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04 CITYWIDE RECORDS RETENTION SCHEDULE AMENDMENT
Docusign Envelope ID: C1EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 AGENDA • RT s� MEETING DATE TO FROM MAY 6, 2025 ALDO E. SCHINDLER, CITY MANAGER ERICA N. YASUDA, CITY CLERK Agenda Item 4 Initial Reviewed: a� City Manager Finance Director N/A SUBJECT: CITYWIDE RECORDS RETENTION SCHEDULE AMENDMENT SUMMARY: Staff is proposing the adoption of a revised Records Retention Schedule. RECOMMENDATION: Adopt Resolution No. 25-32, amending the City's Records Retention Schedule FISCAL IMPACT: There is no fiscal impact associated with this item. CORRELATION TO THE STRATEGIC PLAN: The adoption of the revised Records Retention Schedule supports the implementation of Goal E: Organizational Excellence and Customer Service. An updated records retention schedule promotes efficient use, maintenance, retention, and disposal of all records managed by the City, ensuring improved operational effectiveness and enhanced service. BACKGROUND AND DISCUSSION: On June 7, 2022, the City Council adopted Resolution No. 22-23 which amended the City's Records Retention Schedule. Staff continue to prioritize the maintenance and modernization of the City's records management system. As part of this ongoing effort, additional revisions have been identified to ensure alignment with current laws. All departments participated in the review process and proposed amendments, which are highlighted in blue in the updated documents. These changes were written collaboratively with departmental representatives. They provide clear, specific records, descriptions and retention periods, and apply current law and technology to the management of Tustin's records. Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 City Council Agenda Report Citywide Records Retention Schedule May 6, 2025 Page 2 The proposed amendments have been reviewed by the City's consultant, Gladwell Governmental Services Inc., and the City Attorney's Office. 51,�,-a 71. ll Erica N. Yasuda, City Clerk Attachment: Resolution No. 25-32, Amending the Citywide Records Retention Schedule Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 RESOLUTION NO. 25-32 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. 22-23 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 22-23, adopting a records retention schedule on June 7, 2022, and the City Council finds that the retention schedule should be updated and Resolution 22-23 rescinded. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF TUSTIN DOES RESOLVE AS FOLLOWS: Section 1. Resolution Number 22-23 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. 25-32 Page 1 of 3 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 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 6t" day of May, 2025. AUSTIN LUMBARD, Mayor ATTEST: ERICA N. YASUDA, City Clerk APPROVED AS TO FORM: F cuSigned by: IZ11" DA $t.37 M61G, City Attorney Resolution No. 25-32 Page 2of3 Docusign Envelope ID: C1EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 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. 25-32 was duly and regularly passed and adopted at a regular meeting of the City Council held on the 6t" day of May, 2025 by the following vote: COUNCILMEMBER AYES: COUNCILMEMBER NOES: COUNCILMEMBER ABSTAINED: COUNCILMEMBER ABSENT: COUNCILMEMBER RECUSED: ERICA N. YASUDA, City Clerk Resolution No. 25-32 Page 3 of 3 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 RECORDS RETENTION SCHEDULE LEGEND ©1995 — 2025 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 Official (original or "record copy") record for its retention period, then authorizes destruction. Usually, it is the department that originates the record. The official (original) record may be the paper / hard copy version of the record; however the electronic record may be the official (original) record. See the "Destroy Paper after Imaged & QC'd" below for the Legal Requirements for the electronic record to be the official (original) record. Records Description: The record series (a group of like records). Non -Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active (guideline): How long the file remains in the immediate office area Inactive (guideline): How long the file is in off -site storage, stored electronically in accordance with law (see below) Total Retention: The total number of years the record is 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) terms used in State law: Mag = Electronic Computer Magnetic Media (Hard drives, Networks, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper OD = Optical Disk or other Unalterable 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 was microfilmed Destroy Paper after Imaged & QC'd (quality checked) / Trustworthy Electronic Record: "Yes" means 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 (these are the legal requirements for the electronic record to serve as the official (original) record) the electronic record is also placed on Unalterable Media, Immutable Cloud Media, Optical Disk (OD), DVD-R, CD-R, Blue-ray-R, or WORM, or microfilmed) which is stored in a safe & separate location. Employees are required to Quality Check ("QC'd") both the images and the indexes, and ensure the electronic record contains all significant details from the original and be an adequate substitute for the original document for all purposes; other legal mandates may apply. Legend for legal citations (§: Section) CC: Civil Code (CA) CFC: California Fire Code EVC: Evidence Code (CA) FTB: Franchise Tax Board (CA) HUD: Housing & Urban Develop. (US) PC: Penal Code (CA) UFC: Uniform Fire Code W&I: Welfare & Institutions Code (CA) B&P: Business & Professions Code (CA) CCP: Code of Civil Procedure (CA) CFR: Code of Federal Regulations (US) FA: Food & Agriculture Code GC: Government Code (CA) LC: Labor Code (CA) PRC Public Resources Code USC: United States Code (US) CBC: California Building Code CCR: California Code of Regulations (CA) EC: Elections Code (CA) FC: Family Code (CA) H&S: Health & Safety Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) R&T: Revenue & Taxation Code (CA) VC: Vehicle Code (CA) Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. 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 Human Accident, Incident, Injury Copies - Copies - Resources / reports: PUBLIC & When No When No Mag, Yes: After Copies retained for reference; Risk CW-001 EMPLOYEES, with associated Longer Longer Mfr, OD, S / I GC §34090.7 QC & OD Management MSDS, if a chemical was Required Required Ppr involved Accounts Payable, Invoices, Petty Cash, Warrant Requests, Copies - Copies - Travel Reimbursement, etc. When No When No Yes: Before Mag, Yes: After All originals go to Finance Finance CW-002 Longer Longer Payment Mfr, OD, S / I (these are copies); GC QC & OD ALL backup is forwarded to Required Required Ppr §34090.7 Finance Brown Act challenges must be Affidavits of Publications / Mag' filed within 30 or 90 days of Lead Dept. CW-003 Public Hearing Notices / Legal 2 years 2 years Mfr, OD, S / I Yes: After action; Statute of Limitations Advertising / Affidavits of p P r QC & OD on Municipal Government Posting actions is 3 - 6 months; GC §§34090, 54960.1(c)(1) Copies - Copies - Mag' City Clerk CW-004 Agenda Packets / Staff When No When No Mfr, S / I Yes: After GC §34090.7 Reports: City Council Longer Longer P, pr QC &OD Required Re uired Copies - Copies - Yes: After Agreements & Contracts ALL When No When No Mag, QC & OD Ensure the City Clerk receives City Clerk CW-005 ORIGINALS Longer Longer Mfr, OD, S / I tperr all original agreements; GC Required Required Ppr Completie §34090.7 e 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods 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 Funding 10 years or Yes: After years; Statute of Limitations: (with Grant Funding) After Funding Mag, QC & OD Contracts & Spec's=4 years, Lead Dept. CW-006 Completion Agency Agency Audit, Yes: Before Mfr, OD, S/I Wrongful Death=comp. + 5 (Correspondence, Project Audit, if if required, Completion Ppr "e years, Developers=comp. + 10 Administration, Project required, whichever r is years; 2 CFR 200.334; CCP Schedules, Certified Payrolls, whichever is 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 Covers E&O Statute of Limitations (insurance Agreements & Contracts: certificates are filed with ADMINISTRATIVE FILES Yes: After agreement); Published Audit Mag, QC & OD Standards=4-7 years; Statute Lead Dept. CW-007 (Correspondence, Project Completion 10 years Completion + Yes: Before Mfr, OD, S/I of Limitations: Contracts & open-of Administration, Project 10 years Completion Ppr Complete years, Wrongful Schedules, Certified Payrolls, e Death=comp. + 5 years, Invoices, Logs, RFP, etc.) Developers=comp. + 10 years; Statewide guidelines + rw.inatiOR + 5 years; CCP §337 et. seq., GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFUL The RFP / RFQ and the PROPOSALS or RESPONSES Yes: After successful proposal becomes Lead Dept. CW-008 to RFPs (Request for 2 years 2 years Mfr, Or, OD, S / I part of the agreement or QC & OD Proposals) and/or RFQs Ppr p contract; GC §34090 (Request for Qualifications) that don't result in a contract Audits /Audit Reports /Annual Copies - Copies - Mag, Finance CW-009 Comprehensive Financial When No When No Mfr, OD, S / I Yes: After Copies; GC §34090.7 Report (ACFR) Longer Longer QC & OD Ppr Required Required CW-010 Bids: See Agreements & Maa. Mfr, OD, S / I Yes: After QC & OD Contracts I pr Boards, Commissions, & Committees: City Council Mag' All recommendations are Staffing Dept. CW-011 Subcommittees 2 years 2 years Mfr, OD, S / I Yes: : After presented to the City Council; QC & OD GC §34090 et seq. Ppr (Composed solely of less than a quorum of the City Council) Boards, Commissions, & Committees: External When No When No Mag, CW-012 Organizations Longer Longer Mfr, OD, S / I Yes: After Non -records Required Required QC & OD Ppr (e.g. County Board of Supervisors) TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Mag, Brown Act challenges must be Staffing Dept. CW-013 CITY COUNCIL Minimum 2 Minimum 2 Mfr, OD, S / I Yes: After filed within 30 or 90 days of QC & OD years years action; GC §§34090, Ppr AGENDAS, AGENDA 54960.1(c)(1) PACKETS. Boards, Commissions, & Committees: Residents Advisory Bodies Formed by Mag, Department preference; State Staffing Dept. CW-014 CITY COUNCIL 2 years 2 years Mfr, OD, all Yes: After law only requires for 30 days; Ppr & OD GC GC §54953.5(b) AUDIO RECORDINGS of Meetings / Audio Tapes Boards, Commissions, & Committees: Residents Mag, Yes: After Staffing Dept. CW-015 Advisory Bodies Formed by P P Mfr, OD, S / I QC & OD Department preference; GC CITY COUNCIL Ppr §34090 NO MINUTES & BYLAWS Copies - Copies - Mag, Yes: After Final must be filed with County Finance CW-016 Budgets - Finals When No When No Yes: Current Mfr, OD, S/I QC & OD Auditor; GC §34090.7, 40802, Longer Longer Fiscal Year Ppr 53901 $ Required Required Cash Receipts Detail /Backup Copies - Copies - Mag, Finance CW-017 /Accounts Receivable Detail / When No When No Mfr, OD, S / I Yes: After GC §34090.7 Refund Detail Longer Longer QC & OD Ppr Required Required TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. 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 - Human When No When No Yes: After Resources / Longer Longer Yes: Before QC & OD Risk CW-018 Claims Required Required Settlement Mfr, O Mfr, OD, S/I GC §§34090.7 After Management (Upon (Upon Ppr S Settlement �ttl„� Settlement) Settlement City preference; Statute of Lead Mag' Limitations for personal (Responding) CW-019 Complaints / Concerns from Minimum 2 Minimum 2 Mfr, OD, S / I Yes: After property, fraud, etc. is 3 years; QC & OD Dept. Citizens years years Claims must be filed in 6 Ppr months; CCP §340 et seq., 342, GC §34090 Human Send to Send to Mag, Yes: After Resources CW-020 Complaints Against Employees Human Human Mfr, OD, S / I QC & OD GC §34090.7 Ppr Resources Resources Maa, Yes: After CW-021 Contracts: See Agreements Mfr, OD, S / I QC & OD IPpr Copies - Copies - Mag' Lead Dept. CW-022 Copies or duplicates of any When No When No Mfr,Yes: S / I After GC §34090.7 record Longer Longer QC & OD pr 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Correspondence - ROUTINE (Content relates in a SUBSTANTIVE way to the conduct of the public's business) Dept. that ONLY IF the Content relates in Authors (e.g. e-mail, Letters, a substantive way to the Document Memorandums, Administrative, Mag Yes: After conduct the public's or CW-023 Chronological, General Files, 2 years 2 years Mfr, OD, S i I business: -, City of San Jose QC & OD Receives the Reading File, Working Files, Ppr Superior Court (2017) 2 Ca1.l.5th City's Original etc.) 608; GC §34090 Document IF the Content relates in a SUBSTANTIVE way to the conduct of the public's business 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Correspondence - Electronic and paper records TRANSITORY / are categorized, filed and PRELIMINARY DRAFTS, retained based upon the Interagency and Intraagency CONTENT of the record. Memoranda not retained in the Records 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 ARE made or Dept. that p purpose of preserving the retained for the purpose of Authors informational content for future preserving the informational Document reference When No When No Mag, Yes: After content for future reference or CW-024 (e.g. calendars, checklists, e-mail Longer Longer Mfr, OD, S / I are saved by placing them in QC & OD Receives the or social media posting, flyers, Required Required Ppr an electronic or paper (project) City's Original invitations, instant messaging, file folder and retained for the Document inventories, logs, mailing lists, applicable retention period. If meeting room registrations, not mentioned here, consult speaker cards, staff the City Attorney to determine videoconference chats, notes and if a record is considered recordings, supply inventories, transitory /preliminary draft. telephone messages, text GC §§34090, 7927.500, 62—, messages, transmittal letters, thank yous, requests from other 6254(a); 64 Ops. Cal. Atty. cities, undeliverable envelopes, Gen. 317 (1981)); City of San visitors logs, voice mails, Jose v. Superior Court (2017) 2 webpages, etc.) Cal.5th 608. Deeds, Easements, Final Copies - Copies - City Clerk CW-025 Orders of Condemnations, When No When No r, OD, S / I Yes: After Send all originals to the City QC & OD Liens, Recorded Documents, Longer Longer Clerk; GC §34090.7 Ppr Rights of Ways (All) I 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Deposit Accounts / Trust Close + 5 Close + 5 Mag' Yes: After Department preference; meets Lead Dept. CW-026 Accounts / Refundable years years Mfr, OD, 511 auditing standards; GC §34090 QC & OD Deposits Ppr As long as the drafts and notes are not retained in the "Regular Drafts &Notes: Drafts that are When No When No Mag, Yes: After Course of Business". Consult Lead Dept. CW-027 revised (retain final version) Longer Longer Mfr, OD, S / I the City Attorney to determine QC & OD Required Required Ppr if a record is considered a draft. GC §§34090, 6252 6254(a) 7927.500 The Lead Department should print out historical documents (or save source data) prior to GIS Database / Data / Layers When No When No Mag, Yes: After replacing the data, if they Lead Dept. CW-028 (both City-wide and Longer Longer Yes Mfr, OD, S / I require the data or output for QC & OD Ppr Specialized) Required Required historical purposes; Department Preference (Preliminary documents); GC §34090 et seq. Grants (UNSUCCESSFUL Mag' Yes: After Lead Dept. CW-029 Applications, Correspondence) 2 years 2 years Mfr, S / I QC & OD GC §34090 pOD, 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods 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, Mag, Grants to Local Governments Lead Dept. CW-030 2 years Audit, if if required - Mfr, OD, S / I Yes: After is 3 years from expenditure QC & OD Applications (successful), grant Required - Minimum 5 report or final payment of Ppr agreement, program rules, Minimum 5 years grantee or subgrantee; 2 CFR regulations & procedures, reports 200.334; 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, Yes: After Federal laws require retention Resources CW-031 Complaints (Employees) Longer Longer Disposition Mfr, OD, S / I until final disposition of formal QC & OD Required Required Ppr complaint; State requires 2 years after action is taken; GC §§12946, 12960, 34090 Copies - Copies - When No When No Yes: After Lawsuits, Litigation, Pending Longer Longer Yes: Before Mag, Risk Management QC & OD City Attorney CW-032 Litigation Required Required Settlement Mfr, OD, S/I administrates claim; GC � (Upon (Upon Ppr Settlement §§34090.7, 34090.E Settlement) Settlement Leave Slips /Time Off When No When No Mag, Yes: After Preliminary drafts not retained Lead Dept. CW-033 Requests Longer Longer Mfr, OD, S / I in the Regular Course of QC & OD Required Required Ppr Business GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Mag, Mfr, OD, Yes: After Lead Dept. CW-058 Liability Waivers 2 years 2 years S / I QC & OD GC §34090 Ppr Previous MSDS may be obtained from a service; MSDS may be destroyed as long as a record of the chemical / Material Safety Data Sheet substance / agent, where & (MSDS) / Safety Data Sheet Wile ag, when it was used is Lead Dept. CW-034 (SDS) Chemical Use Report Chemical In 30 years 30 years Mfr, OD, S / I Yes - After maintained for 30 years; Form (or records of the Use Ppr QC & 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 Copies - Copies - Mag, Yes: After Originals maintained by City City