HomeMy WebLinkAbout2020-10-20; City Council; ; Update of the Citywide Records Management Program and Records Retention ScheduleMeeting Date: Oct. 20, 2020
To: Mayor and City Council
From: Scott Chadwick, City Manager
Staff Contact: Pat Downie, Program Manager
pat.downie@carlsbadca.gov, 760-602-2738
Subject: Update of the Citywide Records Management Program and Records
Retention Schedule
Recommended Action
Adopt a resolution approving an update to the Citywide Records Management Program and
Records Retention Schedule.
Executive Summary / Discussion
The Records Management Program provides the procedures that are used citywide for
management of records. This includes audits of the city’s compliance with state laws on record
keeping, the destruction of records and the schedule of how long city records need to be
maintained. The program was approved by the City Council on Oct. 17, 2000, and is
administered by the Records Management Division in City Clerk Services.
The City of Carlsbad chose Gladwell Governmental Services, Inc., an expert in local government
records, to update its records retention schedule. The city needs to update the existing
schedule to stay current with the record-keeping needs of the departments and changes in
state law. The most current version of the records retention schedule was adopted in 2012.
The proposed retention schedule consists of a city-wide records retention schedule as well as
departmental record retention schedules. The departmental retention schedules were written
with input from representatives from all departments participating in the project. The
schedules provide clear and specific records descriptions and retention periods and apply
current law and technology to the management of the city’s records. By identifying which
department is responsible for maintaining the original record and by establishing clear
retention periods for different categories or types of records, the city will realize significant
savings in labor and storage costs and improved operational efficiencies while, continuing the
move away from paper storage, which requires filing cabinets and takes up office space. These
combined departmental schedules along with the city-wide standards make up the proposed
2020 City of Carlsbad Records Retention Schedule, which is attached to the resolution as
Attachment A.
This proposed records retention schedule also clearly indicates which of the city’s vital records
contain the information that would be critical for the continued operation of the organization in
CA Review CKM
Oct. 20, 2020 Item #2 Page 1 of 158
the event of a disaster or the re-establishment of the legal and financial status of the
organization.
A summary list of the records from the 2012 schedule that have had significant changes in the
length of time they need to be retained can be found in Exhibit 2. In some cases, the
description of a record or the specific work group assigned to retain the record also changed.
Although it is standard business practice for California cities to authorize updates to their
retention schedules without further action of their city councils, the City of Carlsbad’s Records
Management Program requires periodic staff review and City Council approval for any and all
revisions.
With the City Council’s approval, this resolution will give the city clerk and city attorney the
ability to make minor updates to the records retention schedule without City Council approval.
Minor updates include changes in department or division names, improvements in descriptions
for clarification purposes and any additional comments needed for reference. Any changes that
need to be made to the length of the retention periods, the addition of new record types or the
deletion of old ones must be presented to the City Council for approval.
Fiscal Analysis
The operating costs associated with the update to the records retention schedule is included in
the annual operating budget for Records Management Division in City Clerk Services.
Next Steps
Upon City Council approval of the resolution, the city manager will execute Administrative
Order No. 88 -Information System Usage Policy (Exhibit 4), which references e-mail as a record
type with a retention of two years. Staff will also update the city’s intranet site with the
approved Records Retention Schedule and Administrative Order No. 88.
Environmental Evaluation (CEQA)
In keeping with California Public Resources Code Section 21065, this action does not constitute
a “project” within the meaning of the California Environmental Quality Act and therefore does
not require an environmental review.
Public Notification and Outreach
Public notice of this item was posted in keeping with the Ralph M. Brown Act and it was
available for public viewing and review at least 72 hours before the scheduled meeting date.
Exhibits
1. Resolution
2. Summary of changes in retention schedule
3. Summary of changes in Records Management Program
4. Administrative Order No. 88 – Information System Usage Policy
Oct. 20, 2020 Item #2 Page 2 of 158
RESOLUTION NO. 2020-206
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD,
CALIFORNIA, APPROVING THE UPDATE OF THE CITYWIDE RECORDS
MANAGEMENT PROGRAM AND RECORDS RETENTION SCHEDULE
WHEREAS, the Records Management Program was approved by the City Council on Oct. 17,
2000; and
WHEREAS, Section 34090 of the Government Code of the State of California provides legal
requirements relating to the retention and disposition of municipal records; and
WHEREAS, the Records Management Program utilizes manual, guides and a record retention
schedule to organize the maintenance, retention and disposition of City records in accordance with
legal retention requirements and the City's operational needs;
WHEREAS, the Records Management Program's Records Retention Schedule was adopted in
2012; and
WHEREAS, an update to the existing schedule is necessary to keep current with the record
needs of the departments and the changes in law.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Carlsbad, California, as
follows:
1. That the above recitations are true and correct.
2. That the update of the Records Retention Schedule in Attachment A is adopted.
3. That the update of the Records Management Program in Attachment B is adopted.
4. That the Records Management Division is designated as the Custodian of the Records
Management Program and as such shall be responsible for the implementation of the
program and the safekeeping of the City's records.
5. That the Records Management Program and Record Retention Schedule be reviewed
periodically.
6. That with the consent of the City Clerk and City Attorney, minor updates are authorized
to be made to the Records Retention Schedule without further action by the City
Council. Minor updates are defined as changes in department or division names,
improvements in descriptions for clarification purposes, and any additional comments
as reference. Adding new record types, deletions of existing line items or changes in the
Oct. 20, 2020 Item #2 Page 3 of 158
length of the retention period must be presented to the City Council prior to taking
affect.
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of
Carlsbad on the 20th day of October, 2020, by the following vote, to wit:
AYES: Hall, Blackburn, Bhat-Patel.
NAYS: Schumacher.
ABSENT: None. -Ii(ofr#7-/Z/
MATT HALL, Mayor
DOW(
BARBARA ENGLESON, City Clerk
(SEAL)
CAA,
lipt`S'
Oct. 20, 2020 Item #2 Page 4 of 158
Ver. 12.0 Page CW-1 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD / Finance
/ Risk
Management
CW-000 Accident, Incident, Injury reports: PUBLIC &
Vehicles
Copies -
When No
Longer Required
Copies retained for reference; GC §§34090.7, 60200
Finance CW-005
Accounts Payable, Invoices, Petty Cash,
Travel Reimbursement, Warrant Requests,
etc. ALL backup is forwarded to Finance
Copies -
When No
Longer Required
Yes: Before
Payment
All originals go to Finance (these are copies); GC
§§34090.7, 60200
Lead Department CW-010
Affidavits of Publications / Public Hearing
Notices / Legal Advertising / Affidavits of
Posting
2 years
Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal Government actions is 3 - 6 months; GC §§34090, 60201, 54960.1(c)(1)
City Clerk CW-015
Agenda Packets / Staff Reports: City Council,
Carlsbad Municipal Water District, Community
Development Commission, Successor Agency,
Public Financing Authority and all city council
boards/commissions and committees
Copies -
When No
Longer
Required
Yes: After Upload and
QC GC §§34090.7, 60200
City Clerk CW-020 Agreements & Contracts ALL ORIGINALS
Copies -
When No Longer Required
Yes: Upon
Completion Ensure the City Clerk receives all original agreements; GC §§34090.7, 60200
EXHIBIT A
Adopted: 10/20/2020
Ver. 12.0 Page CW-2 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department CW-025
Agreements & Contracts:
ADMINISTRATIVE FILES (with Grant
Funding)
(Correspondence, Insurance Certificates,
Project Administration, Project Schedules,
Certified Payrolls, Invoices, Logs, RFP, etc.)
Completion +
10 years or After Funding
Agency Audit,
if required,
whichever is
longer
Yes: Before Completion
Yes: Upon
Completion
Some grant funding agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Published
Audit Standards=4-7 years; Statute of Limitations:
Contracts & Spec's=4 years, Wrongful Death=comp. + 5
years, Developers=comp. + 10 years; Statewide guidelines
propose termination + 5 years; CCP §337 et. seq., 21 CFR 1403.36 & 1403.42(b); 24
CFR 85.42, 91.105(h), 92.505, & 570.502(b), 28CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44
CFR 13.42; 45 CFR 92.42; OMB Circular A- 133GC
§34090
Lead Department CW-030
Agreements & Contracts:
ADMINISTRATIVE FILES
(Correspondence, Project Administration,
Project Schedules, Certified Payrolls, Invoices,
Logs, RFP, etc.)
