are Field Services PW-036 Spill Prevention Control and 20 years 20 years Mag, Ppr required to have an integrity Countermeasures(SPCC), Inspections, Integrity Testing, test every 20 years); GC Maintenance, Repairs §60201 Public Works/ PW-037 AQMD Permits (Generators, etc.) 5 years 5 years Mag, Ppr 40 CFR 70.6; GC§34090 Field Services Public Works/ PW-038 Facility Inspections 2 years 2 years Mag, Ppr GC§34090 Field Services Department preference Public Works/ (meets municipal government Field Services PW-039 Fuel Inventories 5 years 5 years Mag, Ppr auditing requirements); GC § 34090 Generator Operation Logs & AQMD Rule 1470; GC Lead Dept. PW-040 Inspections-Fixed/Stationary 3 years 3 years Mag, Ppr §34090 Generators 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-11 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). 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 PWhen of Operations&Maintenance Life of Facility Department Preference; GC Lead Dept. PW-043 Manuals (O&M Manuals) or Equipment ity or Mag, Ppr §34090 et. seq. Public Works/ PW-044 Permits: Pressure Vessels, When Mag, P r Department preference; GC Field Services Boilers, etc. Superseded Superseded p §34090 Pre-Trip Inspections/DOT Program/CHP Inspections/ Lead Dept. PW-045 Vehicle Safety Checks/Daily 2 years 2 years Ppr GC§34090-113 CCR 1234(c) 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§34090-13 CCR 1234(c) Field Services Equipment Checks-OTHER THAN SENIOR VEHICLES FUNDED BY THE OCTA TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-12 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention pmods(retention resumes after settlement or com letion). Pre-Trip Inspections/DOT Program/CHP Inspections/ Life of the Life of the Vehicle Safety Checks/Daily Public Works/ PW-047 Vehicle Inspections/Daily Vehicle - Vehicle- Ppr GC§34090; 3 CCR 1234(c) Field Services Equipment Checks-SENIOR Minimum 2 Minimum 2 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)/Dig Alerts 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'h 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 Protection Maintenance release detection systems; Records 23 CCR 2712(b); H&S §25284.2(1) 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-13 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention pmods(retention resumes after settlement or com letion). Underground Storage Tanks- Life of the Life of the Public Works/ USTs (City Owned) Tank- Tank- Mag' Yes: After 23 CCR 2712(b), H&S PW-052 Mfr, OD, S Field Services Minimum 2 Minimum 2 Ppr 1 year §25284.2(1) Repairs, Lining, Upgrades years ears Underground Storage Tanks (City Department Preference Public Works/ Owned) Mag, Yes: After (required for the life of the Field Services PW-053 10 years P P Mfr, OD, S 1 year tank); 23 CCR 2712(b), H&S Location,Soil Remediation, Ppr §25284.2(1); 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 CFR 396.3(c); CCP §337 et. Seq., GC§34090 Work Orders/Service Requests Division Providing PW-056 CMMS DATABASE Indefinite Indefinite Mag Data is interrelated; GC Service/Work (Computerized Maintenance §34090 Management System) 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-14 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). 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 §34090 (Division providing service retains originals; Division requesting service is considered a copy) WATER Public Works/ PW-059 AQMD Permits (Generators, etc.) 5 years 5 years Mag, Ppr 40 CFR 70.6; GC §34090 Water Public Works/ PW 5 M Basin Equity Assessment Report Department Preference; GC Water -060 (submitted to Basin Watermaster) 5 years years ag, Ppr §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-15 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Capital Improvement Projects Department preference; (CIP)-Water: Administration Some grant funding agencies File I NOT Scanned require audits; Statute of 10 years or Completion + 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 SchedulesCompletion 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 & years, Develope rs=comp. + Responses, Temporary whichever is whichever is l 10 years; Statewide Easements, Construction longer longer 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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-16 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Capital Improvement Projects (CIP)-Water: Permanent File I Scanned Records Specifications &Addenda, Agreement/Contract(copy), Department preference; Successful Proposal, Change Orders, Environmental/EIR,etc., Mag, Yes: retained for disaster Public Works/ Upon Yes: Until preparedness purposes; PW-062 Geotechnical Studies&Reports, CP P CMfr, OD, S/I Complet. + Water Operations &Maintenance ompletion ompleted Ppr 10 years Statewide guidelines propose Manuals (O&M Manuals,) Permanent for Infrastructure Materials Testing Reports, plans; GC§34090 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/ Construction Hydrant Meter Department Preference; GC Water PW-065 Application &Approvals 10 years 10 years Mag, Ppr §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-17 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). 