Clerk CW-035 Minutes - City Council When No When No Yes (all) Mfr, OD, S / I QC & OD Clerk Permanently; GC Longer Longer Ppr §34090.7 No Required Re uired Copies - Copies - Mag, Yes: After Return any whole unused City Clerk CW-036 Municipal Code (these are When No When No Yes: Current Mfr, OD, S / I QC& OD codes to the City Clerk; copies) Longer Longer Original p Originals maintained by City Required Required Clerk Permanently; GC §34090 When No When No Maq' Yes: After Non -records - may be obtained Lead Dept. CW-037 Newspaper Clippings Longer Longer Mfr, OD, S / I QC & OD from the newspaper company; Ppr Required Required GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Notices: Public Hearing Mag, Mfr, OD, Yes: After Statute of Limitations on Staffing Dept. CW-038 Notices and Proofs of 2 years 2 years 511 QC & OD Municipal Government actions Ppr Publications is 3 - 6 months; GC §34090 Copies - When No Copies - When No Mag, Yes: After City Clerk CW-039 Ordinances -City Council Yes (all) MfrP, S / I QCN OD Originals maintained by City Longer Longer Ppr Clerk Permanently; GC §34090 Required Required Send to Send to Ensure records kept in Personnel Files (Department- Human Human Human level Files) Resources Resources Before Mag, Mfr, OD, I Yes: After Department files comply with Resources CW-040 Upon Upon Separation S / QC & OD City policy (all originals are Except Police Department Separation or Separation or Ppr sent to Human Resources); GC Transfer Transfer §34090.7 Shred After Shred After Incorporation Incorporation Notes maintained in a separate Personnel Files (Supervisor's into into Before Mag, Yes: After folder to be incorporated into Lead Dept. CW-041 Notes) Performance Performance Annual Mfr, OD, S / I performance evaluation, or to QC & OD Evaluation or Evaluation or Evaluation Ppr document progressive Documented Documented discipline; GC §34090 et seq. Discipline Discipline When No When No Mag, Yes: After Preliminary Drafts; destroy Lead Dept. CW-042 Photographs Longer Longer Mfr, OD, S / I unnecessary photographs. GC �§§34090 QC & OD Ppr Required Re uired Mag, Yes: After Department preference; GC Lead Dept. CW-043 Purchase Orders / Requisitions 2 years 3 years 5 years Mfr, OD, S / I QC &OD §34090 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media 1=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Lead Dept. Real Estate Appraisal Reports: Mag, Yes Yes: After Not accessible to the public; �+„+,...,;,+„ �,,;,+„�,, Guidelines show., � (Who Ordered CW-044 Property NOT purchased, 2 years 2 years Mfr, OD, S / I the Appraisal) Loans not funded, etc. QC & OD ems' GC §§340) Ppr 7928.705 Not accessible to the public until purchase has been Lead Dept. Real Estate Appraisal Reports: Minimum 3 Minimum 5 Yes: Before , Mag Yes: After completed; meets municipal (Who Ordered CW-045 Purchased Property, Funded 2 years years years Purchase Mfr, OD, S / I QC &OD government auditing the Appraisal) Loans Ppr .,+,,,.,;,+,. standards; S+�� Guidelines show 2 years; GC §§34090—,&25" 7928.705 Records Destruction Lists / Copies - Copies - Mag, City Clerk CW-046 Certificate of Records When No When No Mfr, OD, S / I Yes: After GC §34090.7 Destruction Longer Longer QC & OD Ppr Required Required Reference Materials: Policies, Procedures, Brochures, Flyers, Manuals, Newsletters, etc.: When No When No Mag, CW-047 Produced by OUTSIDE Longer Longer Mfr, OD, 511 Yes: After Non -Records ORGANIZATIONS (League of Required Required QC & OD Ppr California Cities, Chamber of Commerce, etc.) Reference Materials: Policies, Procedures, Brochures, Flyers, Mag, Department preference; Lead Dept. CW-048 Manuals, Newsletters, etc.: Minimum 2 Minimum 2 I I Mfr. OD. S / I Yes: After Statewide guidelines propop Produced by YOUR years years QC & OD safe;seded 2 or 5 years; GC Ppr §34090 Department I I I I TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Reference Materials: Policies, Procedures, Brochures, Flyers, Mag, Lead Dept. CW-049 Manuals, Newsletters, etc.: When When Mfr, OD, S / I , Yes: After Copies; GC §34090.7 Produced by OTHER Superseded Superseded QC & OD Ppr Departments CW-050 Reference or Working Files: , r, OD, Mfr, O S / I Yes: After QC & OD See Correspondence E!P—r Reports and Studies Mag, Yes: After Administratively and Lead Dept. CW-051 (Historically significant - e.g., 10 years P P Mfr, OD, S/I QC & OD Historically significant, Zoning Studies) Ppr therefore retained permanently; 10 yeaFS GC §34090 Department preference; Reports and Studies (other Mag, Information is outdated after 10 Lead Dept. CW-052 than Historically significant 10 years 10 years Mfr. OD, S / I Yes: After years, statewide guidelines 2 ; i eally- QC & OD reports - e.g. Annual Reports) Ppr pFepese retain „;�;,,GC §34090 Copies - Copies - Mag, Yes: After Originals maintained by City City Clerk CW-053 Resolutions -City Council When No When No Yes (all) Mfr, OD, S / I QC & OD Clerk Permanently; GC Longer Longer Ppr §34090.7 Ale Required Re uired Lead Dept. CW-054 Special Projects / Subject Files Minimum 2 Minimum 2 Mag, S I Yes: After Department Preference; GC QC & OD / Issue Files years ears Ppr §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Surveys / Questionnaires (that the City issues). Dept. If a summary of the data is forms 2 2 Mag, Mfr, OD, Yes: After Lead CW-055 compiled, the survey are years years all QC & OD GC §34090 Ppr considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) Department preference; Meets auditing standards (audit + 4 years); IRS requires 4 years; Ca. requires 2 yr min.; FTB keeps 3 years; Most Time Cards Copies - Copies - Mag' Employees provide digital Finance / CW-056 When No When No Mfr, OD, S / I Yes: After signatures when they submit Payroll Contains the employee's Longer Longer P r p QC & OD their timecards, but some in signature Required Required Public Works and Community Services do not (another employee enters their time); IRS Reg §31.6001-1(e)(2), R&T §19530; LC § 1174(d); 29 CFR 516.5; GC §34090 TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-15 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media 1=Import Paper (OFR) (in office) (Records Retention Vital? Options M=Mfr after Center) S=Scan Imaged & C'd? Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department preference; Ethics Training is 5 years; Statewide Training -ALL COURSE guidelines PFOpose 7 years; Calif. Labor Division is required RECORDS Yes: After to keep P their OSHA records 7 Mag, years; EEOC/FLSA/ADEA QC & OD Lead Dept. CW-057 (Attendance Rosters, Outlines 2 years 3 years 5 years Mfr, OD, S / I (Age) requires 3 years for When and Materials; includes Ethics, Ppr �e 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 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 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). CITY CLERK Agenda Packets (includes Appeals): City Council, City Clerk CC-001 Housing Authority, P P Mag, Mfr, S / I Yes: After Department preference; GC Redevelopment Agency, OD, Ppr QC & OD §34090 Successor Agency, Oversight Board Agenda Packets: Speaker Mag, Mfr, Yes: After Preliminary drafts used to City Clerk CC-038 Slips 1 year 1 year S / I produce minutes; GC OD Ppr QC & OD §34090 et seq. Agreements & Contracts - ALL (Except Class Department Preference; All Instructors) infrastructure contracts should be permanent for Agreement or Contract Yes: Before Mag, Mfr, Yes: After emergency preparedness; City Clerk CC-002 includes all contractual Completion P P Completion OD, Ppr S � II 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 / Mag, Mfr, Yes: After City Clerk CC-003 Committee Maddy Act Lists / 2 years 2 years OD Ppr SS � II GC §34090 QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 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 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Securities (Performance Bonds, Letters of Credit, CD's, etc.) are released Bonds (Performance Bonds, Release of Release of after the Notice of City Clerk CC-004 Subdivision Bonds, Letters of Bond /Letter Bond /Letter Mag, Mfr S/I Yes: After Completion is issued and Credit) of Credit of Credit OD Ppr QC & OD 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, Mfr S I Yes: After Department preference; GC OD Ppr QC & OD §34090 City Council, Board & Mag, Mfr, Yes: After Department preference; GC City Clerk CC-005 Commission Historical List of P P OD, Ppr S / I QC &OD §34090 Members City Clerk CC-006 Claim Forms 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 OD, Ppr QC & OD Department preference; Finals are maintained by City Clerk CC-007 Deeds, Easements, Liens, P P Yes (all) Mag, Mfr, S I Yes: After City Clerk; Department file Rights of Way OD, Ppr QC & OD may include correspondence; GC §34090 et seq. Economic Interest Filings Yes: After City maintains original City Clerk CC-008 (FPPC 700 Series Forms - 7 years 7 years Mag, Mfr, S / I QC & OD 2- statements; GC Statement of Economic OD, Ppr years §81009(d)(e)(f)&(g) Interests): ALL 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 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 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Economic Interest Filings (FPPC Form 602/635) - Mag, Mfr Yes: After 2 CCR 18615(f), GC City Clerk CC-009 Lobbyist Authorization 2 Years 3 years 5 years OD Ppr S / I OCR §34090 Reporting FPPC Form 801 (Gift to Mag, Mfr a Yes: After Must post on website; City Clerk CC-010 Agency Report) 7 years 7 years Ppr S / I QC & OD 2- FPPC Opinion; GC years §81009(e) City Clerk CC-011 FPPC Form 802 (Event Ticket / Pass Distributions Agency 7 7 Mag, Mfr S / I Yes: After & OD 2- Should post on website for years years OD Ppr QC 4 years; GC §81009(e) Report) years FPPC Form 803 (Behested Mag, Mfr Yes: After City Clerk CC-012 Payment Report) 7 years 7 years OD Ppr S / I QC & OD 2- Yeafs GC §81009e City Clerk CC-013 FPPC Form 804 (Agency P P Mag, Mfr, S / I Yes: After QC & OD 2-FPPC Regulation 18734(c); Report of New Positions) OD, Ppr $ GC §81009e City Clerk CC-014 FPPC Form 805 (Agency P P Mag, Mfr, S / I Yes: After QC & 2- FPPC Regulation 18734(c); Report of Consultants) OD, Ppr yeafD GC §81009e FPPC Form 806 (Agency Mag, Mfr Yes: After Must post on website; 2 City Clerk CC-015 Report of Public Official 7 years 7 years OD Ppr S / I QC & OD 2- CCR 18702.5; GC §34090; Appointments) GC §81009(e) ELECTIONS - CONSOLIDATED Assessment District Ballots, Mag, Mfr, Yes: After City Clerk CC-016 Protest Letters, & Envelopes - 2 years 2 years SS � II GC §53753(e)(2) OD Ppr QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retentionperiods retention resumes after settlement or completion). Campaign Filings (FPPC 400 Yes: After Paper must be retained for City Clerk CC-017 Series Forms & Form 501): 2 Years P P Mag, Mfr, S / I QC & OD 2- at least 2 years; GC SUCCESSFUL CANDIDATES OD, Ppr years §81009(b)&(g) (Elected Officials) Campaign Filings (FPPC 400 Series Forms &Form 501): Mag, Mfr, Yes: After Paper must be retained for City Clerk CC-018 UNSUCCESSFUL 5 years 5 years OD, Ppr S / I QC & OD 2- at least 2 years; GC CANDIDATES years §81009(b)&(g) Campaign Filings (FPPC 400 Series Forms): THOSE NOT Mag, Mfr, Yes: After Paper must be retained for City Clerk CC-019 REQUIRED TO FILE 4 years 4 years OD Ppr S / I at least 2 years; GC QC & OD ORIGINAL WITH CITY CLERK §81009(f)&(g) (copies) Campaign Filings (FPPC 400 Series Forms): OTHER Mag, Mfr Yes: After Paper must be retained for City Clerk CC-020 COMMITTEES (PACs -not 7 Years 7 years Ppr _OD§81009(c)&(g) S I at least 2 years; GC QC & OD candidate -control led) Candidate File: Nomination Term of Term of Statewide guidelinesprop oses 4 years for �- �.I .. r,.Jirf .,+ate., �- 7 sueeessf l,CA year unsuccessful; ; City Clerk CC-021 Papers, Candidate Statement Office + 4 Office + 4 Mag, Mfr, S / I Yes: After law states term of office and 4 Forms, etc. -SUCCESSFUL years years OD Ppr QC & OD years after the expiration of CANDIDATES term for Nomination Papers does delineate and not 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department Preference; Statewide , id r„ s Candidate File: Nomination 4 years propose��s „,,;,,for , Papers, Candidate Statement Election + 4 Election + 4 Mag, � Yes: After c„„-„ for u l„a ,d„„„tea , CA ' City Clerk CC-022 Forms, etc. - years years OD Ppr S / law states term of office and 4 QC & OD UNSUCCESSFUL CANDIDATES years after the expiration of term for Nomination Papers does delineate and not between the We; EC §17100 Elections - GENERAL, WORKING or ADMINISTRATION Files (Correspondence, Precinct Maps, County Election Mag, Mfr1 Yes: After City Clerk CC-023 Services, Candidate 2 years 2 years O Ppr S / I GC §34090 QC & OD Statements to be printed in the Sample Ballot, Polling Locations and Precinct Board Members, Notices, Postings, etc.) Elections - HISTORICAL (Sample ballot, copies of Mag, Mfr, Yes: After Retained for Historical City Clerk CC-024 resolutions, final results; 2 years P P OD, Ppr S � II QC & OD No Value, GC §34090 Certificate of Election, Oath of Office) TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of Record Retention No. Records Description Retention I Disposition Comments I Reference (OFR) Active (in office) Inactive (Records Center) Total Retention Vital? Media Options Image: 1=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). City Clerk CC-025 Elections - Petitions (Initiative, Final Examination 7na Ppr Not accessible to the public; The 8 month retention applies after election results, or final Recall or Referendum) - IF + 1 year after examination if no election, INSUFFICIENT petition examination petition examination unless there is a legal or FPPC proceeding. EC §§17200(b)(3), 1 4400 City Clerk CC-025.1 Elections - Petitions (Initiative, Results + 8 Results + 8 I Not accessible to the public; The 8 month retention applies after election results, or final Recall or Referendum) - IF months months examination if no election, SUFFICIENT unless there is a legal or FPPC proceeding. EC §§17200(b)(33), 17400 SitySieriE bb Ffty Cleefiens; Reti+ie Results 8 Results9 � Not n s'b' , to the publi*c; The 8 month reteRWR applies afteF . , lts r final menths OF FFIcM sir n, if No Election .,+n sor Feral Examonataon + 1 year s (initiative Recall OF Referendum) + 1 year after nation if is elector atae , if . .,leotmo petitien is GooC, r e fir,.. EG petitien ,ffie nt End of Elections Section City Clerk CC-026 Ethics Training Certificates 5 years 5 years i �OD Ppr Mag, Mfr, 511 I Yes: After GC §53235.2(b) QC & OD TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 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 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). City Clerk determines historical significance; Historical Records, records can address a Photographs, & Historical Mag, Mfr, Yes: After variety of subjects and City Clerk CC-027 Projects (e.g. Incorporation, P P OD, Ppr S / I QC & OD Ale media. Some media (e.g. City Seal, Awards of significant audio and video tape) may historical interest, etc.) be limited because of the media's life expectancy; GC §34090 Minutes: City Council, Housing Authority, Redevelopment Agency, Successor Agency, Mag, Mfr, Yes: After City Clerk CC-028 Oversight Board, Audit P P OD, Ppr S / I QC & OD Ale GC §34090 Commission, Community Services Commission, Planning Commission Municipal Code When No When No Preliminary drafts not City Clerk CC-029 Administration, Distribution, Longer Longer Mag, Mfr, S � I Yes: After retained in the ordinary etc. Required Required OD Ppr QC & OD course of business; GC §34090 Municipal Code History / Mag, Mfr, Yes: After Department preference City Clerk CC-030 Supplements P P OD, Ppr S / I QC'd & OD (retain one of each supplement); GC §34090 Oath of Office: City Council, Term of Mag, Mfr, Yes: After Department Preference; GC City Clerk CC-031 Boards & Commission Office + 4 P P OD, Ppr S / I QC'd & OD §34090 Members years City Clerk CC-032 Ordinances P P Mag, Mfr, S / I Yes: After GC §34090 OD, Ppr QC'd & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 12.1 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 years), since destruction is normally performed by file folder. HOLDS: Liti at'an, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). 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 Recordings - Video of City Department Preference; Council, Citizen's Finance Video recording of City Clerk CC-035 Oversight CommitteeAudit , 10 years 10 years Mag meetings are only required Commission, Planning for 90 days; GC §§34090.7, Commission, and Community C 34090 Services Commission City Clerk CC-036 Records Destruction 10 years 10 years Mag, Mfr, S / I Yes: After Department preference; GC Authorization Forms OD, Ppr QC'd & OD §34090 Records Retention Schedules / Mag, Mfr, Yes: After City Clerk CC-037 Amendments to Records 10 years P P OD, Ppr S / I QC & OD No GC §34090 et. seq. Retention Schedules Resolutions: City Council, City Council, Housing Authority, Mag, Mfr, Yes: After City Clerk CC-038 Redevelopment Agency, P P OD, Ppr S / I QC & OD Ale GC §34090 Successor Agency, Planning Commission Secretary of State Statement of Mag, Mfr Yes: After City Clerk CC-041 Facts / Registry of Public 2 years 2 years OD Ppr SS � II GC §34090 QC & OD Agencies City Clerk CC-039 Vehicle Titles (Pink Slips) - All Sale or Sale or Mag, � S I Yes: After Department Preference; GC Vehicles Disposal Disposal OD Ppr QC & OD §34090 City Clerk CD-037 Zoning Maps (Historically P P Yes (all) I Mag, Mfr, S / I Yes: After Department Preference; GC Significant) OD, Ppr QC & OD No §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver. 6.