Completion +
10 years
Yes: Before
Completion
Yes: Upon
Completion
Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts &
Spec's=4 years, Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide guidelines
propose termination + 5 years; CCP
§337 et. seq., GC §§34090, 60201,
Lead Department CW-035
Agreements & Contracts: UNSUCCESSFUL
BIDS, UNSUCCESSFUL PROPOSALS or
RESPONSES to RFPs (Request for
Proposals) and/or RFQs (Request for
Qualifications) that don't result in a contract
2 years
The RFP / RFQ and the successful proposal becomes part
of the agreement or contract; GC §§34090, 60201,
Adopted: 10/20/2020
Ver. 12.0 Page CW-3 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance CW-040 Audits / Audit Reports / CAFR -
Comprehensive Annual Financial Reports
Copies -
When No
Longer Required
Copies; GC §§34090.7, 60200
CW-045 Bids: See Agreements & Contracts
Staffing Dept. CW-050
Boards, Commissions, & Committees: City
Council Subcommittees
(Composed solely of less than a quorum of the City Council)
2 years All recommendations are presented to the City Council;
GC §§34090, 60201
Staffing Dept. CW-055
Boards, Commissions, & Committees:
Employees Staff Meetings / Department
Staff Meetings
2 years GC §§34090, 60201
CW-060
Boards, Commissions, & Committees:
External Organizations (e.g. County Board of Supervisors)
When No Longer Required Non-records
City Clerk CW-065
Boards, Commissions, & Committees:
Residents Advisory Bodies Formed by CITY
COUNCIL AGENDAS, AGENDA PACKETS
Copies -
When No
Longer
Required
Yes: After
Upload and
QC
City Clerk retains originals; GC §§34090.7, 60200
City Clerk CW-070
Boards, Commissions, & Committees: Residents Advisory Bodies Formed by CITY
COUNCIL MINUTES, RESOLUTIONS & BYLAWS
Copies -
When No
Longer Required
No City Clerk retains originals; GC §§34090.7, 60200
Finance CW-075 Budgets - Finals
Copies -
When No Longer Required
Yes: Current Fiscal Year
Yes: After
Upload and
QC Final must be filed with County Auditor; GC §§34090.7, 60200, 40802, 53901
Adopted: 10/20/2020
Ver. 12.0 Page CW-4 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance CW-080 Cash Receipts Detail / Backup / Accounts
Receivable Detail / Refund Detail
Copies -
When No
Longer Required
GC §§34090.7, 60200
ASD / Finance
/ Risk Manage. CW-085 Claims
Copies - When No Longer
Required
(Upon
Settlement)
Yes: Before
Settlement
Yes: After
Settlement GC §§34090.7, 60200, 34090.6
Lead
(Responding)
Dept.
CW-090 Complaints / Concerns from Citizens Minimum 2
years
City preference; Statute of Limitations for personal
property, fraud, etc. is 3 years; Claims must be filed in 6
months; CCP §§338 et seq., 340 et seq., 342, GC
§§34090, 60201
Human
Resources CW-095 Complaints Against Employees Send to Human Resources GC §§34090.7, 60200
CW-100 Contracts: See Agreements
Lead Department CW-105 Copies or duplicates of any record
Copies - When No Longer Required
GC §§34090.7, 60200
Adopted: 10/20/2020
Ver. 12.0 Page CW-5 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Dept. that
Authors
Document
or
Receives the
City's Original Document
CW-110
Correspondence - ROUTINE
(Content relates in a substantive way to
the conduct of the public's business)
(e.g. Administrative, Chronological, General
Files, Letters, Memorandums, Reading File,
Working Files, etc.)
2 years GC §§34090, 60201
Dept. that
Authors
Document or
Receives the
City's Original
Document
CW-115
Correspondence - TRANSITORY / PRELIMINARY DRAFTS, Interagency and Intra-agency Memoranda NOT retained in the ordinary course of business
When No Longer Required
Electronic and paper records are filed and retained based
upon their CONTENT. Records, e-mails, electronic records,
or social media postings where the Content relates in a
substantive way to the conduct of the public's
business, or that ARE made or retained for the purpose
of preserving the informational content for future
reference are saved by printing them out and placing in a
file folder, or saving them electronically in a folder outside
the e-mail system; If not mentioned here, consult the City
Attorney to determine if a record is considered transitory /
preliminary drafts. GC §§34090, 60201, GC §6252; 64 Ops. Cal. Atty.Gen. 317 (1981)); City of San Jose v. Superior Court
(Smith). S218066. Supreme Court of California, 2017
Content NOT Substantive, or NOT made or
retained for the purpose of preserving the
informational content for future reference
(e.g. calendars, checklist, feedback forms, flyers, invitations, inventories, logs, mailing lists, meeting room registrations, speaker cards, supply inventories, telephone messages, text messages, letters, thank you notes, requests from other cities, webpages, etc.)
Adopted: 10/20/2020
Ver. 12.0 Page CW-6 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CW-120 Deeds, Easements, Final Orders of Condemnations, Liens, Recorded
Documents, Rights of Ways (All)
Copies – When No
Longer Required
No Send all originals to the City Clerk; GC
§§34090.7, 60200
Lead Department CW-125 Deposit Accounts / Trust Accounts / Refundable Deposits Close + 5 years Department preference; meets auditing standards; GC §§34090, 60201
Lead Department CW-130 DMV Pull Notices When
Superseded
or Separated
Transitory or source records not retained in the ordinary
course of business; CHP audits every 2 years; Bureau of
National Affairs recommends 2 years for all supplementary
Personnel records; GC §§34090, 60201
Lead Department CW-135 Drafts & Notes: Drafts that are revised (retain
final version)
When No
Longer
Required
As long as the drafts and notes are not retained in the
"Regular Course of Business". Consult the City Attorney to
determine if a record is considered a draft. GC §§34090, 60201, 6252, 6254(a)
Dept. that
Authors
Document
or
Receives the City's Original Document
CW-140 Email 2 years
Emails are filed and retained based upon their CONTENT.
E-mails where the Content relates in a substantive way
to the conduct of the public's business, or that ARE
made or retained for the purpose of preserving the
informational content for future reference are saved
electronically in a folder outside the e-mail system.
GC §§34090, 60201, GC §6252; 64 Ops. Cal. Atty.
Gen. 317 (1981)); City of San Jose v. Superior Court(Smith). S218066. Supreme Court of California, 2017
Adopted: 10/20/2020
Ver. 12.0 Page CW-7 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department CW-145 GIS Database / Data / Layers (both
City- wide and Specialized)
When No
Longer
Required
Yes
The Lead Department should print out historical
documents (or save source data) prior to replacing the data, if they require the data or output for historical
purposes; Department Preference (Preliminary
documents); GC §§34090, 60201
Lead Department CW-150 Grants (UNSUCCESSFUL Applications, Correspondence) 2 years GC §§34090, 60201
Lead Department CW-155
Grants / CDBG / Reimbursable Claims (SUCCESSFUL Reports, other records
required to pass the funding agency's audit, if
required)
Applications (successful), grant agreement,
program rules, regulations & procedures, reports to grant funding agencies, correspondence, audit records, completion records
After Funding
Agency Audit,
if required -
Minimum 5 years
Meets auditing standards; Grants covered by a Consolidated Action Plan are required for 5 years; Uniform
Admin. Requirements for Grants to Local Governments is 3
years from expenditure report or final payment of grantee
or subgrantee; statewide guidelines propose 4 years; 7
CFR 3016.42; 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505,
570.490, & 570.502(a&b), 28 CFR 66.42; 29
CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR
92.42; OMB Circular A-110 & A-133; GC
§34090, 60201
Human
Resources CW-160 Grievances and Informal Complaints
(Employees)
Copies -
When No
Longer
Required
Yes: Before
Disposition
Send all grievances to Human Resources; All State and
Federal laws require retention until final disposition of
formal complaint; State requires 2 years after action is
taken; GC §§12946, 34090, 60201
Lead Department CW-165 Leave Slips / Time Off Requests
When No
Longer Required
Preliminary drafts not retained in the Regular Course of
Business GC §§34090, 60201
Adopted: 10/20/2020
Ver. 12.0 Page CW-8 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department CW-170
Litigation Files / Lawsuits / Court Case Files
Send Final Settlement Agreements to the City
Clerk
Final
Resolution + 5
years
Yes: Until
Settlement
Department preference; CCP §§ 337 et seq.; GC
§§ 911.2, 34090, 34090.6; 60201, PC §832.5(b)
Lead Department CW-175
Material Safety Data Sheet (MSDS) / Safety
Data Sheet (SDS) Chemical Use Report Form
(or records of the chemical / substance /
agent, where & when it was used)
30 years Yes - After Upload and
QC
Previous MSDS may be obtained from a service; MSDS
may be destroyed as long as a record of the chemical / substance / agent, where & when it was used is
maintained for 30 years; Applies to qualified employers;
Claims can be made for 30 years for toxic substance
exposures; 8 CCR 3204(d)(1)(B)(2 and 3), 29 CFR
1910.1020(d)(1)(i), GC §§34090, 60201
City Clerk CW-180
Minutes: City Council, CMWD Board,
Community Development Commission,
Public Financing Authority, Successor Agency & all city council boards/commissions/committees
Copies - When No Longer Required
Yes (all) No Originals maintained by City Clerk Permanently; GC
§§34090.7, 60200
City Clerk CW-185 Municipal Code (these are copies)
Copies - When No
Longer Required
Yes: Current
Original No
Return any whole unused codes to the City Clerk;
Originals maintained by City Clerk Permanently; GC
§§34090, 60201
Lead Department CW-190 Newspaper Clippings When No Longer Required
Non-records - may be obtained from the newspaper
company; GC §§34090, 60201
Staffing Dept. CW-195 Notices: Public Hearing Notices and Proofs of
Publications 2 years
Statute of Limitations on Municipal Government actions is
3 - 6 months; CCP§337 et seq; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 12.0 Page CW-9 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CW-200 Ordinances - City Council, CMWD
Copies -
When No
Longer Required
Yes (all) No Originals maintained by City Clerk Permanently; GC
§§34090.7. 60201
ASD / Human Resources CW-205 OSHA Inspections or Citations
Send to
Human Resources GC §§34090.7, 60200
ASD / Human
Resources CW-210 Personnel Files (Department-level Files)
3 years After
Separation or Transfer
Before
Separation
Ensure records kept in Department files comply with City
policy (all originals are sent to Human Resources); GC §§34090.7, 60200
Lead Department CW-215 Personnel Files (Supervisor's Notes)
Shred After Incorporation
into
Performance
Evaluation or
Documented Discipline
Before
Annual
Evaluation
Notes maintained in a separate folder to be incorporated
into performance evaluation, or to document progressive discipline; GC §§34090, 60201
Lead Department CW-220 Photographs
When No
Longer Required
Preliminary Drafts; destroy unnecessary photographs. GC
§§34090, 60201, 6252,6254(a)
ASD / Finance
/ Purchasing CW-225 Purchase Orders / Requisitions
Copies - When No
Longer Required
Purchasing retains originals; GC §§34090.7, 60200
Adopted: 10/20/2020
Ver. 12.0 Page CW-10 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department (Who Ordered the Appraisal)
CW-230 Real Estate Appraisal Reports: Property
NOT purchased, Loans not funded, etc. 2 years Not accessible to the public; Statewide Guidelines show 2 years; GC §§34090, 60201, 6254(h)
Lead
Department
(Who Ordered the Appraisal)
CW-235 Real Estate Appraisal Reports: Purchased
Property, Funded Loans
Minimum 5
years
Yes: Before
Purchase
Yes: After
Upload and
QC
Not accessible to the public until purchase has been
completed; meets grant auditing requirements; 24 CFR
85.42 & 91.105(h), & 570.502(b); 29 CFR 97.42, GC
§§34090, 60201
City Clerk CW-240 Records Destruction Lists / Certificate of
Records Destruction
Copies - When No
Longer Required
GC §§34090.7, 60200
CW-245
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, Newsletters,
etc.: Produced by OUTSIDE
ORGANIZATIONS (League of California
Cities, Chamber of Commerce, etc.)