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(a) Public Works/ PW-068 Department Reports 10 years 10 years Mag, Ppr Department Preference; GC Water §34090 Public Works/ Department Preference; GC Water PW-069 Encroachment Permits-Water P P Mag, Ppr §34090 Public Works/ PW-070 Fire Flow(OCFA) P P Mag, Ppr Department Preference; GC Water §34090 Fire Hydrant Flow/Pressure Public Works/ Department Preference; GC Water PW-071 Tests(Development or 10 years 10 years Mag, Ppr 34090 Maintenance) § Generator Operation Logs & AQMD Rule 1470; GC Lead Dept. PW-072 Inspections-Fixed/Stationary 3 years 3 years Mag, Ppr §34090 Generators Generator Operation Logs& AQMD Rule 1470; Form Lead Dept. PW-073 Inspections-Portable/ 5 years 5 years Mag, Ppr 400—E-13a instructions; GC Emergency Generators §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 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-18 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Groundwater Extraction Public Works/ PW-074 (Reported to County Water 5 years 5 years Mag, Ppr Department Preference; GC Water §34090 Basin Master) Department Preference; Public Works/ NPDES Monitoring and Monitoring records required Water PW-075 Inspection -Water Operations 5 years 5 years 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 PW-076 Mag, Ppr for 3 years; 40 CFR Water Operations years 5 years Expiration §§122.21, 122.41, 122.44; CCP§337 et seq. Life of Public Works/ Operations &Maintenance Life of Facility Department Preference; GC Water PW-077 Manuals (O&M Manuals) or Equipment Facility or Mag, Ppr §34090 et. seq. Equipment When No When No Regulatory Agency Compliance- Longer Longer Mag, Public Works/ Yes: After Department Preference; GC PW-078 Correspondence, Supporting Required- Required- Mfr, OD, S/I Water Documentation (DPH, EPA, etc.) Minimum 5 Minimum 5 Ppr OC §34090 years years Public Works/ PW 5 5 M Requests for Meter Size Department Preference; GC Water -079 Changes years years ag, Ppr §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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-19 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). 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/ PW-084 Surveys of Water System 10 years 10 years Mfr,aOD, S/I Yes: After 22 CCR§64470; GC§34090 Water Ppr QC Tract History Files (Agreements, Public Works/ 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)/Dig Alerts 3 years 3 years Mfr, OD, S/i QC&OD §§4216.2(f)&4216.3(d), Ppr 34090 Public Works/ PW-087 Vi /EtiM Expiration + 5 Expiration + Department Preference;40 Water arances Exemptions years 5 years Mag Ppr CFR 141.33(b)(3) Public Works/ PW-088 Violations&CtiM Correction + Correction + Department Preference;40 Water Corrections 3 years 3 years Mag Ppr CFR 141.33(b)(3) Vulnerability Assessment/ Department Preference Public Works/ Emergency Response Plan/Risk Water PW 089 &Resiliency Assessment/ Superseded Superseded Mag Ppr (highly confidential); 42 USC Hazard Mitigation Plan 3001-2(d); GC§34090 Public Works/ PW-090 Water Audits 5 years 5 years Mag, Ppr Department Preference; GC Water §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-20 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention penods(retention resumes after settlement or com letion). Liens are good for 10 years Public Works/ Mag' Yes-After from recording date, and may Water PW-091 Water Liens 10 years 10 years Mfr,pr S/I QC&OD be extended by re-recording lien; WC 36729-137212(b) Public Works/ Department Preference; GC Water PW-092 Water Main Break Reports 5 years 5 years Mag, Ppr §34090 Public Works/ Department Preference; GC Water PW-093 Water Production Reports 5 years 5 years Mag, Ppr §34090 Water Quality-Lab Reports& Mag, Public Works/ Yes-After Water PW-094 Chains of Custody: 5 years 5 years Mfr, OD, S/I QC&OD 40 CFR 141.33(a) Bacteriological and Organics Ppr Water Quality-Lab Reports& Mag, Public Works/ 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 Yes-After Public Works/ Water Quality-Lab Reports& Mag, compliance cycles; 22 CCR Water PW-096 Chains of Custody: Lead& 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/ Water Quality Reports/Annual Mag' Yes: After Department Preference; GC Water PW-097 Consumer Confidence Reports P P Mfrr,,pOD, S 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. ©1995-2017 Gladwell Governmental Services, Inc.-all rights reserved Do not duplicate or distribute without prior written permission from GGS(909)337-3516 Revision Approved: 8/3/2021 Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-21 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 begin when the act is completed, and imply a full file folder(e.g. last document+2 ears), since destruction is normally performed by file folder. HOLDS:Liti ation, complaints, claims,public records act requests, audits and/or investigations sus end normal retention periods(retention resumes after settlement or com letion). Public Works/ PW-099 Water Usage Reports 10 years 10 years Mag, Ppr Department Preference; GC Water §34090 Wells: History&Operations Mag, Public Works/ 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 Public Works/ entered into CMMS Database) City Preference; CCP §§338 Water PW-103 5 years 5 years Mag Ppr et seq., 340 et seq., 342, GC (Division providing service retains §34090 originals; Division requesting service is considered a copy) 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 Revision Approved: 8/3/2021