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). CITY MANAGER City CM-001 City Council Correspondence Minimum 2 Minimum 2 Mag, Mfr, S I Yes: After Department Preference; GC Manager years years _OD Ppr QC & OD §34090 City Grand Jury Reports and Mag, Yes: After Department Preference (the Manager CM-002 Responses (Regarding City 5 years 5 years OD Ppr S / I Grand Jury keeps their reports 5 QC & OD Operations) years); GC §34090 City Projects, Programs, Subject & Minimum 2 Minimum 2 Mag, Mfr, Yes: After Department Preference; GC Manager CM-003 Issues (Issues and/or projects will years years _ Ppr S I §34090 QC & OD vary over time) City CM-004 Public Relations /Press Releases 2 years 2 years Mag, Mfr, S I Yes: After GC §34090 Manager OD Ppr QC & OD City Speech Notes / PowerPoint When No When No Mag, Mfr, Yes: After Notes, drafts, or preliminary Manager CM-005 Presentations Longer Longer _ Ppr S � II documents; GC §34090 et seq. QC & OD Required Required Copies - Copies - Finance CM-006 Travel /Conferences When No When No Mag, Mfr, S I Yes: After Invoices are maintained by QC & OD Longer Longer _OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-1 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) S=Scan Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). BUILDING DIVISION Community & Mag, Department preference; Stat ,,. ide guidelines Economic CED-002 Address Files /Building Permits P Yes (all) Mfr, OD, S / I Yes: After ;Permits are required for the Develop. / Ppr QC & OD Life of the Building ; GC §34090, H&S §19850 Building Community & Mag' Economic CED-003 Building Permit Database Indefinite - - Yes (all) Mfr, OD, S / I Yes: After Data is interrelated; Permits are required for the Develop. / Permanent QC & OD Life of the Building ; GC §34090; H&S §19850 Ppr Building Community & Upon Mag, Department preference; Preliminary drafts not Economic CED-004 Building Plans -Cancelled or Withdrawn Cancellation or Mfr, OD, S / I Yes: After QC & OD retained in the ordinary course of business; CBC Develop. / Building Withdrawal Ppr §104.7; H&S§19850, GC §34090 Community & Building Plans - Finalled - INDUSTRIAL, Department Preference; Law requires for the life Economic CED-005 COMMERCIAL, MULTI -FAMILY DWELLINGS PLACES OF PUBLIC P Yes (all) Mag, Mfr, OD, S / I Yes: After QC & OD of the building for commercial and common interest dwellings only; Statewide guffide"Res 2 for blue„,.;„+S & .atie„ Develop. / Building ACCOMMODATION, TENANT Ppr propose years s oifi ; IMPROVEMENTS CBC 104.7 & 107.5, H&S§19850, GC §34090 Department preference; Site Plans Only for Community & Building Plans -Finalled -SINGLE FAMILY Mag, dwellings less than 2 stories, garages & Economic CED-006 RESIDENTIAL - and P Yes Mfr, OD, S / I Yes: After appurtenances, farms/ranches, 1-story with Develop. / APPURTENANCEESS Ppr QC & OD bearing walls less than 25'; CBC requires 180 Building days from completion date; CBC 104.7 & 107.5, H&S§19850, GC §34090 Community & Mag' Economic CED-007 Certificate of Occupancy (CofO) P Yes (all) Mfrr,, S / I Y: After eses Department Preference; GC §34090 Develop. / pOD, & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-2 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) S=Scan Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention mods retention resumes after settlement or completion). Community & Economic CED-008 Certificate of Occupancy (CofO) - Expiration + Yes (until Mfr, OD, Mfr, O S / I Yes: After Department Preference; GC §34090 Develop. / TEMPORARY 2 years expired) QC & OD Ppr Building Community & Construction Notices / Inspection Until Cleared Mag, Economic CED-009 Notices or Project Mfr, OD, S / I Yes: After The finalled permit is the final / official record; Develop. / (correction notices, compliance orders, stop Completion Ppr QC & OD these are Preliminary Drafts; GC §34090 Building work notices, etc.) Community & Economic CED-010 Grading Plans P Mfr, OD, S / I Yes: After Department Preference; GC §34090 Develop. / Ppr QC & OD Building Community & Mag' Economic CED-011 Reports: Building Activity 2 years Mfr, OD, S / I Yes: After GC §34090 Develop. / Ppr QC & OD Building Community & Mag' Economic CED-012 Hardship Waivers Minimum 2 Yes: Until Mfr S / I Yes: After Department preference; GC §34090 Develop. / years Resolution QC & OD P,pD, Building Community & Mag' Economic CED-013 Requests & Permissions to Receive Copies 2 years MfrP, S / I Yes: After GC §34090 Develop. / of Plans (to and from Architects) pD, QC & OD Building Community & Minimum Mag' Economic CED-014 Uniform Building Codes / California Building While Mfr, OD, S / I Yes: After Department preference; GC §50022.6 Develop. / Codes Ordinance is QC & OD Ppr Building in Force CODE ENFORCEMENT 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-3 (Building, Code Enforcement, Housing, Planning) Destroy Image: Office of Paper Total Media 1=Import Record Retention No. Records Description Vital? after Comments / Reference Retention Options M=Mfr (OFR) Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention mods retention resumes after settlement or completion). Community & Economic CED-015 Administrative Citation Hearings Minimum Resolution + Yes: Until , Mag Mfr, OD, S / I Yes: After Department GC Develop. / preference; §34090 Ppr Code 2 years Resolution QC & OD Enforcement Code Enforcement / Abatement Case Files / Community & Administrative Citations / Vehicle Economic CED-016 Abatement (Includes appeals and Code Enforcement Complaint Letters) P Yes: Until Mag, Mfr, OD, S / I Yes: After Department preference; Case is open until satisfactorily resolved (some cases are not Develop. / Code Resolution Ppr QC & OD resolved); GC §34090 Enforcement MAJOR: STRUCTURAL / ILLEGAL DUMPING, SWIMMING POOLS, ETC. Code Enforcement I Abatement Case Files I Administrative Citations / Vehicle Community & Abatement (Includes appeals and Code Economic Enforcement Complaint Letters) Minimum Yes: Until Mag, Yes: After Department preference; Case is open until Develop. / CED-017 Resolution + Mfr, OD, S / I satisfactorily resolved (some cases are not Code MINOR: WEED ABATEMENT, VEHICLE Enforcement ABATEMENT, SIDEWALK BLOCKING, PARKING, BANNERS, SIGNS, ETC. Community & Economic Indefinite - Mag, Yes: After Data Fields /Records are interrelated; GC Develop. / CED-018 Code Enforcement Database Minimum 2 Yes Mfr, OD, S / I Code QC & OD §34090 years Ppr Enforcement HOUSING DIVISION Community & CED-018.3 Foreclosure Notices / Notices of Defaults When No Mag, Yes: After Preliminary drafts not retained in the ordinary Economic Develop. / (NOD) -Not related to a City Loan /Case Longer Mfr. OD. S / I QC & OD course of business; GC §34090 €D-006 Housing File Required 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-4 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) S=Scan Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention mods retention resumes after settlement or completion). 5 years after Housing Programs: Affordable Housing the HUD requires 5 years after the project Projects, Rehabilitation, CDBG-funded Affordability completion; documents imposing recapture / Community & Housing Projects, etc. Period Mag, resale restrictions are 5 years after the Economic CED-018.4 Terminates, Mfr, OD, S / I Yes: After affordability period terminates; Uniform Admin. €D 007 Develop. / WITH a Recapture / Resale Restriction or the Written Ppr QC & OD Requirements for Grants to Local Governments Housing Agreement is 3 years from expenditure report; 2 CFR Terminates, 200.334; 24 CFR-92.508(a)&(c) & Deeds are sent to City Clerk Whichever is 570.502(a)(16), 29 CFR 97.42, GC §34090 Longer Housing Programs: Affordable Housing HUD requires 5 years after the project Projects, Rehabilitation, CDBG-funded completion; documents imposing recapture / Community & Housing Projects, etc. Loan Pay-off Mag' resale restrictions are 5 years after the Economic CED-018.5 OR Mfr, OD, S / I Yes: After affordability period terminates; Uniform Admin. €D 008 Develop. / WITHOUT a Recapture / Resale Forgiveness Ppr p QC & OD Requirements for Grants to Local Governments Housing Restriction + 5 years is 3 years from expenditure report; 2 CFR 200.334; 24 CFR 92.508(a)&(c) & Deeds and Insurance are sent to City Clerk 570.502(a)(16), 29 CFR 97.42, GC §34090 Community & Loan Applications / Potential Buyers Mag' Economic CED-018.6 Denied, Cancelled or Withdrawn (First 2 years Mfr, OD, S / I Yes: After GC §34090 Develop. / €D 009 Time Home Buyers, Life/Safety, QC & OD Ppr Housing Rehabilitation, HOME, etc. PLANNING Community _& When Mag, Economic CED-019 Alcohol Beverage Control License Longer r Mfr, OD, S / I Yes: After (Non -Records) Develop. / Applications (ABC Applications) Required QC & OD Ppr Planning Community & Economic CED-020 Annexations / Boundaries / Consolidations / P Mfr, OD, S / I Yes: After Land Records; GC §34090 Develop. / LAFCO Ppr QC & OD Planning TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-5 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) S=Scan Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention mods retention resumes after settlement or completion). Community _& Economic CED-039 CC&R Agreements / Covenants, Conditions P Mfr, O r, OD, S / I Yes: After Department Preference; GC §34090 Develop. / and Restrictions Ppr QC & OD Planning Community -& When No Mag, Economic CED-021 Census, Demographics Longer Mfr, OD, S / I Y: After Yes: (Non -Records - Census Bureau is OFR) Develop. / Required Ppr & OD Planning Environmental Determinations: Community _& Environmental Impact Reports (EIRs), Mag, Usually filed in the project file; Final Economic CED-022 Negative Declarations, etc.) P Mfr, OD, S / I Yes: After environmental determinations are required to be "reasonable Develop. / Ppr p QC & OD kept a period of time"; 14 CCR Planning Inside City boundaries §15095(c); GC §34090 Environmental Determinations: Environmental Impact Reports (EIRs), Not all internal communications and notes are Negative Declarations, etc.) required to be saved; "E-mails that do not provide insight into the project or the agency's CEQA Community & Correspondence and staff notes that Proiect Mag, compliance with respect to the project — are not Economic CED-022.1 provide insight into the Proiect or the Approval or Mfr, OD, S / I Yes: After QC & OD within the scope of section 21167.6, subdivision (e) and need not be retained." Golden Door Develop. / agency's CEQA compliance with respect to Denial + 2 Ppr Planning the project submitted to, or transferred years Properties, LLC v. Superior Court of San Diego ^���' internal^�� County (County of San Diego, et al., Real Parties in Interest) (53 Cal.App.5th 733); PRC and all ^�ff 21167,6; GC §34090 `� °�"u ' to CEQA Felated a non exempt actiort Community & Environmental Determinations: Economic CED-023 Environmental Impact Reports (EIRs), Negative Declarations, etc.) When No Longer Mag, Mfr, OD, S / I Yes: After QC & OD Non -records; EIRs and Negative Declarations within the City Boundaries are with the project file Develop. / Planning Required Ppr Outside City boundaries 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-6 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) S=Scan Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention mods retention resumes after settlement or completion). Community _& Economic CED-024 General Plan, Elements and Amendments P r, O Mfr, OD, S / I Yes: After City Clerk Maintains all Agenda Packets Develop. / Ppr QC & OD Permanently; GC §34090.7 Planning Community & Economic CED-025 Historic Preservation Survey, Evaluations P Mfr, OD, S / I Yes: After Department Preference; GC §34090 Develop. / and Designations Ppr QC & OD Planning Community _& Economic CED-034 Home Occupation P Mfr, OD, S / I Yes: After Department Preference; GC §34090 Develop. / Ppr QC & OD Planning Community & Economic CED-026 Master Plans, Specific Plans, Land Use P Mfr, OD, S / I Yes: After Department Preference; GC §34090 Develop. / Plans, etc. Ppr QC & OD Planning Community _& When No Mag, Economic CED-027 Materials Boards Longer Mfr, OD, S / I Yes: After Preliminary drafts not retained in the ordinary Develop. / Required Ppr QC & OD course of business; GC §34090 Planning Community & Planning Commission, Building Board of Economic CED-030 Appeals, Zoning Administrator 2 years Mag Department preference; State law only requires for 30 days; GC §54953.5(b) Develop. / Planning AUDIO RECORDINGS of Meetings / Audio Tapes Planning Commission, Building Board of Copies - Appeals, Zoning Administrator When No Mag, Yes: After City Clerk CED-031 Longer Yes Mfr, OD, S / I QC & OD Send originals to the City Clerk; GC §34090.7 MINUTES, BYLAWS & RESOLUTIONS Required Ppr NO 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-7 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention mods retention resumes after settlement or completion). Community & Planning Commission, Building Board of Economic CED-029 Appeals, Zoning Administrator P Mfr, O r, OD, S / I Yes: After QC & OD Department preference; Original Staff Reports are filed in the project file; GC §34090 Develop. / Planning AGENDAS & AGENDA PACKETS Ppr Community & Mag' Economic CED-032 Planning Project Log of Applications, Indefinite = Yes (all) Mfr, OD, S / I Yes: After Department Preference - Data is interrelated; GC Develop. / Database Permanent QC & OD §34090, H&S §19850 Planning Planning Project Files - Approved Permanent Entitlements (Includes Associated CEQA Noticing, Community & Conditions of Approval, Public Noticing, Mag' Department preference; Final environmental Economic CED-033 Environmental Determinations, Staff P Yes Mfr, OD, S / I Yes: After determinations are required to be kept a "reasonable Develop. / Reports, Plans &Maps) P p r QC & OD period of time"; 14 CCR §15095(c); Planning GC§§34090, 34090.7 Examples: Conditional Use Permits (CUPs), Correspondence, Design Review, Lot Line Adjustments, Parcel Maps, Site Plans, Tentative Subdivisions, Variances, Zone Changes, etc. Community & Mag' Economic CED-028 Special Event Permits / Film Interim Use Minimum 2 Mfr, OD, S / I Yes: After GC §34090 Develop. / Permits years QC & OD Ppr Planning Community -& Mag' Economic CED-035 Special Studies Minimum 2 Mfr, OD, S / I Yes: After Department Preference; GC §34090 Develop. / years Ppr QC & OD Planning TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 15.0 RECORDS RETENTION SCHEDULE: COMMUNITY ECONOMIC DEVELOPMENT Page CE&D-8 (Building, Code Enforcement, Housing, Planning) Image: Destroy Office of Total Media 1=Import Paper Record Retention No. Records Description Retention Vital? Options M=Mfr after Comments / Reference (OFR) Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investi ations suspend normal retention mods retention resumes after settlement or completion). Temporary Entitlements / Temporary Community _& Permits (Approved & Unapproved): Yes: Mag, Economic CED-036 Minimum 2 During Mfr, OD, S / I Yes: After Department preference; GC§§34090 Develop. / Christmas Tree Lots, Pumpkin Lots, Banner years Event Ppr QC & OD Planning Permits, etc. Mag, Yes: After City Clerk CED-037 Zoning Maps (Historically Significant) P Yes (all) Mfr, OD, S / I QC & OD Department Preference; GC §34090.7 No Ppr Community _& Mag, Yes: After Economic CED-038 Zoning Ordinance Amendments, P Yes Mfr, OD, S / I QC & OD Department Preference (copies); GC §34090.7 Develop. / Reclassifications /Zone Change Ppr 4-yeas Planning TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-1 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) S=Scan C'd? /f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.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 Finance / 1099's / 1096's / DE542 (California Report of Mag, Mfr, Yes: After is due or paid (longer for auditing & Accounting FIN-001 Independent Contractors) 5 years OD Ppr S I contractor delinquency); Ca. FTB: 3 years; QC & OD IRS Reg §31.6001-1(e)(2), R&T §19530, GC §34090; 29 USC 436 Accounts Payable / Invoices and Backup Finance / FIN-002 (Includes Invoices, Travel Expense 5 years Yes: Until Mag, Mfr, S / I Yes: After Department Preference (meets municipal Accounting Reimbursements, Check Request, Purchase Paid OD, Ppr QC & OD government auditing standards); GC §34090 Card Supporting Data, etc.) Finance / Assessment Rolls / Lighting and Landscape Mag, Mfr, Yes: After Department preference; Meets auditing Accounting FIN-003 Districts / Special District Assessment Rolls (to 5 years OD Ppr SS � II standards; GC §34090 et seq. QC & OD Tax Assessor for Tax Rolls) Finance / Audit Commission Minimum 2 Mag, Mfr Yes: After Brown Act challenges must be filed within 30 Accounting FIN-004 year OD Ppr SS � II or 90 days of action; GC §§34090, QC & OD AGENDAS, AGENDA PACKETS. 