When No
Longer
Required
Non-Records
Lead Department CW-250
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, Newsletters,
etc.: Produced by YOUR Department
Minimum 2
years
Statewide guidelines propose superseded + 2 or 5 years;
GC §§34090, 60201
Lead Department CW-255
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, Newsletters,
etc.: Produced by OTHER Departments
When
Superseded Copies; GC §§34090.7, 60200
CW-260 Reference or Working Files: See Correspondence
Adopted: 10/20/2020
Ver. 12.0 Page CW-11 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department CW-265 Reports and Studies (Historically significant
-e.g., Zoning Studies)P Yes: After
10 years
Administratively and Historically significant, therefore retained permanently; GC §§34090, 60201
Lead Department CW-270 Reports and Studies (other than Historically significant reports - e.g. Annual Reports) 2 years GC §§34090, 60201
City Clerk CW-275 Resolutions: City Council/ CMWD, CDC, PFA, Successor Agency/all city council
boards/commissions/committees
Copies -
When No Longer
Required
Yes (all) No Originals maintained by City Clerk Permanently; GC
§§34090.7, 60200
Lead Department CW-280 Special Projects / Subject Files / Issue Files Minimum 2 years Department Preference; GC §§34090, 60201
Lead Department CW-285
Surveys / Questionnaires (that the City
issues).
If a summary of the data is compiled, the survey forms are considered a draft or
transitory record, and can be destroyed as
drafts (When No Longer Required)
2 years GC §§34090, 60201
Lead Department CW-290 Sustainability Programs / Travel Demand Programs / Annual Reports Minimum 10 years Department Preference; GC §34090
Adopted: 10/20/2020
Ver. 12.0 Page CW-12 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
Destroy
Paper
after
Imaged & QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance / Payroll CW-295
Time Cards / Time Sheets
(Finance keeps the originals with employee
signatures) Copies -
When No
Longer Required
Yes: After Upload and
QC
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 signatures when they submit their timecards, but some in Public Works
and Community Services do not (another employee enters
their time); IRS Reg §31.6001- 1(e)(2), R&T §19530; LC §
1174(d); 29 CFR
516.5; GC §§34090, 60201
Lead Department CW-300
Training - ALL COURSE RECORDS
(Attendance Rosters, Outlines and Materials;
includes Ethics & Safety Training & Tailgates)
5 years
Yes: When
Inactive Department preference; Ethics Training is 5 years; Statewide guidelines propose 7 years; Calif. Labor Division is required to keep their OSHA records 7 years; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law
requires 2 -3 years for personnel actions; 8 CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC§6429(c); GC §§12946, 34090, 60201, 53235.2(b)
Dept. that Originates or
Receives the
City's Original
Invitation to join Collaboration
CW-305
ZOOM, TEAMs, etc. - Collaboration Meetings
Instant messages, Chats
2 years
GC §§34090, 60201
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-1 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCIAL REPORTING AND ACCOUNTING
ASD /
Finance / Financial Reporting & Accounting
ASDF-000 1099's / 1096's 7 years
Department Preference; IRS: 4 years after tax is due or paid
(longer for auditing & contractor delinquency); Ca. FTB: 3 years; 26 CFR §31.6001- 1(e)(2), R&T §19530, GC
§§34090, 60201; 29 USC 436
ASD /
Finance / Financial
Reporting &
Accounting
ASDF-005
Accounts Payable / Invoices and Backup
(Includes Invoices, Travel Expense
Reimbursements, Warrant Request,
Temporary Agency Invoices, etc.)
7 years Yes: Until
Paid
Yes: After 1
year
May contain independent contractor's compensation,
expense reimbursement, or District credit card records;
Meets municipal government auditing standards; Meets
municipal government auditing standards; GC §§34090,
60201
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-010
Assessment Rolls / Lighting and Landscape Districts / Special District Assessment Rolls (to
Tax Assessor for Tax Rolls) 7 years Department preference; Meets auditing
standards; GC §§34090, 60201 et seq.
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-015
Audit / CAFR (Consolidated Annual
Financial Report), Single Audits, Component Unit Audits, Internal Control
Audits - FINAL
P Yes: Until Paid Yes: After 1 year
Department preference; GC §§34090, 60201
ASD / Finance / Financial Reporting & Accounting
ASDF-020 Audit Work Papers 7 years
Department Preference (meets municipal government
auditing standards); Statewide guidelines propose audit
+ 4 years; Published articles show 3 - 7 years; GC
§§34090, 60201
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-2 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-025
Audits - Grant Audits, IRS Audits,
Transportation Audits, PERS Audit, etc. 7 years
Department Preference (meets municipal government
auditing standards); Statewide guidelines propose
audit + 4 years; Published articles show 3 - 7 years; GC §§34090, 60201
ASD /
Finance /
Financial Reporting &
Accounting
ASDF-030
Bank Statements and Trustee Statements, Custodial Statements, Fiscal Agent
Statements, Investment Account Statements,
Bank Reconciliations, Bank Deposits, Bank
Transmittal Advice
7 years
Department Preference; meets auditing standards; GC
§§34090, 60201, 26 CFR 31.6001-1
Bonds (Revenue) Official Statements / Department Preference; Statute of Limitations for bonds,
ASD / Transcripts / Certificates of Participations mortgages, trust deeds, notes or debentures is 6 years;
Finance /
Financial
Reporting & Accounting
ASDF-035
(COPs) - Includes Continuing Disclosure
Reports
See Bank Statements for statement
Fully
Defeased +
10 years
Yes: Until
Maturity
Bonds issued by local governments are 10 years; There
are specific requirements for disposal of unused bonds;
CCP §§336 et seq. 337.5(a); 26 CFR 1.6001-1(e): GC
retention. §43900 et seq.
ASD /
Finance /
Financial
Reporting &
Accounting
ASDF-040 Budget - FINAL P Yes: Until
Paid
Yes: After 1
year Department preference; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-3 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD / Finance / Financial ASDF-045
Budgets - Preliminary, Proposed, Backup Documents When No Longer Preliminary drafts; GC §§34090, 60201
Reporting & (The Final Budget is maintained by the City Required
Accounting Clerk with the Agenda Packet)
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-050 Business Improvement Districts (BIDs)
-Golf Lodging BID, Tourism BID 7 years Yes: While
Active Department Preference; GC §34090
City Clerk ASDF-055
Carlsbad Golf Lodging Business
Improvement District (CGLBID) / Carlsbad
Tourism Business Improvement District
(CTBID) AGENDA PACKETS / AGENDA STAFF REPORTS / AGENDAS
Copies -
When No
Longer
Required
Yes (all)
Yes: After
Upload and
QC
Originals maintained by City Clerk Permanently; GC
§§34090.7, 60200
ASD / Carlsbad Golf Lodging Business
Finance / Improvement District (CGLBID) /
Financial ASDF-060 Carlsbad Tourism Business P Yes No Department preference; GC §34090
Reporting & Accounting
Improvement District (CTBID) ANNUAL REPORT
City Clerk ASDF-065
Carlsbad Golf Lodging Business Improvement
District (CGLBID) / Carlsbad Tourism Business
Improvement District (CTBID) MINUTES,
RESOLUTIONS &
BYLAWS
Copies -
When No
Longer
Required
Yes (all) No Originals maintained by City Clerk Permanently; GC
§§34090.7, 60200
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-4 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD / Finance /
Financial
Reporting &
Accounting
ASDF-070 Checks / Warrants - Cashed or Canceled 7 years Yes: Until
Paid
Yes: After 1
year
May contain independent contractor's compensation,
expense reimbursement, or District credit card records;
Meets municipal government auditing standards; Meets
municipal government auditing standards; GC §§34090,
60201
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-075 Escheat (Unclaimed money /
uncashed checks) 7 years
Department preference; All tangible property held by
government agencies escheats after 3 years; Statute of
Limitations is 1 year for seized property; CCP §§340(d),
1519; GC §§34090, 60201
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-080 FEMA Reimbursement / OES
Reimbursements 10 years Department Preference; GC §§34090, 60201
ASD / Finance /
Financial
Reporting & Accounting
ASDF-090 Financial Services Database Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
ASD /
Finance / Financial
Reporting &
Accounting
ASDF-095 Fixed Assets 7 years
Department Preference (bond auditing purposes; IRS regulations state, "…material records should generally be kept for as long as the bonds are outstanding, plus 3 years after the final redemption date of the bonds"); 26 CFR 1.6001- 1(e); GC §§34090, 60201
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-5 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-100
Investment Committee AGENDAS,
AGENDA PACKETS, MEETING NOTES
AND MINUTES
Minimum 2
years
Department Preference (members are not appointed by
City Council); GC §§34090, 60201
ASD / Finance / Financial Reporting & Accounting
ASDF-105 Investment Databases (Sympro, Wells Fargo) Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-110 Investment Reports & Backup 7 years Department Preference; GC §§34090, 60201
ASD /
Finance /
Financial
Reporting &
Accounting
ASDF-115
Investments / Arbitrage / Certificate of Deposit / Investment Bonds (Receipts / Advisor Reports /
Trade Tickets / LAIF (Local Agency Investment
Fund))
7 years Yes: Until Paid
Department Preference; Meets auditing standards;
Published articles show disposal + 7 years for security
brokerage slips; statewide guidelines propose permanent;
FTC Reg's rely on "self-enforcement"; GC§§ 34090,
43900
ASD /
Finance / Financial Reporting & Accounting
ASDF-120 Journal Entries (includes Water Customers) 7 years Department Preference; meets auditing standards; GC §§34090, 60201, 26 CFR 31.6001-1
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-6 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-125 Lighting and Landscape Districts - Formation
and Boundaries P Yes: After
Upload and QC
Department preference; GC §34090
ASD / Finance / Financial Reporting & Accounting
ASDF-130 Master Fee Schedule P Yes: Until
Paid
Yes: After 1
year Department preference; GC §§34090, 60201
ASD /
Finance /
Financial
Reporting & Accounting
ASDF-135
Reports, Reconciliations, Registers, Transaction Histories, Balance Sheets,
Revenue & Expenditure Reports, etc.
(MONTHLY OR PERIODIC)
When No
Longer Required
Department preference (The Financial System Database
is the original; reports are considered drafts or copies); GC §§34090, 60201
ASD /
Finance /
Financial
Reporting &
Accounting
ASDF-140
Reports: Annual State or Federal: State
Controller's Report, Local Government
Compensation Report, Gas Tax, MOE
(Maintenance of Effort) Report, Street Report,
etc.
7 years Yes: After Upload
and QC
Department Preference; Meets auditing standards; GC §§34090, 60201
ASD /
Finance / Financial Reporting & Accounting
ASDF-145 W-9s Minimum 7
years
Yes: Until
Paid
Yes: After
Upload
and QC
Department Preference (meets municipal government auditing standards); GC §§34090, 60201; 29 USC 436
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-7 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
REVENUE
ASD /
Finance /
Revenue
ASDF-150
Accounts Receivable - Miscellaneous
-Damage to Public Property, Invoices to
Outside Entities, Franchise Income, Gas Tax,
Sales Tax, TOT, etc.
5 years Yes: After
Upload
and QC
Department preference; Meets auditing
standards; GC §§34090, 60201 et seq.
ASD /
Finance /
Revenue
ASDF-155 Ambulance Billing 5 years
Department preference (meets municipal government
auditing requirements); GC §§34090, 60201 et seq.
ASD /
Finance / Revenue ASDF-160 Bankruptcies - NOT pursued
When No
Longer
Required
Preliminary drafts not retained in the ordinary course of
business; GC §§34090, 60201
ASD /
Finance /
Revenue
ASDF-165 Bankruptcies - Where a claim is filed 10 years
Department Preference (negative information remains
on credit ratings for 7 years); GC §§34090, 60201
ASD / Finance / Revenue ASDF-170 Business License & Permit _Database Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
ASD /
Finance /
Revenue
ASDF-175
Business License & Permit
Applications, Renewals and Changes 5 years
Department preference (meets municipal government
auditing requirements); GC §§34090, 60201 et seq.
ASD /
Finance /
Revenue
ASDF-180
Cash Receipts / Daily Cash Summaries /
Cashiers Reports / Cash Reports / Petty Cash 5 years Yes: After
Upload
and QC
Department preference; Meets auditing
standards; GC §§34090, 60201 et seq.
ASD /
Finance / Revenue ASDF-185 Cashiering Database Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-8 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD /
Finance /
Revenue
ASDF-190 Collections / Collection Agency
Statements / Delinquent Accounts 7 years
Department preference; Delinquencies remain on credit
reports for 7 years; GC §§34090, 60201 et
seq.
ASD /
Finance /
Revenue
ASDF-195 Daily Cash 5 years Yes: After Upload and QC
Department preference; Meets auditing
standards; GC §§34090, 60201 et seq.
ASD / Finance / Revenue ASDF-200 Reports: Revenue 5 years These reports cannot be accurately re-created from the
database; Meets auditing standards; GC §§34090, 60201
ASD /
Finance /
Revenue
ASDF-205 Returned Checks / NSF Checks 5 years Department Preference; Meets auditing
standards; GC §§34090, 60201
ASD /
Finance /
Revenue
ASDF-210 Utility Billing Database Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
PAYROLL
ASD /
Finance /
Payroll
ASDF-215 CalPERS Reports - Annual Valuation
Reports, Actuarial Valuation Reports P Department Preference; GC §§34090, 60201
ASD /
Finance /
Payroll
ASDF-220 Computer Loan Agreements Fully Paid + 5
years
Department preference (meets municipal government
auditing requirements); GC §§34090, 60201 et seq.
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-9 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD /
Finance /
Payroll
ASDF-225
DE-6, DE-7, DE-9, DE-43, W-3, & DE-
166, 941 Forms, IRS 5500 Forms (Employee
Benefit Plans), PERS / FICA & Medicare
Adjustments - Quarterly Payroll Tax Returns /
OASDI, Federal Tax Deposits, Adjustments,
etc.
7 years
Department Preference; IRS: 4 yrs after tax is due or paid;
Ca. FTB: 3 years; Articles show 7 years; 26 CFR
§31.6001-1(e)(2), R&T §19530; 29 CFR
516.5 - 516.6, 29 USC 436, GC §§34090, 60201
ASD / Finance / Payroll ASDF-230 Garnishments Satisfied + 7
years Department preference; GC §§34090, 60201
ASD /
Finance /
Payroll
ASDF-235 Payroll File (By Employee Name) Separation +
7 years
Department preference; W-4s are required four years after the due date of such tax for the return period to which the records relate, or the date such tax is paid, whichever is the later. 26 CFR 31-6001-1; GC §§34090, 60201
ASD /
Finance /
Payroll
ASDF-240 Payroll Reports - Annual Detail P Yes: After
Upload
and QC
Department preference for SBCERA Buy-backs; GC
§§34090, 60201
ASD /
Finance /
Payroll
ASDF-245
Payroll Reports - Periodic (includes Deduction
Registers, Leave Registers, Time Transaction
Reports, etc.)