54960.1(c)(1) Audit Commission Copies - City Clerk FIN-006 When No Longer Yes Mag, Mfr, OD, Ppr S / I Yes: After & OD Ne Send originals to the City Clerk; GC §34090.7 MINUTES & BYLAWS QC Required Audit Commission Finance / Department Preference; Video recording of Accounting FIN-007 VIDEO RECORDINGS of Meetings / Audio 10 years Mag meetings are only required for 90 days; GC §§34090.7, 34090 Tapes Finance / Audit Reports / Annual Comprehensive Mag, Mfr, Yes: After Preference (copies); GC Accounting FIN-008 Financial Report (ACFR) and related Audit P OD, Ppr S / I QC & OD 9-0-Department Opinions days§34090.7 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference (OFR) 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: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department Preference; meets municipal Finance / FIN-009 Audit Work Papers 5 years Mag, � S I Yes: After government auditing standards; statewide guodelones propose audit + 4 years; Published QC & OD Accounting OD Ppr articles-skow 37 years; GC §34090 Bank Statements and Trustee Statements, Finance / FIN-010 Fiscal Agent Statements, Investment Account 5 years Mag, � S I Yes: After Department Preference; meets auditing Accounting Statements, Bank Reconciliations, Bank _ Ppr QC & OD standards; GC §34090, 26 CFR 31.6001-1 Deposits, Bank Transmittal Advice Bonds (Revenue) Official Statements / Department Preference; Statute of Limitations Transcripts / Certificates of Participations for bonds, mortgages, trust deeds, notes or Finance / (COPs) -Includes Continuing Disclosure Fully Yes: Until Mag, � Yes: After debentures is 6 years; Bonds issued by local Accounting FIN-011 Reports Defeased + Maturity OD Ppr SS � II governments are 10 years; There are specific QC & OD 10 years requirements for disposal of unused bonds; See Bank Statements for statement retention. CCP §§336 et seq. 337.5(a); 26 CFR 1.6001- 1(e): GC §43900 et seq. Finance / Yes: Mag, Mfr, Yes: After Accounting FIN-012 Budgets - Adopted / Final P Current OD, Ppr S / I QC & OD 90- Department preference; GC §34090 et seq. Fiscal Year days Finance / FIN-013 Budgets - Preliminary, Proposed, Backup When No Longer Mag, � S I Yes: After Preliminary drafts; GC §34090 Accounting Documents Required OD Ppr QC & OD Department preference; All tangible property Finance / Mag, Mfr, Yes: After held by government agencies escheats after 3 Accounting FIN-014 Escheat (Unclaimed money / uncashed checks) 5 years OD Ppr SS � II years; Statute of Limitations is 1 year for QC & OD seized property; CCP §§340(d), 1519; GC §34090 Finance / FIN-015 FEMA Reimbursement / OES Reimbursements 10 years Mag, � S I Yes: After Department Preference; GC §34090 Accounting OD Ppr QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-3 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) 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: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Finance / — Mag, Mfr Yes: After Data Fields / Records are interrelated; meets Accounting FIN-016 Financial Services Database 5 Yes OD, Ppr S / I municipal government auditing standards; QC & OD 71ndefinite- GC §34090 Department Preference (bond auditing purposes; IRS regulations state, "...material Finance / FIN-017 Fixed Assets 5 years Mag, � S I Yes: After records should generally be kept for as long Accounting OD Ppr QC & OD as the bonds are outstanding, plus 3 years after the final redemption date of the bonds"); 26 CFR 1.6001-1(e); GC §34090 Department Preference; Meets auditing Investments / Arbitrage / Certificate of Deposit / standards; Published arti6les chew disposal y Finance / FIN-018 Investment Bonds (Receipts / Advisor Reports / 5 years Yes: Until Mag, � S I Yes: After 7 „eaFS fnr S,,GUFity tiro' Accounting Trade Tickets / LAIF (Local Agency Investment Paid _ Ppr QC & OD guidelines propose perman FTC Reg's Fund)) rely on "self -enforcement"; GC§§ 34090, 43900 Department Preference; meets municipal Finance / Mag' Mfr, Yes: After government auditing standards; Statute of Accounting FIN-019 Journal Entries / Journal Vouchers 5 years OD, Ppr S / I QC & OD Limitations is 4 years; statewide guidelines Audit + 5 ; GC §34090, CCP § 337 Reports / Finance Reports created from Finance / Database: Subsidiary Ledgers, Reconciliations, When No Mag, � Yes: After Department preference (The Financial Accounting FIN-020 Registers, Transaction Histories, Balance Longer OD Ppr SS � II System Database is the original; reports are QC & OD Sheets, Revenue & Expenditure Reports, etc. Required considered drafts or copies); GC §34090 (MONTHLY OR PERIODIC) Reports: Annual State or Federal: State Finance / Controller's Report, Local Government Mag, Mfr, Yes: After Department Preference; Meets auditing Accounting FIN-021 Compensation Report, Gas Tax, MOE 5 years OD, Ppr S / I QC & OD standards; GC §34090 (Maintenance of Effort) Report, Street Report, etc. TUSTIN, CA ©1995-2017 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-4 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) 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: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Finance / FIN-022 Transportation Audits / PERS Audit, etc. 5 years Mag, Mfr, S II Yes: After Department Preference (meets municipal Accounting OD Ppr QC & OD government auditing standards); GC §34090 Finance / FIN-023 Treasurer's Reports &Backup 5 years Mag, Mfr S / I Yes: After Department Preference; GC §34090 Accounting OD Ppr QC & OD Department Preference (meets municipal Finance / FIN-024 W-9s Minimum 5 Yes: Until Mag, Mfr, S / I Yes: After government auditing standards); Statewide Accounting years Paid OD, Ppr QC & OD artioles-show 37 years; GC §34090 BUSINESS LICENSE UTILITY BILLING & REVENUE Finance / Business Accounts Receivable - Miscellaneous - License, FIN-025 Damage to Public Property, Invoices to Outside 5 years Mag, Mfr, S / I Yes: After Department preference; Meets auditing Utility OD, Ppr QC & OD standards; GC §34090 et seq. Billing & Entities, etc. Revenue Finance / Business License, FIN-026 Accounts Receivable - Utility Billing, etc. 5 years Mag, Mfr, S / I Yes: After Department preference; Meets auditing Utility OD, Ppr QC & OD standards; GC §34090 et seq. Billing & Revenue Finance / Business When No License, FIN-027 Bankruptcies -NOT pursued Longer Mag, Mfr, S I Yes: After Preliminary drafts not retained in the ordinary Utility Required OD Ppr QC & OD course of business; 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-5 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) S=Scan C'd? /f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Finance / Business Department Preference (negative information License, FIN-028 Bankruptcies - Where a claim is filed 10 years Mag, Mfr, S / I Yes: After remains on credit ratings for 7 years); GC Utility OD Ppr QC & OD §34090 Billing & Revenue When No Department preference (The Business Finance / FIN-029 Billing Registers, Payment Registers, Longer Mag, Mfr, S I Yes: After License & Permit Database is the original; Accounting Adjustment Registers Required OD Ppr QC & OD reports are considered drafts or copies); GC §34090 Finance / Business Indefinite - Data Fields / Records are interrelated; meets License, FIN-030 Business License & Permit Database — Minimum 5 Yes Mag, Mfr, S / I Yes: After municipal government auditing standards; QC & OD Utility OD, r Pp years GC §34090 Billing & Revenue Finance / Business Department preference (used for zoning License, FIN-031 Business License Applications and Changes P Mag, Mfr, S / I Yes: After approvals and police approvals); GC §34090 Utility OD, Ppr QC & OD Billing & et seq. Revenue Finance / Business License Administrative Citations / Business Code Enforcement / Enforcement of Business License, FIN-031.1 License Close + 2 Mag, Mfr, S / I Yes: After Department preference; GC §34090. Utility Code (Includes Appeals and Code Enforcement years OD, Ppr QC & OD Billing & Revenue Notices of Violation) 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-6 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) 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: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Finance / Business When No License, FIN-032 Business License Renewals Longer Mag, Mfr, S / I Yes: After Department preference (Preliminary drafts); Utility Required OD Ppr QC & OD GC §34090 Billing & Revenue Finance / Business License, FIN-033 Cash Receipts / Daily Cash Summaries / 5 years Mag, Mfr, S / I Yes: After Department preference; Meets auditing Utility Cashiers Reports / Cash Reports / Petty Cash OD, Ppr QC & OD standards; GC §34090 et seq. Billing & Revenue Finance / Business Department Preference; meets municipal License, FIN-034 Checks / Warrants (Cashed / Paid) 7 years Mag, Mfr, S / I Yes: After government auditing standards; GC §34090, Utility OD, Ppr QC & OD CCP § 337 Billing & Revenue Finance / Business Department preference; Delinquencies remain License, FIN-035 Collections / Collection Agency Case Files & 7 years Mag, Mfr, S / I Yes: After on credit reports for 7 years; GC §34090 et Utility Statements / Delinquent Accounts OD Ppr QC & OD Billing & seq. Revenue Finance / Business License, FIN-036 Returned Checks /NSF Checks 5 years Mag, S I Yes: After Department Preference; Meets auditing Utility OD Ppr QC & OD standards; 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-7 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) S=Scan C'd? /f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Finance / Business When No License, FIN-037 Stubs / Payment Coupons (returned with Longer Mag, Mfr, S / I Yes: After Preliminary drafts not retained in the ordinary Utility payment) Required OD Ppr QC & OD course of business; GC §34090 Billing & Revenue Finance / Business When No License, FIN-038 Turn Ons and Turn Offs Longer Mag, Mfr, S / I Yes: After Preliminary drafts not retained in the ordinary Utility Required OD Ppr QC & OD course of business; GC §34090 Billing & Revenue Finance / Business License, FIN-039 Utility Adjustment Slips / Meter Mis-reads, 5 years Mag, Mfr, S / I Yes: After Department preference; Meets auditing Utility Credits / Debits to Accounts OD, Ppr QC & OD standards; GC §34090 et seq. Billing & Revenue Finance / Business Indefinite - Data Fields / Records are interrelated; meets License, FIN-040 Utility Billing Database — Minimum 5 Yes Mag, Mfr, S / I Yes: After municipal government auditing standards; Utility OD, r Pp QC & OD years GC §34090 Billing & Revenue Finance / FIN-050 Water Billing: Appeals - Payment Delinquency Final Decision + 2 Mag, Ppr, Mfr, S / I Yes: After Documented or attached to Customer Record Accounting & Impending Discontinuation QC & OD in database GC §34090; H&S §116908 ears OD Finance / Water Billing: Drought Compliance (Includes Close + 2 Mag' Yes: After Documented or attached to Customer Record Accounting FIN-050.1 Appeals and Code Enforcement Notices of years Ppr, Mfr, S / I QC & OD in database GC §34090; H&S §116908 Violation) OD Finance / Water Billing: Non-payment Notices / Notice of When No Mag, Yes: After Documented or attached to Customer Record Accounting FIN-051 Payment Delinquency & Impending Longer I I Ppr, Mfr, S / I QC & OD in database GC §34090; H&S §116908 Discontinuation (Initial, Final) Required OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-8 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference Retention Options M=Mfr Imaged & (OFR) S=Scan C'd? /f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Finance / Water Billing: NSF Checks / Adjustments to When No Mag, Yes: After Documented or attached to Customer Record Accounting FIN-052 Customer accounts Longer Ppr, Mfr, S / I QC & OD in database GC §34090; H&S §116908 Re uired OD Expiration or Mag' Finance / FIN-053 Water Billing: Payment Plans: Amortization, Completion Ppr, Mfr, S / I Yes: After Documented or attached to Customer Record Accounting Alternative Payment Plans, Deferrals, etc. of Payment OD QC & OD in database GC §34090; H&S §116910 Plan When Mag' Finance / FIN-054 Water Billing: Policy on Discontinuation of Superseded; Ppr fr, S / I Yes: After Must post to Website; H&S §116906; GC Accounting Residential Service for Nonpayment Minimum 2 QC & OD §34090 ears Finance / FIN-055 Water Billing: Report of Annual Minimum 2 Mag' Ppr fr, S / I Yes: After Must post to Website; H&S §116918; GC Accounting Discontinuations of Residential Service years QC & OD §34090 PAYROLL Finance / FIN-041 Auto Pay Authorization Forms / Direct Deposit 5 years Mag, Mfr, S II Yes: After Department Preference; GC §34090 Payroll Authorizations _OD Ppr QC & OD Finance / FIN-042 CalPERS Reports - Annual Valuation Reports, 5 years Mag, � S I Yes: After Department Preference; GC §34090 Payroll Actuarial Valuation Reports OD Ppr QC & OD DE-6, DE-7, DE-9, DE-43, W-3, & DE-166, 941 Department Preference; IRS: 4 yrs after tax is Finance / Forms, IRS 5500 Forms (Employee Benefit Mag, Mfr, Yes: After due or paid; Ca. FTB: 3 years; Payroll FIN-043 Plans), PERS / FICA & Medicare Adjustments - 5 years OD Ppr SS � II years, 26 CFR §31.6001-1(e)(2), R&T QC & OD Quarterly Payroll Tax Returns / OASDI, Federal §19530; 29 CFR 516.5 - 516.6, 29 USC 436, Tax Deposits, Adjustments, etc. GC §34090 Finance / FIN-044 Deferred Compensation (457) Reports, 5 years Mag, Mfr, S I Yes: After Department preference; GC §34090 Payroll Registers OD, QC & OD Finance / When No Mag, Mfr, Yes: After Preliminary drafts not retained in the Regular Payroll FIN-045 Employment Verifications Longer OD Ppr S / I Course of Business GC §34090 QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-9 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments /Reference (OFR) Retention Options M=Mfr Imaged & S=Scan C'd? /f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Lit' ation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department preference; IRS Regulation for W Finance / Payroll Benefit Files / Administration Forms (W Separation + Mag, Mfr, Yes: After 4s is four years after the due date of such tax Payroll FIN-046 4s, Changes, Personnel Action Form copies, 5 years Yes ODPpr , S / I QC & OD for the return period to which the records Vacation pay-off requests, etc.) relate, or the date such tax is paid, whichever is the later. 26 CFR 31.6001-1; GC §34090 Finance / FIN-047 Payroll Journals / Payroll Registers / Pay Day 50 years Mag, Mfr, S / I Yes: After Department preference for CalPERS buy - Payroll Registers OD, Ppr QC & OD 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 digital Finance / FIN-048 Time Cards Time Sheets 5 years Mag, Mfr, S / I Yes: After signatures when they submit their timecards, Payroll OD, Ppr QC & OD 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 Department Preference; IRS: 4 yrs after tax is Finance / Mag, Mfr, Yes: After due or paid; Ca. FTB: 3 years; Articles shew 7- Payroll FIN-049 W-2's 5 years OD Ppr S / I years; IRS Reg §31.6001-1(e)(2), R&T QC & OD §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). HUMAN RESOURCES Background File / Recruitment State law requires 4 years; Human File -Police Applicants & Hiring Hiring MagMfr, , Yes: After Department ^referenoe; 29 Resources HR-000 Police Volunteers Decision + 4 - Decision + 4 - OD, P—Pr S / I CFR 1602.31 & 1627.3(b)(1), QC & OD 3-years 3 years GC §§ 3105, 12946, 12960, (UNSUCCESSFUL) 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 Mag, Mfr Yes: After requires 6 years after filing Resources HR-001 (CaIPERS, Optical, Dental, the Contract the Contract Duration of OD, Ppr, S / I date for retirement; State Law QC & OD 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, Mfr, S I Yes: After records; Wage rate tables are QC & OD Resources classifications and department years years OD, Ppr 1 or 2 years; State requires 2 structures) years; 29 CFR 516.6, 29 CFR 1602.14, GC §§12946, 12960, 34090 Bureau of National Affairs recommends 2 years for all supplementary Personnel Human HR-003 Compensation Surveys & Minimum 3 Minimum 3 Mag, Mfr, S I Yes: After records; Wage rate tables are QC & OD Resources Studies years years OD, Ppr 1 or 2 years; State requires 2 years; 29 CFR 516.6(2), 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). #eFnar� Reseurees.. uno nn� .T� years years Mag,M GID-D�n� dq � LG C..� ID Department preference; All California Civil Rights State and Federal laws Department (CRD) / require retention until final Human Department of Fair Final Final Mfr, Mag, . Yes: After disposition of formal Resources HR-004 Employment &Housing (DFEH Disposition + Disposition + OD, Ppr S / I complaint; State requires 4 2- QC & OD or EEOC) Claims / Harassment 4-3 years 4 3 years years after "fully and finally Claims disposed"; 2 CCR 11013 7287.0; GC §§12946, 12960, 34090, 60201 When When Human HR-005 DMV Pull Notices (Except Superseded, Superseded, Mag, Mfr, S I Yes: After Department preference (Not QC & OD Resources Police) or Upon or Upon OD, Ppr City Records); GC §34090 Separation Separation Department preference; D.O.T. Requires 5 years for positive tests, 1 year for negative tests; EEOC/FLSA/ADEA (Age) Human Drug & Alcohol Test Results Mag, Mfr, Yes: After requires 3 years physical Resources HR-006 (All -Positives and Negatives) 5 years 5 years OD, Ppr S / I examinations; State Law QC & OD 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 Mag, Mfr, Yes: After 29 CFR 1602.30; 29 CFR Resources HR-006.5 EEOC Reports, EEO-4 Reports 3 years 3 years OD, Ppr S / I 1602.31, 29 CFR 1602.32; QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). Human HR-007 Employee History Cards P P Mag, Mfr, S / I Yes: After Department preference; GC QC & OD Resources ("White Card") OD, Ppr §§12946, 12960, 34090 Department Preference for consistency with Personnel Human HR-025 Employee Investigation Files Separation + Separation + Mag, Mfr, S / I Yes: After Files; 29 CFR 1602.31 & QC & OD Resources (excludes Police) 6 years 6 years OD, Ppr 1627.3(b)(1), GC §§ 3105, 12946, 12960, 34090; 29 USC 1113; LC §1198.5 State requires for at least 5 years for civilian complaints; other State & Federal laws Employee Investigation and require retention until final Disciplinary files involving disposition of formal Police Department personnel Final Final complaint; State requires 2 Human HR-026 NOT as a result of a complaint Disposition + Disposition + Mag, Mfr. S / I Yes: After years after action is taken; Resources from a Member of the Public OD, Ppr QC & OD Statute of Limitations is 4 5 years 5 years years after the discovery of (See Police Department schedules for complaints from the offense for misconduct in a Member of the Public) office; PC 801.5, 803(c) ; 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-4 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). 