7 years
Department preference for Grant Auditing Purposes;
Meets municipal government auditing standards; GC
§§34090, 60201
ASD /
Finance /
Payroll
ASDF-250 Time Sheets / Time Cards / Overtime Sheets / Overtime Cards Minimum 7 years Yes: After 2 years
Department preference for Grant Auditing
Purposes; Meets municipal government auditing
standards; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 17.0 Page ASDF-10 RECORDS RETENTION SCHEDULE: ADMINISTRATIVE SERVICES - FINANCE
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ASD /
Finance /
Payroll
ASDF-255 W-2's P Yes: After 2
years
Department preference for PERS Buy-back purposes; Meets IRS regulations (4 years after tax is due or paid); 26
CFR §31.6001-1(e)(2), GC §§34090, 60201
PURCHASING
ASD /
Finance / Purchasing ASDF-260 Bid Files - Cancelled or Rejected 2 years GC §§34090, 60201
Lead Department ASDF-265 Bid Files / Quote file / Proposals
Contract
Expiration + 5
years
Department preference; Meets municipal government
auditing standards; GC §§34090, 60201
ASD / Finance /
Purchasing
ASDF-270 Credit Card Program Card Closed
+ 2 years
Department preference; Meets municipal government auditing standards; GC §§34090, 60201
ASD /
Finance /
Purchasing
ASDF-275 Purchase Orders & Backup / Purchase Requisitions 5 years
Department preference; Meets municipal government
auditing standards; GC §§34090, 60201
ASD /
Finance /
Purchasing ASDF-280 Surplus Equipment Disposal 5 years
Department preference; Meets municipal government
auditing standards; GC §§34090, 60201
ASD / Finance /
Purchasing
ASDF-285 Vehicle Titles (Pink Slips) - All
Vehicles
Sale or
Disposal Department Preference; GC §34090
ASD /
Finance /
Purchasing
ASDF-290 Vendor Lists
When No
Longer Required Preliminary drafts; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 3.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-1
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Attorney CA-000 Advice Files / Department Files
When No Longer Required
-Minimum 2years
Department Preference; GC §34090
City Attorney CA-005 City Attorney Memoranda, Opinions and Opinion Index P Yes Yes: After Upload and QC Department Preference; Statewide guidelines propose superseded + 2
years; GC §34090
City Attorney CA-010 Closed Session Material
When No Longer
Required - Minimum 10 years
Yes Department Preference; Statewide
guidelines propose superseded + 2
years; GC §34090
City Attorney CA-015 Litigation Files / Lawsuits / Court Case Files
Send Final Settlement Agreements to the City Clerk
Minimum Final Resolution + 5 years
Yes: Until Settlement Department preference; CCP § 337 et seq.; GC
§§ 911.2, 34090, 34090.6; PC §832.5(b)
Adopted: 10/20/2020
Ver. 6.0 Page CC-1 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Retention No. Records Description
Total Retention
Comments / Reference Record
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-000 Administrative Orders P Department Preference; GC §§34090, 60201
City Clerk CC-005
Agenda Packets/Agenda Bills/Agenda Staff Reports: City Council, CMWD Board, Redevelopment Agency, Redevelopment Commission, Successor Agency, Community Development Commission, Public Financing Authority, Industrial Development Corporation, Industrial Development Authority, all city council boards/commissions/committees
P Yes: After
Upload
and QC
Department preference; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 6.0 Page CC-2 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-010
Agreements & Contracts - ALL INFRASTRUCTURE, OR IF IMAGED, JPAs, MOUs, FRANCHISES, LEASES Agreement or Contract includes all contractual obligations (e.g. Specifications and Successful Proposal / Scope of Work), Notice of Completion
Examples of Infrastructure: Architects, Buildings, bridges, covenants, development, environmental, Joint Powers, MOUs, park improvements, property & property restrictions, redevelopment, reservoirs, sewers, sidewalks, street & alley improvements, settlement, subdivisions, utilities, water, etc
P Yes: Before Completion
Yes: Upon
Receipt of
Notice of
Completion, if any, OR After
Upload and
QC
Department Preference; All infrastructure contracts should be permanent for emergency preparedness; Statute of Limitations is 4 years; 10 years for Errors & Omissions; land records are permanent by law; CCP §337 et. seq., GC §§34090, 60201; Contractor hasretention requirements in 48 CFR 4.703
City Clerk CC-015
Agreements & Contracts - ALL MAINTENANCE, PERFORMERS, INSTRUCTORS, ARTWORK LOANS Agreement or Contract includes all contractual obligations (e.g. Specifications and Successful Proposal / Scope of Work), Notice of Completion
Examples of Maintenance: Concerts, Custodial Services, Class Instructors, Performers, etc.
Completion +
5 years
Yes: Before
Completion
Yes: After Upload and
QC
Department Preference; Statute of Limitations is 4 years; Errors and Omissions / Professional Liability is not
applicable; CCP
§§337. 337.1(a), 337.15, 343; GC §§34090,
60201
Adopted: 10/20/2020
Ver. 6.0 Page CC-3 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-020
Agreements & Contracts - ALL NON-
INFRASTRUCTURE, Professional
Services Agreements
Agreement or Contract includes all contractual
obligations (e.g. Specifications and Successful
Proposal / Scope of Work), Notice of
Completion
Examples of Non-Infrastructure: Consultants,
Landscaping, Painting, Slurry Seals (Paving),
Tree Trimming, Personnel, Professional
Services, etc.
Completion +
10 years
Yes: Before
Completion
Yes: Upon
Receipt of
Notice of Completion,
if any, OR
After
Upload and
QC
Department Preference; Statute of Limitations is 4 years;
10 years for Errors & Omissions; land records are permanent by law; CCP §§337. 337.1(a), 337.15, 343; GC §§34090,
60201, Contractor has retention requirements in 48 CFR
4.703(a)
City Clerk CC-025 Alcohol Beverage Control License Applications (ABC Applications) 2 years (Non-Records)
City Clerk CC-030 Appeal Forms P Yes: After
Upload
and QC
Department preference; GC §§34090, 60201
City Clerk CC-035 Articles of Incorporation P Yes: After Upload and QC
Department preference; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 6.0 Page CC-4 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-040 Board & Commission / Committee Maddy Act Lists / Vacancy Notices 2 years GC §§34090, 60201; 2 CCR 18702.5
City Clerk CC-045 Board & Commission Applications (Successful and Unsuccessful) P These become part of the Agenda Packet; GC §§34090, 60201
City Clerk CC-050 Bonds (Performance Bonds, Subdivision
Bonds, Letters of Credit)
Release of
Bond / Letter
of Credit
Yes: After
Release
Securities (Performance Bonds, Letters of Credit, CD's,
etc.) are released after the Notice of Completion is
issued and replaced with the Warranty Bond, which is
released 1 year after the Notice of Completion date. GC
§§34090, 60201
City Clerk CC-055 City Council Policies P Yes: After
Upload
and QC
Department preference; GC §§34090, 60201
City Clerk CC-060
City Council Subcommittees: Agendas,
Minutes
(Composed solely of less than a quorum of the City Council)
2 years All recommendations are presented to the City Council;
GC §§34090, 60201
City Clerk CC-065 City Council, Board & Commission
Historical List of Members P Yes: After Upload and QC
Department preference; GC §§34090, 60201
City Clerk CC-070 Claim Forms 2 years City Attorney retains Claim File; GC §§34090,
60201
City Clerk CC-075
Economic Interest Filings (FPPC 700 Series
Forms - Statement of Economic Interests): ALL 7 years Yes: After 2
years
City maintains original statements; GC
§81009(d)(e)(f)&(g)
Adopted: 10/20/2020
Ver. 6.0 Page CC-5 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-080 Economic Interest Filings (FPPC Form 635) -Lobbyist Reporting 5 years Yes: After 2 years 2 CCR 18615(d)
City Clerk CC-085 FPPC Form 801 (Gift to Agency Report) 7 years Yes: After 2 years Must post on website; GC §81009(e)
City Clerk CC-090 FPPC Form 802 (Event Ticket / Pass Distributions Agency Report) 7 years Yes: After 2 years Should post on website for 4 years; GC §81009(e)
City Clerk CC-095 FPPC Form 803 (Behested Payment Report) 7 years Yes: After 2 years GC §81009e
City Clerk CC-100 FPPC Form 804 (Agency Report of New Positions) P Yes: After 2 years FPPC Regulation 18734(c); GC §81009e
City Clerk CC-105 FPPC Form 805 (Agency Report of
Consultants) P Yes: After 2
years FPPC Regulation 18734(c); GC §81009e
City Clerk CC-110 FPPC Form 806 (Agency Report of Public
Official Appointments) 7 years Yes: After 2 years
Must post on website; 2 CCR 18705.5; 2 CCR
18702.5(b)(3); GC §§34090, 60201; GC §81009(e)
ELECTIONS - CONSOLIDATED
City Clerk CC-115 Assessment District Ballots, Protest Letters, &
Envelopes - Prop. 218 proceedings 2 years GC §53753(e)(2)
City Clerk CC-120
Campaign Filings (FPPC 400 Series Forms
& Form 501): UNSUCCESSFUL CANDIDATES 5 years Yes: After 2
years
Paper must be retained for at least 2 years; GC
§81009(b)&(g)
Adopted: 10/20/2020
Ver. 6.0 Page CC-6 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-125
Campaign Filings (FPPC 400 Series Forms
& Form 501): SUCCESSFUL CANDIDATES (Elected Officials) P Yes: After 2 years Paper must be retained for at least 2 years; GC §81009(b)&(g)
City Clerk CC-130
Campaign Filings (FPPC 400 Series Forms):
THOSE NOT REQUIRED TO FILE
ORIGINAL WITH CITY CLERK
(copies)
4 years Paper must be retained for at least 2 years; GC
§81009(f)&(g)
City Clerk CC-135
Campaign Filings (FPPC 400 Series Forms): OTHER COMMITTEES (PACS not candidate-controlled) 7 years Paper must be retained for at least 2 years; GC
§81009(c)&(g)
City Clerk CC-140
Candidate File: Nomination Papers,
Candidate Statement Forms, etc. -
SUCCESSFUL CANDIDATES
Term of
Office + 4
years
Department Preference; Statewide guidelines proposes 4
years for successful candidates, 2 years for unsuccessful;
CA law states term of office and 4 years after the expiration of term and does not delineate between the two;
EC §17100
City Clerk CC-145
Candidate File: Nomination Papers, Candidate
Statement Forms, etc. - UNSUCCESSFUL
CANDIDATES
Election + 4
years
Statewide guidelines proposes 4 years for successful
candidates, 2 years for unsuccessful; CA law states term
of office and 4 years after the expiration of term and does not delineate between the two; EC §17100
Adopted: 10/20/2020
Ver. 6.0 Page CC-7 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-150
Elections - GENERAL, WORKING or
ADMINISTRATION Files
(Correspondence, Precinct Maps, County Election Services, Candidate Statements
to be printed in the Sample Ballot, Polling
Locations and Precinct Board Members,
Notices, Postings, etc.)
2 years GC §§34090, 60201
City Clerk CC-155
Elections - HISTORICAL (Sample ballot,
copies of resolutions, final results;
Certificate of Election)
P No Retained for Historical Value, GC §§34090, 60201
City Clerk CC-160 Elections - Petitions (Initiative, Recall or
Referendum)
Results or
Final Examination
if No
Election + 8 mo.