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, Mfr, S / I Yes: After (Age) requires 3 years for QC & OD Resources 3 years 3 years OD, Ppr "any other forms of employment inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29 CFR 1627.3(b)(1); GC §§12946, 12960, 34090 State Law requires 4 2 3 years; ^^^T Minimum Minimum preference; EEOC / FLSA / Human HR-009 Job Descriptions / Superseded Superseded Mag, Mfr, S / I Yes: After ADEA (Age) requires 1-3 Resources Classification Specifications + 4-3 years + 4 years OD, Ppr QC & OD years; 29 CFR 1627.3(b)(i), 29 CFR 1602.14 et seq.2 CCR 11013(c); GC §§12946, 12960, 34090 Labor Relations Files Human HR-010 (Negotiation Notes, 5 years Minimum 5 Minimum 10 Mag, Mfr, S / I Yes: After Department Preference; GC Resources Correspondence, Interpretation years years OD, Ppr QC & OD §34090 of MOU Provisions, Documentation, etc.) Human Livescan Results for Upon Upon I Mag, Mfr, Yes: After Department preference (Not Resources HR-011 Contracted Course Instructors Separation or Separation or OD Ppr SS � II City Records); GC §34090 QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 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 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). Department Preference; Personnel Files - Employee statute of limitations for File retirement benefits is 6 years from last action; EEOC/FLSA/ADEA (Age) Includes Application, requires 3 years for Human Evaluations, Policies, Oaths of Separation + Separation + Mag, Mfr, Yes: After promotion, demotion, Resources HR-012 Office, (Personnel 6 years 6 years OD, Ppr S I transfer, selection, or QC & OD Action Form ForPAFms), s), 1095-C form, discharge; State Law requires Separation Agreements, 4 2 3 years; 29 CFR Background Investigation files, 1602.31 & 1627.3(b)(1), GC etc. §§ 3105, 12946, 12960, 34090; 29 USC 1113; LC § 1198.5 Whichever Whichever is Department preference; Files is Longer: Longer: maintained separately; Personnel Files - Medical File Separation Separation + Claims can be made for 30 (all employees) + 24 years; 30 years; OR Yes: After years for toxic substance Human HR-013 Pre -employment Medical Separation + OR Termination Termination Yes: Until Mag, Mfr, S / I QC & OD exposure; 8 CCR 5144, 8 Resources Clearances, ADA 6 years of Benefits of Benefits + Separation OD, Ppr Separation+ CCR 15400.2; 8 CCR Accommodations, Respirator + 5 years; 5 years; OR 1 feat= §3204(d)(1) et seq., 29 CFR Fit Tests, etc. OR Death o Death of 1910.1020(d)(1)(i), 49 CFR Employee + Employee + 5 §27.121(b); GC §§12946, 5 years years 12960, 34090; 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). 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 HR-014 Investigations (Unsuccessful Decision + 4 Decision + 4 , MagMfr, S / I Yes: After requires 4 2-3 years; 29 Resources Candidates), Interview Notes, years years OD, Ppr QC & OD CFR 1627.3(b)(1), 29 CFR Job Brochures, Test Data, 1602.14; 2 CCR 11013(c); 2 Testing Analysis & statistical CCR 11013 782), GC Metric, Job Analysis, Rating §§12946, 12960, 34090 Sheets, Scantrons, etc.) Department preference; Per Human Recruitment Database Mag, Mfr, Yes: After NeoGov Policy; 29 CFR Resources HR-027 (NeoGov) 5 years 5 years OD, Ppr S / I 1627.3(b)(1), 29 CFR QC & OD 1602.14;.2 CCR 11013(c); GC §§12946, 12960, 34090 Human Studies & Surveys Conducted When No When No Mfr, Mag, , Yes: After Preliminary drafts not retained Resources HR-015 on Behalf of the City (Sick Longer Longer OD, Ppr S / I in the ordinary course of QC & OD Leave, Attrition, Benefits, etc.) Required Required business; GC §34090 Verifications of Employment, Not an Agency record / Human When No When No Mag, Mfr, Yes: After Content does NOT relate in a (From etc Child Support, . Resources HR-015.5 Longer Required Longer Required OD, Ppr S / I substantive way to the conduct of the public's lenders other outside companies) QC & OD business; GC §34090 et seq Human HR-016 Workers Compensation Claim 5 years 5 years Mag, Mfr, S I Yes: After Meets auditing standards; GC Resources Runs / Monthly Reports OD, Ppr QC & OD §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 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 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). Whichever Whichever is is Longer: Longer: Department preference; Files Separation Separation + maintained separately; Workers Compensation Claims + 20 years; 30 years; OR Claims can be made for 30 Human / Long Term Disability Claims S eparation + OR Termination Yes: Until Mag, Mfr, Yes: After years for toxic substance Resources HR-017 (Includes all Accident, Incident, 10 years Termination of Benefits + Separation ODPpr , S / I QC & OD exposure; 8 CCR 5144, 8 or Injury Reports from of Benefits 5 years; OR 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, Mfr, S / I Yes: After Department preference; CCP medical and non -medical that OD, Ppr QC & OD §340.5, GC §34090 do not result in a claim.) Claim must be filed within 1 year, lawsuit within 2 years; complaints against peace Yes: After officers within 5 years; Statute Risk Manag. HR-019 Claims Resolution 5 years Resolution + Yes: Until Mag, Mfr, S / I QC & OD of Limitations for contracts is 5 years Resolution OD, Ppr 4 years; wrongful death for Settled construction is completion + 5 years; CCP §§ 337 et seq.; GC §§ 911.2, 34090, 34090.6; PC §832.5(b) Risk Manag. HR-020 Insurance Polices (City -owned P P Mag, Mfr, S / I Yes: After Department Preference; GC policies) OD, Ppr QC & OD 1 §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 19.0 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investi afions suspend normal retention periods retention resumes after settlement or completion). Risk Manag. HR-021 JPA / JPIA Reports / General 5 years 5 years Mag, Mfr, S / I Yes: After Department Preference; GC Liability Claim Runs _ Ppr QC & OD §34090 Calif. Labor Division is required to keep their records OSHA Logs - 200, 300, 301, Mag, Mfr, Yes: After 7 years; OSHA requires 5 Risk Manag. HR-022 301A, OSHA Inspections, 5 years 5 years ODPpr , S / I QC & OD years; State law requires 2 Citations years; 8 CCR 14300.33; 8 CCR §3203(b)(1), GC §34090.7; LC §6429c _Workplace Violence — Hazard identification, evaluation, Human HR-023 5 years 5 years Mag, Mfr, S / I Yes: After LC6401.9(f), GC34090 correction, incident logs, investigations, etc. OD, Ppr QC & OD Resources 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 9.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments I Reference (OFR) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). INFORMATION TECHNOLOGY Backups I Computer Backus ALL Disaste When No Used for Disaster Recovery Purposes Only; Information IT-001 Recovery Computer Backups) DAILY Longer Yes Mag. Considered a copy and can be destroyed when Technology (Monday Thursday) Required no longer required; tapes are in autochangers and are overwritten; GC §34090 et seq. infermat' TeGhnelegy IT 2 Ba GkUPS WEEKLY \A/hon NOo Longer Longer Yes M-+com ���`-"J Used for Dosa t r o,,,.eyery Purposes Only sot- in of storage For disaster Store off no loanrequired; retention destroyed when based tapes; GG on administrative value; reeyele §34090 et se q. Information IT-008 Enterprise System Catalogue (posted on 2 years Mag, Ppr GC §34090 Technology line) Information When No Preliminary documents not retained in the Technology IT-003 Network Configuration Maps &Plans Longer Yes Mag. ordinary course of business; GC §34090 et seq. Required Video Recordings - Department Activity (Employees Performing Work, Cashiering, Information IT-006 Building Security, etc.) 1 year Mag GC §34090.6 et seq, Technology See City Clerk's schedule for City Council Video Recordings Video Recordings - Public Activity (Doors, 1 year Information Hallways, Parks, Public Areas, etc.) When No Department preference; Does not record regular Technology IT-004 LORger Mag ongoing operations of the City; GC §34090.6(a) See City Clerk's schedule for City Council Required 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 9.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-2 Office of Image: Destroy Total Media 1=Import Paper after Record Retention No. Records Description Retention Vital? Options M=Mfr Imaged & Comments I Reference (OFR) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, com laints, claims, public records act requests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Video Recordings - Public Activity (Parks, 1 year Information Public Areas, etc.) �I o �n,��' Department preference; Does not record regular Technology IT-005 Longer Mag ongoing operations of the City; GC §34090.6 et See City Clerk's schedule for City CouncilRequired seq. Video Recordings WORM Archival Storage System UNALTERABLE TC�AQI C �ACIIIA � I�A�AI ITnQi C Follows For legal compliance for Trustworthy Electronic Information Retention of Records (when the electronic record serves as the Record I Technology IT-007 OD the official record); must be stored in a "safe and R , rotoesherLE MEDIA A Ray Series separate location"; GC 34090, 12168.7, EVC P I 1550, CCR 22620 et seq. permitadditions, deletions, OF 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 9.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media I=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PARKS & RECREATION SERVICES Parks & Registration Database (CivicRec / Indefinite - — Indefinite - — Mag, Yes: After Department Preference; data is Recreation P&R-001 Class / Active Net) Minimum 2 Minimum 2 Mfr, OD, S/ I interrelated; GC §34090 QC & OD years ears r Activity / Special Programs / Special When Ne When N Event /Trips '�`� Longer �`� Longer Mag' Parks & P&R-002 �2 �2 Mfr. OD. all Yes: After Department preference; GC QC & OD Recreation Children's Programs, Cultural Arts, Minimum 2 Minimum 2 §34090 Ppr Sports, Seniors, Filming, Theatre Programs etc. years years Community Services Commission, Parks & Public Art Committee Minimum 2 Minimum 2 Mag' Yes: After Department preference; GC Recreation P&R-003 years years Mfr, all §34090 QC & OD AGENDAS, AGENDA PACKETS. P.pOD. Community Services Commission, Parks & Public Art Committee Department preference; State Recreation P&R-004 2 years 2 years (Mag) law only requires for 30 days; AUDIO RECORDINGS of Meetings GC §54953.5(b) / Audio Tapes Community Services Commission, Copies - Copies - Mag, Yes: After City Clerk P&R-005 Public Art Committee When No When No Yes MfPpOD, S / I QC &SOD Send originals to the City Longer Longer Clerk; GC §34090.7 MINUTES & BYLAWS Required Required When No When No Mag, Department Preference Parks & P&R-006 Evaluations / Surveys (Program Longer Longer Mfr. OD. S / I Yes: After (Transitory record not retained QC & OD Recreation Evaluations) Required Required in the ordinary course of Ppr business); GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 9.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-2 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media I=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). Parks & Facility Use Permits / Field Use Expiration + 2 Expiration + Yes: Mag, Mfr, OD, Yes: After Recreation P&R-007 Permits years 2 years Before S / I QC & OD GC §34090 Event Ppr Parks & P&R-008 First Aid Reports / Minor Incident 2 years 2 years Mag' Mfr, S / I Yes: After GC §34090 Recreation Reports I QC & OD pOD, r Parks & P&R-009 Food Distributions / Food Bank 2 years 2 years Mag' Mfr, OD, S / I Yes: After GC §34090 Recreation Distributions QC & OD Parks & P&R-010 Master Plans: Parks Master Plans, MasterOD, P P Mfr S / I Yes: After Department Preference; GC Recreation etc. Ppr QC & OD §34090 Parks & P&R-011 Park History Files P P Mag' Mfr, OD, S / I Yes: After Department Preference; GC QC & OD Recreation §34090 Registration Forms / Reservation Forms / Classes / Application Parks & Forms / Fee & Charge / Liability Mag, Yes: After Recreation P&R-012 Forms / Release of Liability Forms / 2 years 2 years Mfr, OD, S / I QC & OD GC §34090 Ppr Permissions / etc.: Camps, Field Trips, Authorization to give Medicine, etc. Parks & Mag' Mfr, OD, Yes: After Recreation P&R-013 Reservations of Facilities 2 years 2 years all QC & OD GC §34090 Parks & Mag, Yes: After Department preference (meets Recreation P&R-014 Scholarship Applications 5 years 5 years Mfr, OD, S / I municipal government auditing QC & OD Ppr standards); 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 9.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media I=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). Parks & P&R-015 Season Brochures / Recreation P P Mag' Mfrr,,pOD, S / I Yes: After Department Preference; GC QC & OD Recreation Brochures §34090 Parks & P&R-016 Senior Advisory Board - ALL 2 years 2 years Mag' Mfr, OD, S / I Yes: After GC §34090 Recreation Records QC & OD Parks & When No When No Mag, Yes: After Recreation P&R-023 Staff Schedules / Work Schedules Longer Longer Mfr, OD, S / I QC & OD Preliminary Drafts; GC § 34090 Ppr Required Required Parks & Transportation Applications for Inactive + 2 Inactive + 2 Mag, Mfrr,,pOD, Yes: After Recreation P&R-017 Service (Dial -a -Ride, etc.) years years S / 1 QC & OD GC § 34090 Parks & Transportation Dispatch System / Indefinite - — Indefinite - — Mag, Yes: After Department preference; GC §§ Recreation P&R-018 Dial -a -Ride Database Minimum 2 Minimum 2 Mfr, OD, S/ I 34090 & 26202 QC & OD years ears Ppr Parks & When No When No Mag, Yes: After Department Preference; GC § Recreation P&R-019 Transportation Schedules Longer Longer Mfr, OD, S / I QC & OD 34090 Ppr Required Required 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 Mffr, O r, OD, S/ I Yes: After requires 3 years for promotion, QC & OD Recreation Unsuccessful or Pending demotion, transfer, selection, Ppr p Applicants or discharge; 29 CFR 1602.31 & 1627.3(b)(1), 8 CCR §3204(d)(1) et seq., 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 9.0 RECORDS RETENTION SCHEDULE: PARKS & RECREATION SERVICES Page P&R-4 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Destroy Inactive Image: Paper (OFR) Active (Records Total Vital? Media I=Import after (in office) Retention Options M=Mfr Center) Imaged & S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). Courts treat volunteers as employees; EEOC/FLSA/ADEA Volunteer / Unpaid Intern (Age) requires 3 years for Applications & Agreements Inactive / Inactive / Mag, Yes: After promotion, demotion, transfer, Parks & P&R-021 (includes emergency contact Separation + Separation + Mfr, OD, S / I QC & OD selection, or discharge; State Recreation information) -Successful 3 years 3 years Ppr Law requires 2 -3 years; 29 a year CFR 1602.31 & 1627.3(b)(1), 8 Applicants CCR §3204(d)(1) et seq., GC §§12946, 12960, 34090; 29 USC 1113 Parks & P&R-022 Waivers of Liability 2 years 2 years Mag' Mfrr,,pOD, S / I Yes: After GC §34090 Recreation QC & OD TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). POLICE CHIEF / ADMINISTRATION Police / Carry Concealed Weapon Expiration + Expiration + Mag, Mfr, Yes: After Department preference; GC Chief / PD-001 Permits (CCW Permits) - 2 years 2 years OD Ppr S / I §34090 et seq. QC & OD Admin. APPROVED Police / Carry Concealed Weapon Mag, Mfr, Yes: After Department preference; GC Chief / PD-002 Permits (CCW Permits) - 2 years 2 years S I Admin. DENIED OD Ppr QC & OD §34090 et seq. Police / When When Chief / PD-003 DMV Pull Notices (Police Only) Superseded, Superseded, Mag, Mfr, S I Yes: After Department preference (Not City Admin. or Upon or Upon OD Ppr QC & OD Records); GC §34090 Separation Se aration Police / Mag, Mfr, Yes: After Department Preference; GC Chief / PD-004 EOC Activations & Drills 10 years 10 years OD, Ppr S / I QC §34090 Admin. Police / Mag, Mf Yes: After Chief / PD-005 Neighborhood Watch 2 years 2 years OD, Ppr S / I GC §34090 et seq. QC & OD Admin. Police / Personnel Files -Police City preference; 29 CFR 1602.31 Chief / PD-080 Department Employees (By Separation + Separation + Before Mag, Mfr, S /- / 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 - Statewide guidelines propose Police / (CAD/RMS) Recordings of 180 days (legally mandated for Commun. PD-006 Telephone & Radio 2 years 2 years (Mag) 100 days); (may be discoverable Communications Dispatch Tapes or made public in some (CAD) 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-2 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active (in office) Inactive (Records Center) Total Retention Vital? Media Options Image: 1=Import M=Mfr S=Scan Destroy Paper after Imaged & 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 Department preference; Police / Investigat. PD-006.3 Automated License Plate Reader When No When No (Mag) S / I Yes: After Recordings that become evidence are stored with evidence; Does not record regular and ongoing operations; Longer Required Longer Required Data / ALPR Recordings QC & OD GC §34090.6 et seq; Department preference; Police / Investigat. PD-006.5 Drone (Unmanned Aerial Vehicle) Recordings When No When No (Mag) all Yes: After Recordings that become evidence are stored with evidence; Does not record regular and ongoing operations; Longer Required Longer Required QC & OD GC �34090.6 et seq; Informant information; Does not Police / Detectives PD-007 Informant Files (Gangs) Minimum 5 years Minimum 5 years Mag, M� OD Ppr S / I Yes: After contain criminal intelligence information concerning individuals; Department QC & OD preference 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-3 