Not accessible to the public; The 8-month retention
applies after election results, or final examination if no election, unless there is a legal or FPPC proceeding. EC
§§17200, 17400
(End of Elections Section)
City Clerk CC-165 Ethics Training Certificates 5 years GC §53235.2(b)
City Clerk CC-170
Historical Records, Photographs, & Historical Projects (e.g. Incorporation, City Seal, Awards
of significant historical interest, etc.) P No
City Clerk determines historical significance; records can
address a variety of subjects and media. Some media
(e.g. audio and video tape) may be limited because of
the media's life expectancy; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 6.0 Page CC-8 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-175 LAFCO Certifications P Yes: After
Upload and
QC
Department Preference; GC §§34090, 60201
City Clerk CC-180
Minutes: City Council, CMWD Board, Redevelopment Agency, Redevelopment Commission, Successor Agency, Community Development Commission, Public Financing Authority, Public Improvement Corporation, Industrial Development Authority, all city council boards/commissions/committees
P No GC §§34090, 60201
City Clerk CC-185 Municipal Code Administration,
Supplements, Distribution, etc.
When No
Longer
Required
Preliminary drafts not retained in the ordinary course of
business; GC §§34090, 60201
City Clerk CC-190 Oath of Office: City Council, Boards &
Commission Members P Yes: After
Upload and
QC
Department Preference; GC §§34090, 60201
City Clerk CC-195 Ordinances P Yes No GC §§34090, 60201
City Clerk CC-200
Petitions (submitted to Council on any subject
-Dog Parks, Parking, Traffic Calming, etc. -
That do not become part of an Agenda
Packet)
See Elections for Initiative, Recall or
Referendum Petitions
2 years Yes: After
Upload and
QC
Department preference; only 1 year is required;
GC §50115
Adopted: 10/20/2020
Ver. 6.0 Page CC-9 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-205
Public Comment Records (submitted by
members of the public; pertains to items not
on the Agenda)
2 years GC §§34090, 60201
City Clerk CC-210 Public Records Requests / Request for Records 2 years Yes: After Upload and QC
GC §§34090, 60201
City Clerk CC-215
Recorded Documents: ALL - Deeds,
Easements, Liens & Releases, Rights of Way,
Notices of Completion, Recorded Agreements /
Contracts, Certificate of Compliance, etc.
P Yes (all) No Department preference; GC §§34090, 60201 et seq.
City Clerk CC-220 Recordings - VIDEO of City Council P
Department Preference; Video recording of meetings
are only required for 90 days; GC §§34090.7, 34090
City Clerk CC-225 Records Destruction Authorization Forms,
Transfers P Yes: After
Upload and QC
Department preference; GC §§34090, 60201
City Clerk CC-230 Records Management Audits 10 years Yes: After
Upload and
QC
Department preference; GC §§34090, 60201
City Clerk CC-235
Records Retention Schedules /
Amendments to Records Retention
Schedules
P No GC §§34090, 60201 et. seq.
Adopted: 10/20/2020
Ver. 6.0 Page CC-10 RECORDS RETENTION SCHEDULE: CITY CLERK
Office of Record Retention No. Records Description
Total Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-240
Resolutions: City Council, CMWD Board,
Redevelopment Agency, Redevelopment
Commission, Successor Agency, Community
Development Commission, Public Financing Authority, Public Improvement Corporation,
Industrial Development Authority, all city
council boards/commissions/committees
P Yes No GC §§34090, 60201
City Clerk CC-245 Speaker Cards / Speaker Slips
When No
Longer
Required
Preliminary drafts used to produce minutes; GC §§34090, 60201
City Clerk CC-250 Subpoenas (City Records) 2 years GC §§34090
Adopted: 10/20/2020
Ver. 7.0 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINSTRATION Page CCA-1
Office of Record Retention No. Records Description
Total Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY MANAGER
City Manager CCO-000 City Manager Files Minimum 2 years Department Preference; GC §§34090, 60201
City Manager CCO-005 Grand Jury Reports and Responses (Regarding City Operations) 5 years Department Preference (the Grand Jury keeps their reports 5 years); GC §34090
City Manager CCO-010 Projects, Programs, Subject & Issues (Issues and/or projects will vary over time)
Minimum 2
years Department Preference; GC §§34090, 60201
Lead Department CCO-015 Speech Notes / PowerPoint
Presentations
When No Longer Required
Notes, drafts, or preliminary documents; GC §34090 et
seq.
Finance CCO-020 Travel / Conferences
Copies - When No Longer Required
Invoices are maintained by Finance; GC §34090.7
COUNCIL OFFICE
Council Office CCO-025 City Council Files Minimum 2 years Department Preference; GC §§34090, 60201
Council Office CCO-030 Proclamations, Commendations, Awards 2 years GC §§34090, 60201
Lead Department
CCO-035 Speech Notes / PowerPoint
Presentations
When No
Longer
Required
Notes, drafts, or preliminary documents; GC §34090 et
seq.
Finance CCO-040 Travel / Conferences
Copies -
When No
Longer
Required
Invoices are maintained by Finance; GC §34090.7
Adopted: 10/20/2020
Ver. 7.0 RECORDS RETENTION SCHEDULE: COMMUNICATIONS Page COM-1
Office of Record Retention No. Records Description
Total Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Requesting Department COM-000 Communication Projects, Programs, Subjects, Speech Notes, PowerPoint Presentations (Projects vary)
When No Longer Required
The Requesting Department retains the final Record (these are preliminary drafts or copies; GC §34090 et seq.
Communications COM-005 Informational Videos and Public Service Announcements (PSAs) 2 years Department Preference; GC §34090
Communications COM-010 Newsletters distributed City-wide - Carlsbad Currents, etc. 2 years Yes: After Upload and QC
Department Preference; GC §34090
Communications COM-015 Photo Waivers / Model Releases 5 years Department Preference; GC §34090
Communications COM-020 Press Releases (Except for Police) 2 years Department Preference; GC §34090
Adopted: 10/20/2020
Ver. 14.0 Page CD-1
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
BUILDING & SAFETY
CD / Building & Safety CD-000 Address Assignments / Changes / Corrections 2 years GC §34090
CD / Building & Safety CD-005 Address Files / Building Permits P Yes (all) Yes: After Upload and QC
Department preference; Statewide guidelines propose permanent; GC §34090, H&S §19850
CD / Building & Safety CD-010
Address Files / Building Permits -
INDUSTRIAL, COMMERCIAL, MULTI-FAMILY
DWELLINGS, PLACES OF PUBLIC
ACCOMMODATION, TENANT
IMPROVEMENTS, PRODUCTION HOMES,
CUSTOM HOMES - Structural Calculations,
Truss Calculations, Foundation Calculations, Soils Reports, Energy (Title 24), Cut Sheets, etc.
P Yes (all) Yes: After
Upload and
QC
Department preference; Statewide guidelines propose
permanent; GC §34090, H&S §19850
CD / Building & Safety CD-015
Address Files / Building Permits - - SINGLE
FAMILY RESIDENTIAL - SFR and
APPURTENANCES, REMODELS,
ADDITIONS, POOLS - Structural Calculations,
Truss Calculations, Foundation Calculations,
Soils Reports, Energy (Title 24), Cut Sheets, etc.
Permit Final + 2 years
Yes (all) Yes: After
Upload and
QC
Department preference; Statewide guidelines propose
permanent; GC §34090, H&S §19850
CD / Building &
Safety CD-020 Building Permit Database Indefinite Yes (all) Department Preference - Data is interrelated; GC §34090, H&S §19850
Adopted: 10/20/2020
Ver. 14.0 Page CD-2
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CD / Building & Safety CD-025 Building Plans - Cancelled, Expired
or Withdrawn
Upon
Expiration,
Cancellation or Withdrawal
Yes: After
Upload and
QC
Department preference; Preliminary drafts not retained in
the ordinary course of business; CBC §104.7;
H&S§19850, GC §34090
CD / Building & Safety CD-030
Building Plans - Finalled - INDUSTRIAL,
COMMERCIAL, MULTI-FAMILY
DWELLINGS, PLACES OF PUBLIC
ACCOMMODATION, TENANT
IMPROVEMENTS, PRODUCTION HOMES, CUSTOM HOMES
P Yes (all) Yes: After Upload and QC
Department Preference; Law requires for the life of the
building for commercial and common interest dwellings only; CBC 104.7 & 107.5, H&S§19850, GC §34090
CD / Building & Safety CD-035
Building Plans - Finalled - SINGLE FAMILY
RESIDENTIAL - SFR and
APPURTENANCES, REMODELS,
ADDITIONS, POOLS
2 years Yes
Department preference; Plans need not be filed for
dwellings less than 2 stories, garages & appurtenances,
farms/ranches, 1-story with bearing walls less than 25'; CBC requires 180 days from completion date; CBC 104.7 &
107.5, H&S§19850, GC §34090
CD / Building & Safety CD-040 Certificate of Occupancy (CofO) P Yes (all) Yes: After
Upload and
QC
Department Preference; GC §34090
CD / Building & Safety CD-045
Construction Notices / Inspection
Notices (correction notices, compliance
orders, stop work notices, etc.)