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Files contain criminal intelligence information concerning an individual only if there is reasonable suspicion that the individual is involved in criminal conduct or activity and the Police / PD-008 Intelligence Files (Criminal No Longer No Longer Mag, Mfr, S / I Yes: After information is relevant to that Detectives Intelligence Files) than 5 years than 5 years OD, Ppr QC & OD criminal conduct or activity. Misleading, obsolete or unreliable information is required to be destroyed; remaining records must not be retained longer than 5 years; 28 CFR 23.20(h); GC §34090 Police / Investigation Files and Arrest Transfer to Transfer to Mag, Mfr, Yes: After Final reports and records are Detectives PD-009 Files Records Records OD Ppr SS � II transferred to the case file stored QC & OD in Records; GC §34090 et seq. Police / PD-010 Narcotics Buy Fund Logs 2 years 2 years Mag, Mfr S / I Yes: After GC §34090 et seq. Detectives OD, Ppr QC & OD Police / Regulatory Permits & Expiration + Expiration + Mag, Mfr Yes: After Department preference; GC Detectives PD-011 Backgrounds (Solicitors, 2 years 2 years OD Ppr all ll §34090 et seq. QC & OD Massage, Taxi, etc. PATROL Canine (Police Service Dogs) 3 years is required for animal Police / PD-012 Program Files/ Training Files: Separation + Separation + Mag, Mfr all Yes: After care / treatment records; FA Patrol 3 years 3 years OD Ppr QC & OD §32003(e), PC §597.1(d); GC Animal Files §34090 et seq. Canine (Police Service Dogs) Police / PD-013 Program Files: Action Reports, 5 years 5 years Mag, Mfr all Yes: After Department preference; GC Patrol OD Ppr QC & OD §34090 et seq. Monthly Reports 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-4 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Police / PD-014 Citations - Parking & Moving Minimum 2 Minimum 2 Mag, Mfr S I Yes: After Department preference; GC Records y ears ears _OD p Ppr QC & OD §34090 et seq. Police / PD-017 Ride -A -Long Waivers 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 et seq. Patrol OD, Ppr QC & OD Preliminary drafts not made or retained for the purpose of Police / PD-018 Special Events / Ops Plan Minimum 2 Minimum 2 Mag, Mfr, S / I Yes: After preserving the informational Patrol years years OD, Ppr QC & OD content for future reference; GC §34090, GC §6252; 64 Ops. Cal. Atty. Gen. 317 (1981)) Police / PD-019 Traffic Control: Radar 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 et seq. Patrol Calibration Records _ Ppr QC & OD Department preference; Police / PD-020 Vacation House Checks / Extra 2 years 2 years Mag, Mfr, S / I Yes: After Preliminary drafts not retained in Patrol Patrol requests OD, Ppr QC & OD the ordinary course of business; GC §34090 et seq. Department preference; Police / PD-021 Watch Commander Logs 2 years 2 years Mag, Mfr, S / I Yes: After Preliminary drafts not retained in Patrol OD, Ppr QC & OD the ordinary course of business; GC §34090 et seq. PROFESSIONAL STANDARDS & TRAINING UNIT Background File / Recruitment City preference; 29 CFR Police / File - Police Employees & Separation + Separation + Mag, Mf Yes: After 1602.31 & 1627.3(b)(1), GC §§ PSD & PD-078 Police Volunteers 5 years 5 years OD Ppr S I 3105, 12946, 12960, 34090; 29 QC & OD Training (SUCCESSFUL) USC 1113, 2 CCR 11013(c); Police / Separation + Separation + Mag, Mf Yes: After Department preference; GC PSD & PD-081 Daily Observation Reports 5 years 5 years OD Ppr all §34090 et seq. QC & OD Training 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-5 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department Policies & Police / Procedures / Operation Minimum 5 Minimum 5 Mag, Mfr, Yes: After Department Preference; GC § PSD & PD-022 Directives /General Orders / Years years OD, Ppr S / I QC & OD 34090 et seq. Training Lexipol (Department Policies and �ed Procedures) Internal Affairs Investigations - Involving Police Department Police / Personnel WITH Sustained Final Final Mag, M� Yes: After PSD & PD-023.1 Finding of Misconduct as Disposition + Disposition + OD Ppr S / I PC 832.7; GC §34090 QC & OD Training 15 years 15 years defined in PC §832.7 Consistent with Lexipol Policy; State requires for at least 5 years Internal Affairs Investigations - for civilian complaints; other Involving Police Department State & Federal laws require Personnel WITHOUT Sustained retention until final disposition of Police / Finding of Misconduct as Final Final Mag, Mfr, Yes: After formal complaint; State requires PSD & PD-023 defined in PC §832.7 Disposition + Disposition + ODp Ppr SS � II 2 Years after action is taken; QC & OD Training 5 years 5 years Statute of Limitations is 4 years (May include criminal acts, moral after the discovery of the offense turpitude, complaints generated for misconduct in office; PC from a civilian) 801.5, 803(c), 832.5 ; EVC § 1045(b)(1), GC §§12946, 12960, 34090; VC §2547 Police / Incident + 5 Incident + 5 Mag, Mfr, Yes: After Department preference; GC PSD & PD-024 Internal Pursuit Critiques years years OD Ppr SS � II §34090 et seq. QC & OD Training Police / Mag, Mfr, Yes: After PSD & PD-025 Pitchess Motions Notifications 2 years 2 years OD Ppr all II GC §34090 QC & OD Training 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-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) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Police / Press Releases PSD & PD-026 (General Subjects. Those 2 Years 2 years Mag, Mf S / I Yes: After GC §34090 Training related to a case are in the case O Ppr QC & OD file) Separation + Separation + Police / 5 years OR 5 years OR Mag, Mfr, Yes: After Department preference; GC PSD & PD-027 Range Qualifications Expiration of Expiration of O Ppr S / I §34090 et seq. QC & OD Training CCW Permit CCW Permit + 2 years + 2 years Police / Report of data regarding the PSD & PD-083 number, type, or disposition of 2 Years 2 years Mag, Mf S I Yes: After GC §34090 et seq. Training complaints made against its _OD Ppr QC & OD officers (optional) Police / City preference; 29 CFR 1602.31 PSD & PD-082 Training File Separation + Separation + Before Mag, Mfr, all Yes: After & 1627.3(b)(1), GC §§ 3105, Training1113 5 years 5 years Separation OD, Ppr QC & OD 12946, 12960, 34090; 29 USC Police / PSD & PD-028 Use of Force Review Incident + 5 Incident + 5 Mag, Mf S II Yes: After Department preference; GC QC & OD Trainin years years OD Ppr §§12946, 12960, 34090 PROPERTY & EVIDENCE Police / Mag, Mf Yes: After Property & PD-030 Forfeiture Notification 2 years 2 years OD Ppr all II GC §34090 QC & OD Evidence Police / Gun and Narcotics Destruction Minimum 2 Minimum 2 Mag, Mfr, Yes: After Department Preference; GC Property & PD-031 Log(Documents related (Dtltd t) years years Ppr S / I §34090 QC & OD Evidence Police / Lost & Found Property Mag, Mf Yes: After Property & PD-032 (Documents related to) 2 years 2 years OD Ppr all II GC §34090 QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-7 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Police / Mag, Mfr, Yes: After Property & PD-033 Property & Evidence Logs 2 years 2 years _ Ppr S / I GC §34090 QC & OD Evidence Police / Mag, Mfr, Yes: After Property & PD-034 Property Auctions 2 years 2 years OD Ppr SS � II GC §34090 QC & OD Evidence RECORDS Police / PD-035 Citations -Marijuana /Cannabis 2 years 2 years Mag, M� S � I Yes: After GC §34090 Records OD Ppr QC & OD Pelmee De �a..ls Retards i�4 ^,L,.,+ien Payment Plan Fully Paid Mag, Pp 'v'u9 -' -Pr rF.v,n+ n.-nfe.-nnnn /+hn CMfi dr. of Limitation for olleetions is 5 years f.orn the the I.,s+ . /'`VG_ date \A/rit+.,., ff, �'m' \A/.i++.,., ff trFt�icivrts--r-c�n�enr-r-rrn�$--fi�� ed by indigent n err .- C.. r C.. �T s �T 5 years of .laden); 40222(b); GG §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 historically significant, and it is Records PD-036 Those Specifically Mentioned 10 years 10 years Yes OD, Ppr S l--M / l QC &OD not classified under PC §800 & 290 and H&S §11850; Stat. of in the Schedule Limit. is 2 yrs; Destroy juvenile marijuana after age18; H&S e.g., Domestic Violence, 5150, §11361.5, GC §34090, PC §802, Detention Reports, etc. 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Office of Retention No. Records Description Record (OFR) Active (in office) 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 HOLDS: Litigation, com taints, claims, public records act re uests, audits and/or investi ation CRIME REPORTS / INCIDENT REPORTS: Police / Factually Innocent Petition Date of Records PD-037 Accepted Records Sealed Arrest + 3 Pending Destruction - Except years those with outstanding stolen property, including firearms, or lost firearms CRIME REPORTS / INCIDENT Firearm REPORTS: Found or F Police / PD-038 Recovered - Re Records Firearms entered into CLETS Minimum 2 imi (if not Permanent Retention) - Found / Recovered Firearms years CRIME REPORTS / INCIDENT REPORTS: IF IMAGED, Homicide, Embezzlement of Public Money, Fraud, Embezzlement PD-039 Police / or Falsification of public Records records, Kidnapping for P Ransom, Fatal Traffic Accidents, Officer Involved Shootings, Aggravated or Sexual Assault, Others Deemed Appropriate to Maintain Retention / Disposition Inactive Total (Records Center) Retention Image: Destroy Vital? Media 1=Import Paper after Options M=Mfr Imaged & since destruction is ,id normal retention d by file folder. resumes after se Page PD-8 Comments / Reference or Individual petitions District Date of Attorney; Sheriff concurs that Yes: Before Mag, Mfr, Yes: After Arrest + 3 Disposition OD, Ppr S /-M / I QC &OD person is factually innocent, then years seals record ("Shall' Destroy); GC §34090; PC §851.8(a) Firearm ound or covered - nimum 2 years 0 Yes Mag, Mfr, S /--M / I Yes: After PC§ 11108.2(b); GC§ 34090 OD, Ppr QC &OD Department Preference; DOJ retains CACI (Child Abuse Central Index) information for adults 100 years; others have no Yes Mag, Mfr, S /-M / I Yes: After limitations on commencement of OD, Ppr QC &OD action; Courts keep permanently PC §§ 261, 286, 288, 288a, 288.5, 289, 289.5, 290, 799, 803(h), 11169 et seq.; 11170(a); WIC 707(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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-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) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT Date of Date of REPORTS: Incident + 10 Incident + 10 Police / PD-040 years, years, Yes: Before Mag, Mfr, S f-M / I Yes: After PC §§11169(i); 11170(a); GC Records Juvenile Child Abuse or If No If No Disposition OD, Ppr QC &OD §34090 Severe Neglect Subsequent Subsequent Reports Reports CRIME REPORTS / INCIDENT REPORTS: Misdemeanor or Infraction - Police / Adult Marijuana / Cannabis - Yes: Before Mag, Mfr, Yes: After ("Shall" Destroy); GC Records PD-041 H&S §11357(b)(c)(d)(e) or H&S 2 years 2 years Disposition OD, Ppr S l--M / I QC &OD §§68152(c)(8), 34090; H&S §11360(b) (with procedure in §11361.5 H&S §11361.5) - Except those with outstanding stolen property, including firearms, or lost firearms CRIME REPORTS / INCIDENT REPORTS: Conviction Conviction Police / Misdemeanor or Infraction - or Arrest (if or Arrest (i]Yes: Before Mag, Mfr, Yes: After(Courts and other Agencies "Shall" Records PD-042 Juvenile Marijuana / Cannabis No No Disposition OD, Ppr S/M/I QC &OD Destroy); H&S §11361.5; H&S §11357 - Except those with Conviction) Conviction) 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Office of Retention No. Records Description Record (OFR) Active (in office) 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 HOLDS: Litigation, com taints, claims, public records act re uests, audits and/or investi ation CRIME REPORTS / INCIDENT REPORTS: Police / Misdemeanor or Infraction Offender is O Records PD-043 Marijuana / Cannabis §11357(d) - 18 Years 1 Juvenile on School Grounds Old during School Hours (with procedure in H&S §11361.5) CRIME REPORTS / INCIDENT Until CLETS Urr Retention / Disposition Inactive Total (Records Center) Retention Image: Destroy Vital? Media 1=Import Paper after Options M=Mfr Imaged & Page PD-10 Comments / Reference years), since destruction is normally performed by file folder. s suspend normal retention periods retention resumes after settlement or completion). fender is (Courts and other Agencies ODPpr 8 Years Yes Mag, Mfr, S f-M / I Yes: After Shall" destroy); H&S§ 11361.5 Old , QC &OD et seq. REPORTS: Entry No Entry No Police / PD-044 Longer Longer Yes: Before Mag, Mfr, S /--M / I Yes: After Department Preference; GC Records Missing Persons (Returned) / Exists - Exists - Disposition OD, Ppr QC &OD §34090 Active CLETS Entries Minimum 2 Minimum 2 years years CRIME REPORTS / INCIDENT REPORTS: Sealed Adult, Juvenile and Sealing Date Police / PD-045 Ward Cases - Except those with + 5 years Records Except Childhood Sexual Assault (Or Court Child Abuse or Severe Neglect, Order) (Substantiated), outstanding stolen property, including firearms, or lost firearms Sealed records for juveniles and Sealing Date wards of the Court must be Yes: Before Mag, Mfr, Yes: After + 5 years (or Disposition OD, Ppr S /LM / I QC &OD destroyed 5 years after sealing Court Order) date; CCP §§340.1, GC §34090; W&I §§389(a), 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-11 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? /f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, com lalnts, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). CRIME REPORTS / INCIDENT REPORTS: Department preference to Police / PD-045.1 P P Yes Mag, Mfr, S/M/I Yes: After accommodate statute of OD, Ppr QC & OD Records Sealed Juvenile Cases - Childhood Sexual Assault limitations for victims; CCP §§340.1, GC 426202 After January 1, 2024 CRIME REPORTS / INCIDENT REPORTS: Department preference to Police / Awe of Awe of Mag, Mfr, Yes: After accommodate statute of Records PD-045.2 Sealed Juvenile Cases - Childhood Sexual Assault Majority + 22 Ma'ori + 22 Yes S/M/I limitations for victims; CCP OD, Ppr QC & OD years years ye §§340.1, GC 426202 Before January 1, 2024 CRIME REPORTS / INCIDENT REPORTS: Police / Court Order Court Order Mag, Mfr, Yes: After Individual petitions Court ("Shall" Records PD-045.5 Vacatur Relief Granted by + 1 year + 1 year OD, Ppr S l--M / l QC &OD Destroy); GC §34090; PC §§236.14(k); 236.15(k) Court - Victim of Human Trafficking (Nonviolent Crimes) Police / PD-046 Crime Statistics submitted to 2 years 2 years Mag, Mfr, S � I After Filed on line with the State; GC Records DOJ � Ppr QC & OD §34090 Life of Active Life of Active Police / PD-047 Due Diligence Reports (for Warrant + Warrant + Mag, Mfr, S I Yes: After Department preference; GC§ QC & OD Records served warrants only) OD Ppr 34090 et seq. 2 years 2 years Police / PD-048 False Alarm Reports Minimum 2 Minimum 2 Mag, Mfr, S I Yes: After GC §34090 et seq. Records years ears OD, Ppr QC & OD Police / Field Investigation Cards (FI's) Minimum 5 Minimum 5 Mag, Mfr, Yes: After Department preference; Records PD-049 GANGS - After Entry into RMS years years OD Ppr SS � II Preliminary Drafts; GC§ 34090 et QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-12 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Field Investigation Cards (FI's) Police / PD-050 NOT Gangs - After Entry into 2 years 2 years Mag, Mfr, SS � II Yes: After Preliminary Drafts; GC§ 34090 et Records RMS OD Ppr QC & OD seq. Police / PD-085 Gang STEP Notice Minimum 5 Minimum 5 Mag, Mfr, S I Yes: After Department preference; GC§ Records years ears OD Pp, QC & OD 34090 et seq. Department preference; Police / PD-051 Logs: Arrest Packet, JDIC 2 years 2 years Mag, Mfr, S / I Yes: After Preliminary drafts not retained in Records OD, PI) QC & OD the ordinary course of business; GC §34090 et seq. Police / PD 052 NCIC Validation 2 years 2 years Mag, M� S I Yes: After GC §34090 Records OD Pp, QC & OD Tustin Police Department Officer Recordings: Body -Worn General Orders §446.12; Police / PD-054 Cameras &MAV (Mobile Audio 1 year 1 year (Mag) all Yes: After Department preference (only 60 Records Videos - 2 - Non -Evidence QC & OD days is required); PC§ 832.18(b)(5)(A); GC §34090.6 et seq. 2 years 2 years Officer Recordings: Body -Worn Minimum or Minimum or Tustin Police Department Police / Cameras & MAV (Mobile Audio as as Yes: After General Orders §446.12; PC§ Records PD-055 Videos - 3 -Detention /Arrest, determined determined (Mag) S / I 832.18(b)(5)(B)&(C); GC QC & OD Use of Force b GC b GC §34090.6 et seq. 34090.6 et 34090.6 et seq. seq. Officer Recordings: Body -Worn Tustin Police Department Police / PD-060 Cameras & MAV (Mobile Audio P P (Mag) S / I Yes: After General Orders §446.12; PC§ Records Videos — 8 - Records or Logs of QC & OD 832.18(b)(5)(E); GC §34090.6 et Access or Deletion of Data 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-13 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Indefinite - Indefinite - Police /Mag, Follows Follows- M� Yes: After Data Fields /Records are Records PD-062 Police RMS Database Retention of Retention of Yes OD, Ppr S / I interrelated; GC §34090 QC & OD the Crime the Crime Report Report Police / PD-063 Public Records Requests / 2 Years 2 years Mag, Mfr, S l Yes: After GC §34090 Records Information Requests - Police OD Ppr QC & OD Department preference; Pursuant to PC §457.1 et seq.; required to Police / PD-064 Registrants: Arson -Adults 5 years P P Mag, Mfr, S / I Yes: After register for life; If released from Records OD, Ppr QC & OD CYA, records are destroyed after age 25 or sealing pursuant to W&I §781; GC §34090.7 Pursuant to PC §457.1 et seq.; If Police / Registrants: Arson - Juveniles Age 25 or Age 25 or Mag, Mfr, Yes: After released from CYA, records are PD-065 released from California Youth Sealing Date Sealing Date S /_ / I destroyed after age 25 or sealing Records Authority + 5 years + 5 years ODPpr , QC & OD pursuant to W&I §781; GC §34090.7 Department Preference Police / PD-065.5 Registrants: Gang Adults - - Minimum 5 Minimum 5 Mag, Mfr, S I Yes: After (registration pursuant to PC Shared Gang Databases years years OD, Ppr QC & OD 186.30(a));11 CCR 773.8; GC Records 34090 Department Preference Police / Registrants: Gang Juveniles - - Mag, Mfr, Yes: After (registration pursuant to PC Records PD-065.6 3 years 3 years all 186.30(al)); Records are destroyed pursuant to W&I Shared Gang Databases OD, Pp r QC & OD &781;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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-14 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Department Preference; Police / PD-066 Registrants: Narcotic 5 years 5 years Mag, Mfr, S I Yes: After Registration is required for 5 Records OD Ppr QC & OD years; GC §34090, H&S §11590 et seq., H&S §11594(a) Department Preference; After 2021, Offenders can petition Police / PD-067 Registrants: Sex Offenders - P P Mag, Mfr, S / I Yes: After Court for removal 10 or 20 years Records Adults OD, Ppr 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 Police / Registrants: Sex Offenders - or Sealing or Sealing Mag, Mfr, Yes: After Court for removal 10 or 20 years Records PD-068 Juveniles Date + 5 Date + 5 ODPpr , S /-M / I QC & OD after offense, provided there are years (or years (or no subsequent offenses; Court Order) Court Order) Pursuant to PC §290 et seq.; W&I §781(d) Report to the State Commission on Peace Officer Standards and Training (POST Commission) of Police / Mag, Mfr, Yes: After Records PD-068.1 peace officer employment, 2 years 2 years _ Ppr S / I GC34090 QC & OD compliant, finding, disposition, or judgement pursuant to CPC 13510.9 Police / When No When No Mag, M� Yes: After Preliminary drafts not retained in Records PD-069 Repossession Notices Longer Longer OD Ppr all the ordinary course of business; QC & OD Required Required GC §34090 Police / STOP Source Data, Audit Log / Mag, Mfr, Yes: After 11 CCR 999.228; 11 CCR Records PD-069.1 Racial and Identity Profiling Act 3 years 3 years _ Ppr S / I 999.229; GC § 12$ 525.5, 34090 QC & OD (RIPA) Annual Report 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver.20.