When Permit is
Finalled Preliminary Drafts; GC §34090
CD / Building & Safety CD-050 Plan Check Comments P
Department preference (Preliminary Drafts - all comments
are included in the final plans and permits); GC §34090
Adopted: 10/20/2020
Ver. 14.0 Page CD-3
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CD / Building & Safety CD-055 Private Party Permits / Minor Special
Events (No Impact on Public Property) 2 years GC §34090
CD / Building & Safety CD-060 Reports: Building Activity
When No
Longer Required
Preliminary Drafts (the database is the original); GC §34090
CD / Building & Safety CD-065 Requests & Permissions to Receive Copies of Plans (to and from Architects) 2 years GC §34090
CD / Building & Safety CD-070 Specialized Inspections
(Concrete, Welding, etc.) P Yes (all) Yes: After
Upload and QC
Department Preference; GC §34090
CD / Building & Safety CD-075 Uniform Building Codes / California Building
Codes
Minimum
While
Ordinance is
in Force
GC §50022.6
CODE ENFORCEMENT
CD / Building &
Code
Enforcement
CD-080 Citations Minimum 2
years Department Preference; GC §34090
CD / Building & Code Enforcement CD-085
Code Enforcement / Abatement Case
Files (Includes appeals and Code
Enforcement Complaint Letters)
All Liens are sent to the City Clerk
When No
Longer
Required -
Minimum 2 years
Yes: Until
Resolution
Yes: After
Upload and
QC
Department preference; Case is open until
satisfactorily resolved (some cases are not resolved); CFC §104.3.4, GC §34090
Adopted: 10/20/2020
Ver. 14.0 Page CD-4
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
LAND DEVELOPMENT
CD / Land
Development CD-090
CFD Audits / LDE Audits / Land
Development Project Audits /
Landscape District Improvement Audits / Community Facility District Audits
Receipts, Request for Refund, Proof
of Refund, Audit
Completion of Project +
10 years
Department preference; Developers are reimbursed for the improvements after audit; Exceeds auditing
standards; (bond auditing purposes; IRS regulations
state, "…material records should generally be kept for as
long as the bonds are outstanding, plus 3 years after the
final redemption date of the bonds"); 26 CFR 1.6001-1(e);
GC §§34090, 60201 et seq.
CD / Land
Development
CD-095 Connections into Water or
Wastewater Systems P Yes (all) No
Drafts should be destroyed; Some maps are also
retained by Planning; Selected maps are retained in
Public Works for administrative purposes; GC §§34090, 60201, 34090.7
CD / Land
Development
CD-100 Design & Construction Standards -
Authored by the City P Yes: After
Upload
and QC
Department Preference; GC §34090
CD / Land
Development CD-105
Land Development Projects / Project Files:
Administration File
Correspondence - Content IS substantive, etc.
Completion + 10 years Yes: Until Completed
Statute of Limitations for Errors & Omissions is 10 years;
Statute of Limitations: Contracts & Spec's=4 years,
Wrongful Death=comp. + 5 years, Developers=comp. + 10
years; CCP
§337 et. seq., GC §34090
Adopted: 10/20/2020
Ver. 14.0 Page CD-5
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CD / Land
Development
CD-110
Land Development Projects / Project Files:
Permanent Files
Drainage, Driveway, Final Reports,
Grading Plans, Improvement Plans, Soil
Reports, Stormwater, etc.
Dedications, Easements, Abandonments (City Clerk is OFR)
P Yes: Until
Completed
Yes: After
Upload
and QC
Department preference; retained for disaster preparedness
purposes; GC §34090
CD / Land
Development CD-115
Land Development Projects / Project Files:
Preliminary Drafts
Title Reports, Correspondence - Content
NOT Substantive, Preliminary Calculations
When No Longer
Required
Preliminary drafts; GC §34090
CD / Land
Development
CD-120 Oversized Load Permits (OLP) 2 years GC §34090
CD / Land
Development
CD-125 Parcel Maps, Tract Maps / Subdivision Maps P Yes: Until
Completed
Yes: After
Upload
and QC
Department preference; GC §34090
CD / Land Development
CD-130 Plan Checks for Land Development Permits When No
Longer
Required
Preliminary drafts; GC §34090 et seq.
Adopted: 10/20/2020
Ver. 14.0 Page CD-6
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PLANNING
City Clerk CD-135 Alcohol Beverage Control License
Applications (ABC Applications)
When No
Longer Required (Non-Records); City Clerk retains for 2 years
CD / Planning CD-140 Annexations / Boundaries / Consolidations / LAFCO P Yes: After Upload and QC
Land Records; GC §34090
CD /
Planning
CD-145
Census, Demographics
When No
Longer Required (Non-Records - Census Bureau is OFR)
CD / Planning CD-150
Environmental Determinations: Environmental
Impact Reports (EIRs), Negative
Declarations, Technical Reports, etc.)
Inside City boundaries
P Yes: After
Upload
and QC
Usually filed in the project file; Final environmental determinations are required to be kept a "reasonable period
of time"; 14 CCR §15095(c); GC §34090
CD /
Planning CD-155
Environmental Determinations:
Environmental Impact Reports (EIRs),
Negative Declarations, Technical Reports,
etc.)
Outside City boundaries
When No
Longer Required
Non-records; EIRs and Negative Declarations within the
City Boundaries are with the project file
Adopted: 10/20/2020
Ver. 14.0 Page CD-7
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CD /
Planning CD-160 General Plan, Elements and
Amendments, Climate Action Plan P Yes: After
Upload
and QC
City Clerk Maintains all Agenda Packets
Permanently; GC §34090.7
CD / Planning CD-165 Master Plans, Specific Plans, Land Use Plans, etc. P Yes: After Upload and QC
Department Preference; GC §34090
CD /
Planning CD-170 Materials Boards
When No
Longer Required
Preliminary drafts not retained in the ordinary course of
business; GC §34090
City Clerk CD-175 Planning Commission
AGENDAS & AGENDA PACKETS
Copies -
When No
Longer Required
Yes: After Upload and QC
GC §§34090.7, 60200
CD /
Planning CD-180
Planning Commission
AUDIO RECORDINGS of Meetings
/ Audio Tapes
2 years Department preference; State law only requires for 30 days;
GC §54953.5(b)
City Clerk CD-185 Planning Commission
MINUTES, BYLAWS & RESOLUTIONS
Copies -
When No
Longer
Required
No GC §§34090.7, 60200
City Clerk CD-190 Planning Commission
VIDEO RECORDINGS P
Department Preference; Video recording of
meetings are only required for 90 days; GC §§34090.7, 34090
Adopted: 10/20/2020
Ver. 14.0 Page CD-8
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CD / Planning CD-195 Planning Project Log of Applications, Database Indefinite Yes (all)
Department Preference - Data is
interrelated; GC §34090, H&S §19850
CD /
Planning CD-200
Planning Project Files - Approved or
Denied Permanent Entitlements
(Includes Associated CEQA Noticing,
Conditions of Approval, Public Noticing,
Environmental Determinations, Staff
Reports, Plans & Maps)
Examples: Conditional Use Permits (CUPs),
Correspondence, Parcel Maps, Planned Unit
Developments (PUD), Sign Permits, Site
Plans, Tentative Subdivisions, Variances,
Zone Changes, etc.
P Yes Yes: After
Upload and
QC
Department preference; Final environmental
determinations are required to be kept a "reasonable
period of time"; 14 CCR §15095(c); GC§§34090,
34090.7
CD /
Planning CD-205
Planning Project Files - Temporary
Campaign Sign Permits, Temporary Sign Permits, etc. 2 years Department preference; GC§§34090, 34090.7
CD /
Planning CD-210
Planning Project Files - Withdrawn
or Voided Permanent Entitlements Application, Description, Final Letter. 2 years Department preference; GC§§34090, 34090.7
Adopted: 10/20/2020
Ver. 14.0 Page CD-9
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT –
Building & Code, Land Development and Planning
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CD /
Planning CD-215 Preliminary Review File / PRE Files 5 years Yes: After
Upload and
QC
Department preference; GC §34090
CD / Planning CD-220 Zoning Compliance Letters P Yes: After Upload and QC
Department preference; GC §34090
CD /
Planning CD-225 Zoning Maps (Historically Significant) P Yes (all) No Department Preference; GC §34090.7
CD /
Planning CD-230
Zoning Ordinance Amendments Reclassifications / Zone Change P Yes Yes: After Upload and QC
Department Preference (copies); GC §34090.7
Adopted: 10/20/2020
Ver. 1.0 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT Page ED-1
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Economic Development ED-000
Reports and Studies
•Retail•LightingHospitality & Tourism, etc.
P Yes: While Active Issues Department Preference; GC §34090
Economic Development ED-005 Entertainment License Expiration + 4 years
Yes: While Active Issues
Department Preference; GC §34090
Economic Development ED-010 Non-Disclosure Statements, Waivers 2 years
Yes: While Active Issues GC §34090
Economic Development.
ED-015 Salesforce Database Indefinite
Yes: While
Active
Issues
Department Preference; GC §34090
Adopted: 10/20/2020
Ver 7.0 Page FR-1 RECORDS RETENTION SCHEDULE - FIRE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, public records act requests, audits and/or investigations suspend normal retention periods (retention begins after settlement).
ADMINISTRATION
Human Resources
FR-000 Employee Grievances Separation + 6
years
Yes: After
Upload and
QC
Department Preference; statute of limitations for
retirement benefits is 6 years from last action; EEOC/FLSA/ADEA (Age) requires 3 years for
promotion, demotion, transfer, selection, or discharge;
State Law requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946, 34090, 60201; LC 1198.5
Fire / Admin FR-005 Fire Incident RMS Database (Emergency Reporting) Indefinite Yes Data is interrelated; GC §34090 et seq.