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-15 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan C'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions 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 taints, claims, public records act re uests, audits and/or investi ations suspend normal retention periods retention resumes after settlement or completion). Police / PD-070 Subpoenas (Personal 2 Years 2 years Mag, Mfr S / I Yes: After GC §34090 Records Appearance or Duces Tecum) OD Ppr QC & OD Police / PD-071 Subpoenas (Records) 2 years 2 years Mag, Mfr, S / I Yes: After GC §34090 Records OD Ppr QC & OD Police / Video Recordings - Parking When No When No Does not record "regular and Records PD-072 Lots, Public Areas Longer Longer (Mag) ongoing operations"; GC Required Required §34090.6 Police / PD-073 Video Recordings - Police �Operations 1 year 1 year (Mag) Records "regular and ongoing �operations"; Records GC 34090.6 TEMPORARY HOLDING FACILITY Police /Jail PD-075 Daily Inspection Log, Juvenile 2 years 2 years Mag, Mfr S I Yes: After GC §34090 Log OD Ppr QC & OD Police /Jail PD-076 Monthly Counts, Official Counts 2 years 2 years Mag, Mfr, S � I Yes: After GC §34090 OD Ppr QC & OD Police /Jail PD-077 Video Recordings (Temporary 1 year 1 year (Mag) GC §34090.6(a) Holding Facility) 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 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 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). PUBLIC WORKS / ENGINEERING Public Works / Mag' Yes: After Department preference; GC Engineering PW-001 Address Assignments P P Mfrr,, S / I QC & OD §34090 pOD, Mag, Yes: After Department Preference Public Works / PW-002 Aerial Maps (Analog / Historical) P P Mfr, OD, S / I QC & OD (Economic Development also Engineering Ppr keeps aerial maps); GC No §34090 Public Works / pW_003 Benchmarks P P Mfr, OD, 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 Mag' Limitations for Errors & Public Works / PW-004 Examples of Maintenance Upon Agency Agency Yes: Until MfrOD , , S / Yes: After Omissions is not applicable; Engineering Projects: Painting, Pavement Completion Audit, if Audit, if Completed Ppr QC & OD Statute of Limitations: Overlays, Repairs, Ramps, Re- required, required, Contracts & Spec's=4 years; Statewide whichever is whichever is guideliRes propose termination + 5 years; CCP Roof, Sidewalk Repairs, Slurry longer longer 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 years), 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 completion). Capital Improvement Projects Department preference; (CIP): Administration File / Some grant funding agencies NOT Scanned 10 years or Completion + require audits; Statute of After 10 years or Limitations for Errors & Project Administration, Certified Funding After Funding Omissions is 10 years; Public Works / Payrolls, Community Outreach / Upon Agency Agency Yes: Until Mag, Yes: After Statute of Limitations: Engineering PW-005 Notifications, Project Schedules, Completion Audit, Audit, if Completed Mfr, OD, S / I QC & OD Contracts & Spec's=4 years, Progress meetings, Punch Lists, required, required, Ppr Wrongful Death=comp. + 5 Real Estate Appraisals, RFIs & whichever is whichever is years, Developers=comp. + Responses, Temporary longer longer 10 years; StatewideEasements, Construction guidelines propose Manager's Logs, Daily ; CCP Inspections, Daily Logs, etc. §337 et. seq., GC §34090 Capital Improvement Projects (CIP): Permanent File / Scanned Records Specifications & Addenda, Agreement / Contract (copy), Department preference; Successful Proposal, Change Mag' Yes: After retained for disaster Public Works / PW-006 Orders, Geotechnical Studies & Upon P P Yes: Until Mfr, OD, S / I QC & OD preparedness purposes; T Engineering Reports, Operations & Completion Completed Ppr Statewide guidelines propose Permanent for Infrastr,,eture Maintenance Manuals (O&M �T$ Manuals,) Materials Testing p6em6; GC §34090 Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies, Submittals, Surveys, 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-3 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). 10 years or Completion + Department preference; After 10 years or Some grant funding agencies Funding After Funding require audits; Statute of Public Works / Upon Agency Agency Yes: Until Mag, Yes: After Limitations for Errors & Engineering PW-007 Construction Inspection Completion Audit, if Audit, if Completed Mfr, OD, S / I Omissions is 10 years; QC & OD required, required, Ppr Statute of Limitations: whichever is whichever is Contracts & Spec's=4 years; longer longer CCP §337 et. seq., GC §34090 Data Fields / Records are Public Works / Construction Inspection Indefinite - — Indefinite - — Mag, Yes: After interrelated (Meets Statute of Engineering PW-008 Database Minimum 10 Minimum 10 Yes Mfr, OD, S / I Limitations for Errors & QC & OD years years Ppr Omissions is 10 years); GC §34090; CCP §337 et. seq. 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 g� g PW-009 (State &Federal Agencies, EPA, years years Active Mfr, OD, S / I QC &OD Regulatory Agencies need to Issues Ppr be retained for long periods Health Department, etc.) of time; GC §34090 Deeds, Easements, Liens, Rights Department preference; of Way Mag, Yes: After Finals are maintained by City City Clerk PW-010 P P Yes (all) Mfr, OD, S / I QC & OD Clerk; Department file may Send all originals to the City Ppr include correspondence; GC Clerk §34090 et seq. Public Works / PW-011 Design & Construction Standards P P Mag' Mfr, S / I Yes: After Department Preference; GC Engineering - Authored by the City Ppr_ QC & OD §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-4 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). 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 / I 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 Encroachment Permits / Excavation Permits: Temporary lCompletion Public Works / (Street Permits, Temporary Final / Final / Yes: Until Mag' Yes: After Engineering PW-013 Construction, Sidewalk Repairs, Completion + Completion + Mfr, OD, S / I QC & OD GC § 34090 Traffic Control, Utility Cuts etc.) 2 years 2 years Ppr Includes Insurance Certificates Public Works / Encroachments - Permanent Mag, Yes: After Department Preference; GC Engineering PW-014 (Permanent structures in the P P Mfr, OD, S / I QC & OD §34090 City's Right of Way) Ppr Mag' Data Fields / Records are Public Works / PW-015 Engineering Permits Database Indefinite - - Indefinite - - Yes Mfr, OD, S / I Yes: After interrelated; some Engineering Permanent Permanent QC & OD encroachment permits are Ppr permanent; 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 / I QC & OD §34090 behalf of the City) 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 years), 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 completion). Master Plans: Bikeway, Park, Public Works / Pavement, Sewer, Traffic, Mag, Yes: After Department preference; Engineering PW-018 Transportation, Water Master P P Mfr, OD, S / I QC & OD Drafts should be destroyed; Plan, Water Quality Master Ppr GC §34090 Plans, etc. Permits (Temporary): Banner Public Works / Obstruction Permits, Dumpster Expiration + 2 Expiration + Yes: Until Mag, Yes: After Engineering PW-019 Permits, Transportation Permits, years 2 years Completion Mfr, OD, S / I GC § 34090 QC & OD Bicycle Locker Rental Ppr Agreements When No When No Mag, Yes: After Preliminary drafts; GC Building PW-020 Plan Checks for Building Permits Longer Longer Mfr, OD, all §34090 et seq. QC & OD Required Required Ppr Private Land Development Projects / Job Files: Administration File Statute of Limitations for Construction Inspections, Errors & Omissions is 10 Correspondence, Photos, Private Mag' years; Statute of Limitations: Public Works / PW-021 Lab Verifications, Testing Lab Upon 10 years Completion + Yes: Until Mfr, OD, S / I Yes: After Contracts & Spec's=4 years, Engineering Final Reports, etc. Completion 10 years Completed QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 years), 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 completion). Private Land Development Projects / Job Files: Permanent Files Drainage, Driveway, Rights of Way, Soil Reports, Stormwater, etc. P Mag' Department preference; Public Works / PW-022 Dedications, Easements, P P Yes: Until Mfr, OD, S / I Yes: After retained for disaster Engineering Abandonments (City Clerk is Completion Completed Completed QC & OD preparedness purposes; GC OFR) §34090 Examples: CUPS, Lot Line Adjustments, Parcel Maps, Precise Alignment, Specific Plans, Split Lots, Subdivisions, Tracts, TPMs, TSMs Public Works / PW-023 Solid Waste Liens / Garbage 10 years P P Mag' Mfrr,, S / I Yes: After GC §34090 et seq. Engineering Liens & Releases QC & OD pOD, Department preference; SB 1383 compliance is required Solid Waste Reduction / AB 939 for 5 years; Low -Carbon Fuel Public Works / Compliance /Tonnage Reports / Mag, Yes: After Standard regulations credits Engineering PW-024 SIB 1383 Compliance (Organic 10 years 10 years Mfr, OD, S / I can be received for 10 years, QC & OD Waste Collection and Recycling) Ppr and are eligible for an extension; 14 CCR § 18995;.2 u4e, T; GC §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-7 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Required for a minimum of 5 Public Works / Mag, Yes: After years; 40 CFR 122.410)(2); Engineering PW-025 Stormwater Illicit Discharges 5 years 5 years Mfr, OD, S / I QC & ODD SW RCB Order 2006-03; 40 Ppr years-) CFR §§122.21, 122.41, 122.44; GC §34090 Department Preference; Public Works / Stormwater Monitoring / NPDES Mag, Yes: After Monitoring records required Engineering PW-026 Monitoring and Inspection 5 years 5 years Mfr, OD, S / I for 3 years; 40 CFR QC & OD Ppr §§122.21, 122.41, 122.44; CCP §337 et seq. Required for a minimum of 5 Public Works / Stormwater: Business Mag' Yes: After years; 40 CFR 122.410)(2); Engineering PW-027 Inspections 5 years 5 years Mfr, OD, S / I QC & OD SWRCB Order 2006-03; 40 Ppr CFR §§122.21, 122.41, 122.44; GC §34090 Department preference; Public Works / PW 028 Stormwater: NPDES Annual 5 years 5 years Mfr, OD, S / I Yes: After Monitoring records required Engineering Reports Ppr QC & OD for 3 years; 40 CFR §§122.21, 122.41, 122.44 Department Preference; Public Works / Expiration + 5 Expiration + Yes: Until Mag, Yes: After Monitoring records required Engineering PW-029 Stormwater: NPDES Permits years 5 years Expiration Mfr, OD, S / I for 3 years; 40 CFR QC & OD Ppr §§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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-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 years), 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 completion). Stormwater: Operation & Department preference; plans Maintenance (Catch Basins, Magmust be updated every 5 Public Works / PW-030 Field, General Cleaning, Open 5 years 5 years Mfr, r, O OD, S / I Yes: After years, audits are required Engineering Channels, Slots, Stormwater p QC & OD every 2 years; SWRCB Order Treatment Measures and Trash 2006-03; 40 CFR §§122.21, Cleaning) 122.41, 122.44; GC §34090 Department preference; plans Mag' must be updated every 5 Public Works / PW-031 Stormwater: TMDL Plan (Total 5 years 5 years Mfr S / I Yes: After years, audits are required Engineering Engineering Maximum Daily Load) Plan QC & OD every 2 years; SWRCB Order 2006-03; 40 CFR §§122.21, 122.41, 122.44; GC §34090 Department Preference; Public Works / Mag, Yes: After Monitoring records required Engineering PW-032 Street Sweeping 5 years 5 years Mfr, OD, S / I for 3 years; 40 CFR QC & OD Ppr §§122.21, 122.41, 122.44; CCP §337 et seq. Public Works / PW-033 Traffic Counts 15 years 15 years Mag' Mfr, S / I Yes: After Department preference; GC Engineering QC & OD §34090 pOD, Mag' Department preference Public Works / PW-034 Traffic Speed Surveys 15 years 15 years Mfr, OD, S / I Yes: After (required every 5 years, but Engineering QC & OD can be extended to 7 or 10 Ppr 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-9 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Department Preference entered into DigAlert MagSoftware the Excavator, Lead Dept. PW-035 Underground Service Alerts 3ears y years 3ears Mf r, O S / I Yes: After Operator and the Regional (USA's) / Dig Alerts QC & OD Notification Center has the obligation to retain the notice for 3 years; GC §§4216.2(f) I 42163(ed} 34090 FIELD SERVICES -oil Aboveground CNG Storage Department Preference; Tanks (Agency Owned) applies to both Tier I and Tier Public Works / Mag' Yes: After II Tanks; (Tier II tanks are Field Services PW-036 Spill Prevention Control and 20 years 20 years Mfr, OD, S / I required to have an integrity QC & OD Countermeasures (SPCC), Ppr test every 20 years); GC Inspections, Integrity Testing, §60201 Maintenance, Repairs Public Works / Mag' Yes: After Field Services PW-037 AQMD Permits (Generators, etc.) 5 years 5 years Mfrr,,pOD. S / I 40 CFR 70.6; GC §34090 QC & OD Public Works / Mag' Yes: After Field Services PW-038 Facility Inspections 2 years 2 years Mfrr,,pOD, S / I GC §34090 QC & OD Mag' Department preference Public Works / PW-039 Fuel Inventories 5 years 5 years MfrP, S / I Yes: After (meets municipal government Field Services QC & OD auditing requirements); GC § pr 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-10 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Generator Operation Logs & Mag, Lead Dept. PW-040 Inspections - Fixed / Stationary 3 years 3 years Mfr, OD, S / I Yes: After AQMD Rule 1470; GC Generators QC & OD §34090 Ppr Generator Operation Logs & Mag, Yes: After AQMD Rule 1470; Form Lead Dept. PW-041 Inspections - Portable 1 5 years 5 years Mfr, OD, all 400—E-13a instructions; GC QC & OD Ppr 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 / I QC & OD 40 CFR 262.40, 8 CCR Ppr 3204(d)(1)(A), 22 CCR 66262.40; GC §34090 Lead Dept. PW-043 Operations & Maintenance Life of Facility Life of Facility or Mag, Mfr, OD, S / I Yes: After Department Preference; GC Manuals (O&M Manuals) or Equipment Equipment QC & OD §34090 et. seq. Ppr Public Works / PW-044 Permits: Pressure Vessels, When When Mag' Mfrr,,pOD, S / I Yes: After Department preference; GC QC & OD Field Services Boilers, etc. Superseded Superseded §34090 Pre -Trip Inspections / DOT Program /CHP Inspections / Mag, Yes: After 13 CCR 1234(e); GC §34090; Lead Dept. PW-045 Vehicle Safety Checks / Daily 2 years 2 years Mfr, OD, all VC 34505.5(c) QC & OD Vehicle Inspections / Daily Ppr Equipment Checks Pre -Trip Inspections / DOT Program / CHP Inspections / Vehicle Safety Checks / Daily Mag, Public Works / PW-046 Vehicle Inspections / Daily 2 years 2 years Mfr, OD, S / I Yes: After 13 CCR 1234(e); GC §34090; Field Services Equipment Checks - OTHER QC & OD VC 34505.5(c) Ppr 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-11 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1=Import Paper after (OFR) (Records Vital? (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Pre -Trip Inspections / DOT Program / CHP Inspections / Vehicle Safety Checks / Daily Life of the Life of the Mag, OCTA requirement; 13 CCR Public Works / PW-047 Vehicle Inspections / Daily Vehicle - Vehicle - Mfr, OD, S / I Yes: After 1234(e); GC §34090; VC Field Services Equipment Checks - SENIOR Minimum 2 Minimum 2 QC & OD 34505.5(c) Ppr VEHICLES FUNDED BY THE years years OCTA Transportation Audits: DMV & Mag, Consistent with CHP Public Works / PW-048 CHP, TDA Fiscal Audit, Triennial 5 years 5 years Mfr, OD. all Yes: After requirements; OSHA requires Field Services QC & OD 1 year; 8 Ca. Code Reg. § Performance Audit Ppr 3203(b)(1); GC § 34090 Division Indefinite - Indefinite - Mag, Providing PW-049 Tree Database / Tree Trimming Minimum 5 Minimum 5 Mfr, OD, S / I Yes: After Data is interrelated; GC Service /Work QC & OD §34090 years ears Ppr Department Preference; entered into DigAlert Public Works / PW-050 Underground Service Alerts (USA's) / Dig Alerts 3ears y 3 years Mag, Mfr, OD, S / I Yes: After Software the Excavator, Operator and the Regional Notification Center has the Field Services QC & OD Lead Dept --�" Ppr obligation to retain the notice for 3 years; GC §§4216.2(f) 2-ter 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-12 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Underground Storage Tank (City Monitoring and Maintenance Owned) records are required on site for 3 years, 6 '/2 years for Public Works / UST Monitoring, Inspections Mag, Yes: After cathodic protection Field Services PW-051 and Maintenance, Release 7 years 7 years Mfr, OD, S / I maintenance, 5 years for QC & OD Detection Systems, Cathodic Ppr calibration &maintenance of release detection systems; Protection Maintenance 23 CCR 2712(b); H&S Records §25284.2(i) Underground Storage Tanks - Life of the Life of the Public Works / PW-052 USTs (City Owned) Tank- Tank- Mag, Mfr, OD, S / I Yes: After & OD 4-23 CCR 2712(b), H&S Field Services Minimum 2 Minimum 2 QC §25284.2(i) Repairs, Lining, Upgrades years ears Ppr ye'af 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 / I QC & OD � tank); 23 CCR 2712(b), H&S Location, Soil Remediation, Ppr year §25284.2(i); GC §34090 et. Monitoring Well Records seq. Public Works / Mag, Yes: After 22 CCR 66266.130(c)(5), Field Services PW-054 Used Oil Disposal 3 years 3 years Mfr, OD, all H&S §25250.18(b), QC & OD Ppr 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 Mag, Yes: After CHP requires life of vehicle; Field Services PW-055 AQMD Certifications, Equipment + Equipment + Mfr, OD, S / I OSHA requires 1 year; 8 QC & OD Maintenance, Registrations, 2 years 2 years Ppr CCR § 3203(b)(1); 49 CFR Safety Certifications, etc. 396.21(b)(1); 49 CFR396.3(c); CCP §337 et. Seq., GC §34090 TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-13 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Division Work Orders / Service Requests Indefinite - Indefinite - Mag, Providing PW-056 CMMS DATABASE - Minimum 5 - Minimum 5 Mfr, OD, S / I Yes: After Data is interrelated; GC Service / Work (Computerized Maintenance QC & OD §34090 years years Ppr Management System) Work Orders / Service Requests - Division All Information Entered in When No When No Mag, Preliminary drafts (the Providing PW-057 CMMS Database Longer Longer Mfr, OD, S / I Yes: After database is the original); GC Service / Work Required Required QC & OD §34090 Ppr (Paper drafts) Work Orders / Service Requests - NOT entered in CMMS Division Database (or partial information Mag, City Preference; CCP §§338 Providing PW-058 entered into CMMS Database) 5 years 5 years Mfr, OD, S / I Yes: After et seq., 340 et seq., 342, GC Service / Work QC & OD §34090 Ppr (Division providing service retains originals; Division requesting service is considered a copy) WATER Public Works / Mag' Yes: After Water PW-059 AQMD Permits (Generators, etc.) 5 years 5 years Mfr, OD, S / I 40 CFR 70.6; GC §34090 QC & OD Ppr Public Works / PW-060 Basin Equity Assessment Report 5 years 5 years Mag' Mfrr,,pOD, S / I Yes: After Department Preference; GC Water (submitted to Basin Watermaster) QC & OD §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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-14 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Inactive Image: Destroy (OFR) Active (Records Total Vital? Media 1=Import Paper after (in office) Center) Retention Options M=Mfr Imaged & S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Capital Improvement Projects Department preference; (CIP) - Water: Administration Some grant funding agencies File / NOT Scanned 10 years or Completion + require audits; Statute of After 10 years or Limitations for Errors & Project Administration, Certified Funding After Funding Omissions is 10 years; Public Works / Payrolls, Community Outreach / Upon Agency Agency Yes: Until Mag, Yes: After Statute of Limitations: Water PW-061 Notifications, Project Schedules, Completion Audit, if Audit, if Completed Mfr, OD, S / I Contracts & Spec's=4 years, QC & OD Progress meetings, Punch Lists, required, required, Ppr Wrongful Death=comp. + 5 Real Estate Appraisals, RFIs & whichever is whichever is years, Developers=comp. + Responses, Temporary longer longer 10 years; Statewide Easements, Construction guidelines propose Manager's Logs, Daily ; CCP Inspections, Daily Logs, etc. §337 et. seq., GC §34090 Capital Improvement Projects (CIP) - Water: Permanent File / Scanned Records Specifications & Addenda, Agreement / Contract (copy), Department preference; Successful Proposal, Change Yes: After retained for disaster Public Works / Orders, Environmental / EIR, etc., Upon Yes: Until Mag, QC & OD preparedness purposes; Water PW-062 Geotechnical Studies & Reports, Completion P P Completed Mfr, OD, S/IComplet. TStatewide 10 guidelines propose PeFFna, ent for infrastructure Operations & Maintenance Ppr Manuals (O&M Manuals,) years ems; GC §34090 Materials Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies, Submittals, Surveys, 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-15 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Public Works / Mag' Yes: After 8 CCR 5157 d 14 & (e)(6); Water PW-063 Confined Space Entries 2 years 2 years Mfr, OD, S / I GC §34090 QC & OD 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 & OD meets auditing standards; GC Ppr §34090 Public Works / PW-065 Construction Hydrant Meter 10 years 10 years Mag' Mfrr,, S / I Yes: After Department Preference; GC Water Application & Approvals OC & OD §34090 pOD, Department Preference; exceeds SWRCB Cross - Connection Control Policy Mag' Public Works / PW-066 Cross Connection / Backflow 5 years 5 years Mfr, OD, S / I Yes: After Handbook Section 3.5.1 Water QC & OD requires records be retained Ppr for the previous three calendar years,; 7606(f); GC §34090 5 years is required in State Public Works / Customer Concerns / Customer Mag, Yes: After and Federal law for any Water PW-067 Complaints: Odor / Taste / Visual 5 years 5 years Mfr, OD, S / I complaints; 40 CFR QC & OD Ppr Complaints about Potable Water 122.410)(2) & 40 CFR 141.33(b); 22 CCR 64470(a) Public Works / Mag' Yes: After Department Preference; GC Water PW-068 Department Reports 10 years 10 years Mfr, OD all §34090 QC & OD Public Works / Mag' Yes: After Department Preference; GC Water PW-069 Encroachment Permits - Water P P Mfr, S / I §34090 QC & OD pOD, 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-16 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active (in office) Inactive (Records Center) Total Retention Vital? Media Options Image: 1=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Public Works / Water PW-070 Fire Flow (OCFA) P P Mag, Mfr, S / I Yes: After Department Preference; GC §34090 QC & OD pOD, Public Works / Water PW-071 Fire Hydrant Flow / Pressure Tests (Development or Maintenance) 10 years 10 years Mag, Mfr, OD, all Yes: After Department Preference; GC §34090 QC & OD Ppr Lead Dept. PW-072 Generator Operation Logs & Inspections - Fixed / Stationary Generators 3 years 3 years Mag, Mfr, OD, S / I Yes: After AQMD Rule 1470; GC §34090 QC & OD Ppr Lead Dept. PW-073 Generator Operation Logs & Inspections - Portable 1 Emergency Generators 5 years 5 years Mag, Mfr, OD, all Yes: After AQMD Rule 1470; Form 400—E-13a instructions; GC §34090 QC & OD Ppr Public Works / Water PW-074 Groundwater Extraction (Reported to County Water Basin Master) 5 years 5 years Mag, Mfr. OD, S / I Yes: After Department Preference; GC §34090 QC & OD Ppr Public Works / Water PW-075 NPDES Monitoring and Inspection - Water Operations 5 years 5 years Mag, Mfr, OD, S / I Yes: After Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq. QC & OD Ppr Public Works / Water PW-076 NPDES Permits - Water Operations Expiration + 5 years Expiration + 5 years Yes: Until Expiration Mag, Mfr, OD, S / I Yes: After Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq. QC & OD Ppr Public Works / Water PW-077 Operations & Maintenance Manuals (O&M Manuals) Life of Facility or Equipment Life of Facility or E ui ment Mag, Mfr, OD, S / I Yes: After Department Preference; GC §34090 et. seq. QC & OD 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-17 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active (in office) Inactive (Records Center) Total Retention Vital? Media Options Image: 1=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Public Works / PW-077.5 Public Notices - Potable Water 3 years 3 years Maq' Mfr, OD, S / I Yes: After 22 CCR 464470; GC 04090 Water (Tier 1, 2, or 3) QC & OD Ppr Public Works / Water PW-078 Regulatory Agency Compliance - Correspondence, Supporting Documentation (DPH, EPA, etc.) When Ne LeageF o�n,,,r,,,� When No LongeF o�n,,,r,,,� — Minimum 5 years Mag, Mfr, OD, Ppr S / Yes: After QC & OD Department Preference; GC §34090 — Minimum 5 years Public Works / Water PW-079 Requests for Meter Size Changes 5 years 5 years Mag' Mfr, OD,- all Yes: After Department Preference; GC §34090 QC & OD Public Works / Water PW-080 Reservoirs / Tanks P P Mag' Mfr, OD, S / I Yes: After Department Preference; GC §34090 QC & OD Public Works / PW-080.5 Reservoirs / Tanks - Maintenance: Flushing, Disinfection and Cleaning 10 years 10 years _ Mag, Mfr, OD, S / I Yes: After Flushing, Disinfection, Inspection and Cleaning is Water QC & OD required for 3 years; 22 CCR Ppr §64604(c); GC 434090 Public Works / Water PW-081 SCADA Database Indefinite - — Minimum 5 Indefinite - — Minimum 5 Yes Mag, Mfr, OD, S / I Yes: After Data Fields /Records are interrelated; GC §34090 OC & OD years ears I Public Works / Water PW-082 Specifications from Tustin Water Works (TWW): Job Files (handwritten labor costs), Tract Files, Transfer Files P P Mag' MfPpr, S / I Yes: After Department Preference; GC §34090 QC & OD Public Works / Water PW-083 State Approvals of System P P Mag' Mfr, OD, S / I Yes: After Department Preference; GC §34090 QC & OD TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-18 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Public Works / Mag' Yes: After Water PW-084 Surveys of Water System 10 years 10 years Mfr, OD, S / I QC & OD 22 CCR §64470; GC §34090 Ppr Public Works / Tract History Files (Agreements, Mag, Yes: After Department Preference; GC Water PW-085 Easements, Main Extension P P Mfr, OD. all §34090 QC & OD Agreements) Ppr Department Preference; entered into DigAlert Mag' Software the Excavator, Public Works / PW-086 Underground Service Alerts 3 years 3 years MfrPpr S / I Yes: After Operator and the Regional Water (USA's) / Dig Alerts QC & OD Notification Center has the obligation to retain the notice for 3 years; GC §§4216.2(f) 421fir GC §34090 Mag, Department Preference; Public Works / PW-087 Variances / Exemptions Expiration + 5 Expiration + Mfr, S / I Yes: After years is required); 22 CCR Water years 5 years QC & OD 64470; 40 CFR 141.33(d); pOD. GC §34090 Public Works / PW-088 Violations & Corrections Correction + Correction + Mag, Mfrr,,pOD, S / I Yes: After Department Preference; 40 QC & OD Water 3 years 3 years CFR 141.33(b)(3) Vulnerability Assessment / Superseded= Superseded Mag, Yes: After Department Preference Public Works / PW-089 Emergency Response Plan / Risk Minimum 5 Minimum 5 Mfr, OD, S / I (highly confidential); 42 USC Water &Resiliency Assessment / QC & OD 300i-2(c); GC §34090 nears years Ppr Hazard Mitigation Plan Public Works / PW-090 Water Audits 5 years 5 years Mag' Mfr, S / I Yes: After Department Preference; GC Water QC & OD §34090 pOD, 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-19 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Mag' Liens are good for 10 years Public Works / PW-091 Water Liens 10 years 10 years Mfr, S / I Yes - After from recording date, and may Water Ppr QC & OD be extended by re-recording lien; WC 36729; 37212(b) Public Works / Mag' Yes: After Department Preference; GC Water PW-092 Water Main Break Reports 5 years 5 years Mfr, OD, S / I §34090 QC & OD Public Works / PW-093 Water Production Reports 5 years 5 years Mag' Mfr, OD, S / I Yes: After Department Preference; GC Water QC & OD §34090 Water Quality - Lab Reports & Mag, Public Works / PW-094 Chains of Custody: 5 years 5 years Mfr, OD, S / I Yes -After 40 CFR 141.33(a) Water Bacteriological and Organics Ppr QC & OD Water Quality - Lab Reports & Chains of Custody: Chemical Public Works / (Includes Chlorine Residuals, Mag, Yes -After 40 CFR 141.33(a); 22 CCR Water PW-095 Disinfectant Residuals, 10 years 10 years Mfr, OD, S / I QC & OD 4464470, 64537 64692 Disinfection Byproducts, and Ppr Disinfection Byproduct Precursors)) Required for 12 years or 2 Water Quality - Lab Reports & Mag, compliance cycles; 22 CCR Public Works / PW-096 Chains of Custody: Lead & 12 years 12 years Mfr, OD, S / I Yes -After 64400.25; 22 CCR §64470; Water Copper Ppr QC & OD 22 CCR 64690.80; 40 CFR 141.33(a); 40 CFR 141.91 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-20 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Mag' Department Preference;40 Public Works / PW-097 Water Quality Reports / Annual P P Mfr, OD, S / I Yes: After CFR 141.33(a); 40 CFR Water Consumer Confidence Reports Ppr QC & OD 141.155. 22 CCR §64470; 22 CCR §64483(g); GC §34090 Public Works / Water Rights Mag, Yes: After Water & PW-098 P P Mfr, OD, S / I QC & OD Department Preference; GC City Clerk (Send final contracts and Ppr §34090 et seq. years 10 agreements to City Clerk) Public Works / Mag' Yes: After Department Preference; GC Water PW-099 Water Usage Reports 10 years 10 years Mfr, S / I §34090 QC & OD pOD, Public Works / Wells: History & Operations Mag, Yes: After Department Preference; GC Water PW-100 (Includes Abandoned or P P Mfr, OD, S / I QC & OD §34090 et seq. Destroyed Wells) Ppr 10 years Work Orders / Service Requests Public Works / CMMS DATABASE Indefinite - — Indefinite - — Mag, Yes: After Data is interrelated; GC Water PW-101 (Computerized Maintenance Minimum 5 Minimum 5 Mfr, OD, S / I §34090 QC & OD Management System) years years IPpr Work Orders / Service Requests - Public Works / All Information Entered in When No When No Mag, Yes: After Preliminary drafts (the Water PW-102 CMMS Database Longer Longer Mfr, OD, all database is the original); GC QC & OD Ppr Required Required §34090 Paper drafts TUSTIN, CA. ©1995-2017 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 Ver. 13.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-21 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) Retention Options M=Mfr Imaged & Center) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Liti ation, complaints, claims, public records act requests, audits and/or investigations sus end normal retention pmods retention resumes after settlement or completion). Work Orders / Service Requests - NOT entered in CMMS Database (or partial information Mag, City Preference; CCP §§338 Public Works / PW-103 entered into CMMS Database) 5 years 5 years Mfr, OD, S / I Yes: After et seq., 340 et seq., 342, GC Water QC & OD §34090 Ppr (Division providing service retains 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: 6/7/2022 Docusign Envelope ID: C1 EA196D-5BA2-4ECD-9D59-E3EE3CFF8CE2 ver. 8.1 RECORDS RETENTION SCHEDULE: REAL PROPERTY Page RP-1 (MCAS, Tustin Legacy, Former Redevelopment) Office of Image: Destroy Record Retention No. Records Description Total Vital? Media 1=Import Paper after Comments / Reference Retention Options M=Mfr Imaged & (OFR) S=Scan QC'd? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). REAL PROPERTY Real Economic Development Projects, Programs, Property RP-001 Subject &Issues (Issues and/or projects will Minimum 2 Mag, Mfr, S � I Yes: After Department Preference; GC §34090 c Develop- ED � vary over time) years OD Ppr QC & OD MCAS Tustin Legacy Closure & Reuse / Real Tustin Base Closure &Reuse Records Property RP-002 (Historically Significant) - Original Records P Mag, Mfr, S / I Yes: After Department Preference for Historical Purposes; Eeenomme- Develop- ED 2 Only (Final Studies / Environmental OD, Ppr QC & OD GC §34090 Documents, etc.) Real Property RP-003 Redevelopment Plans P Mag, Mfr, S / I Yes: After Department Preference for Historical Purposes; EG ,, �MiGG Develop ED 3 OD, Ppr QC & OD GC §34090 Redevelopment Projects & Project Areas Planning, Building and Engineering retains final Real documents of construction projects (transfer any Property RP-004 (Ensure Planning has all Environmental Completion Mag, Mfr, S / I Yes: After CIP project files to Engineering); Covers various Eeono;,, EB-004 Documents, Engineering has all CIP Projects, + 10 years OD, Ppr QC & OD Statute of Limitations; CCP §337 et seq.; GC Develop and City Clerk has all Real Property records §34090 for Permanent retention) Real Property RP-005 €D 005 Tustin Legacy Development Projects (MCAS) Original Records Only P Mag, Mfr, OD, Ppr S / I Yes: After QC & OD Department Preference for Historical Purposes; GC §34090 EGGROM66 Develop 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: 6/7/2022