Fire / Admin FR-010
Internal Affairs Investigations - Fire
Personnel (Written Reprimands or Higher are sent to Human Resources)
Final
Disposition + 5
years
Department preference; GC §§12946, 34090; VC
§2547
Fire / Admin FR-015 ISO Insurance Ratings Minimum 15 years Department Preference (rated every 10 years); GC §34090
Fire / Admin FR-020 Monthly Statistical Reports / Run Statistics
When No
Longer
Required
Considered a preliminary draft / copy (the Fire database is the original); GC §34090 et seq.
City Clerk FR-025 Mutual Aid Agreements, Joint Power Authorities Copies - When No Longer Required Originals Maintained by City Clerk or County
Clerk of the Board Permanently; GC
§34090.7
Fire / Admin FR-030 Programs and Projects (e.g. Cadet, CPR Program, Explorer Program, Fire Service Day, etc.)
Minimum 2 years Department Preference; GC § 34090 et seq.
Adopted: 10/20/2020
Ver 7.0 Page FR-2 RECORDS RETENTION SCHEDULE - FIRE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, public records act requests, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / Admin FR-035 Ride-Along Waivers 2 years GC §34090
Fire / Admin FR-040 Strike Team Reimbursement (OES / FEMA) 10 years Department Preference; GC §34090
EMERGENCY MEDICAL SERVICES
Fire / EMS FR-045
Apparatus, Equipment & Vehicle Records
& Testing (EMS)
Ambulance vehicle servicing, ECG monitor
servicing, etc.
Surplus + 2
years
Department Preference to be in compliance with NFPA Standards for in-service automotive fire apparatus ;
NFPA 1911.4.7.3 & Annex C.5, GC §34090
Fire / EMS FR-050 Controlled Substance Logs, Inventories /
Ambulance Inventory Logs 3 years Yes
Department Preference - Controlled substances are
required for 2 years after inventory or transaction; 21 CFR §1304.04, 1310.04
Fire / EMS FR-055 Emergency Medical Services RMS Database Indefinite Yes Data is interrelated; GC §34090 et seq.
Fire / EMS FR-060
EMS Complaints (not personnel related) /
CQI (Continuous Quality Improvement) /
Quality Assurance
3 years Statute of Limitations for health providers is 3 years; 13
CCR 1100.7, UFC §104.3.2, §104.3.4, GC §34090
Fire / EMS FR-065 HIPAA Policies and Procedures (Health Insurance Portability and Accountability Act) Superseded
+ 6 years
Yes: After 1 year 24 CFR 164.530(j)
Fire / EMS FR-070
Patient Care Reports / PCRs / Paramedic Release Forms (EMS transportation) / Consent Form with Assignment of Benefits: ADULTS
7 years Yes: After 1 year
Adults required for 7 years; minors until 1 year after age 18, but not less than 7 years; 10 years is recommended by AHIMA for "healthcare providers"; Statute of Limitations for health providers is 3 years; CCP
§340.5, GC §34090; H&S §§1797.98(e) 123145; 42CFR 482.24(b); 9 CCR 9444, 22 CCR 70751(c) &71551(c); 22 CCR 70751(c), 71551(c), 73543(a),74731(a), 75055(a), 75343(a), 77143(a), W&I14124.1; CMS Pub. 100-4, Chapter 1, Section 110.3
Adopted: 10/20/2020
Ver 7.0 Page FR-3 RECORDS RETENTION SCHEDULE - FIRE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, public records act requests, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / EMS FR-075
Patient Care Reports / PCRs / Paramedic
Release Forms (EMS transportation) / Consent
Form with Assignment of Benefits: JUVENILES
Age 19,
Minimum
7 years
Yes: After
1 year
Adults required for 7 years; minors until 1 year after
age 18, but not less than 7 years; 10 years is
recommended by AHIMA for "healthcare providers";
Statute of Limitations for health providers is 3 years; CCP
§340.5, GC §34090; H&S §§1797.98(e) 123145; 42 CFR
482.24(b); 9 CCR 9444, 22 CCR 70751(c) &71551(c); 22 CCR 70751(c), 71551(c), 73543(a),
74731(a), 75055(a), 75343(a), 77143(a), W&I
14124.1; CMS Pub. 100-4, Chapter 1, Section 110.3
EMERGENCY PREPAREDNESS
Fire / Admin FR-080
Emergency Operations Plan (includes
Office of Emergency Management &
Homeland Security, Emergency
Preparedness and Emergency
Services)
Superseded
and Approved
-Minimum 2years
Yes (all) No GC §34090
Fire / Admin & Police/ Admin. FR-085 EOC Activations & Exercises 10 years Yes: After
QC Department Preference; GC §34090
FIRE MARSHALL / FIRE PREVENTION
Fire / Fire
Marshal & Fire
Prevention
FR-090 Brush Abatement / Vegetation Abatement /
Weed Abatement
When No Longer
Required -
Minimum 2 years
Department Preference; GC §34090
Adopted: 10/20/2020
Ver 7.0 Page FR-4 RECORDS RETENTION SCHEDULE - FIRE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, public records act requests, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / Fire
Marshal & Fire
Prevention
FR-095 Fire Citations / Notice of Violations
When No Longer
Required -
Minimum 2 years
Department Preference; GC §34090
Fire / Fire
Marshal & Fire
Prevention
FR-100
Fire Code Permits / Special Event Permits /
Film Permits / Explosives Permits (assembly
permits, candle permits, tent permits, fire
hydrant use, open flame, etc.)
When No
Longer
Required -
Minimum 2 years
Yes:
Before Event
Department Preference; GC §34090
CED / Building FR-105 Fire Construction Documents (Submittals, Shop Drawings Necessary for Fire Code Compliance)
Completion
+ 180 days CFC §105.4 et seq.
Fire / Fire
Marshal & Fire
Prevention
FR-110 Fire Inspections / Business Inspection Files
/ Occupancy Inspections
Life of the
Structure or Activity, or Minimum 5
years,
Whichever is Longer
Yes: After Upload and
QC
Required for the Life of the Structure or Activity, or
Minimum 5 years; CFC §§ 104.6 – 104.6.4
Fire / Fire Marshal & Fire Prevention
FR-115 Fire Investigations - Arson & Capital
Crimes Only P
Yes: After
Upload and
QC
Department preference (Capital Crimes have no
statute of limitations); GC §34090 et seq.
Fire / Fire Marshal & Fire Prevention
FR-120 Fire Investigations - OTHER Than Arson &
Capital Crimes
When No
Longer
Required -
Minimum 5 years
Department preference; GC §34090 et seq.
Adopted: 10/20/2020
Ver 7.0 Page FR-5 RECORDS RETENTION SCHEDULE - FIRE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, public records act requests, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / Fire Marshal & Fire Prevention
FR-125 Fire Protection and Alarm System Plans,
Permits, Reports
Life of the
Structure or Activity
Yes: After
Upload and QC CFC § 104.6.1
Fire / Fire
Marshal & Fire
Prevention
FR-130 Public Information / Education (when
produced internally)
When No
Longer Required - Minimum 2 years
Department Preference; GC §34090
OPERATIONS / SUPPRESSION
Lead Department FR-135
Daily (Weekly, Monthly) Vehicle Safety Checks
/ Daily (Weekly, Monthly) Vehicle Inspections /
Daily (Weekly, Monthly) Equipment Checks
When No
Longer
Required -
Minimum 2 years
GC §34090
Fire / Ops FR-140 Fire Probationary Tests / Daily or Monthly
Evaluation Reports for Probationary
Employees
2 years GC §34090
Public Works/ General Services OR Fire
FR-145 Hazardous Waste Manifests / Certificates of
Disposal P
Yes: After
Upload and
QC
Department Preference (City has "cradle to grave"
liability); 40 CFR 262.40, 8 CCR 3204(d)(1)(A), 22 CCR 66262.40
Fire / Ops FR-150 Pre-Fire Plans When Superseded
Yes:
Before
Event
Preliminary drafts; GC §34090 et seq.
Adopted: 10/20/2020
Ver 7.0 Page FR-6 RECORDS RETENTION SCHEDULE - FIRE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, public records act requests, audits and/or investigations suspend normal retention periods (retention begins after settlement).
TRAINING
Fire / Training
& Human
Resources FR-155
Employee Medical File - Fire Only
Includes Respirator Fit Tests, Medical
Questionnaires, etc.
Separation +
30 years
Yes: When
Inactive
Department preference; Files maintained separately;
Claims can be made for 30 years for toxic substance
exposure; 8 CCR §3204(d)(1) et seq., 8 CCR 5144, 29
CFR 1910.1020(d)(1)(i), GC §§1294634090
Fire / Training
& Human
Resources FR-160
Employee Training File (by employee)
Individual Training Certificates
Separation + 5
years
Yes: When
Inactive
Department preference; EEOC/FLSA/ADEA (Age)
requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years for
personnel actions; Claims can be made for 30 years for
toxic substance exposure; 8 CCR §3203 et seq., 29
CFR 1627.3(b)(ii), LC §6429(c); GC §§12946, 34090
Fire / Training FR-165 Performance Activity Cards 1 year Preliminary drafts; GC §34090 et seq.
Fire / Training FR-170 Training RMS Database (Target Solutions) Indefinite Data is interrelated; GC §34090 et seq.
Adopted: 10/20/2020
Ver. 7.0 Page HS-1 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Housing Services / Community Services HS-000 Student Leader Academy Minimum 2
years Department preference; GC §§12946, 34090
GRANTS
Housing
Services /
Grants HS-005 Grants - UNSUCCESSFUL
•Applications
•Correspondence
2 years GC §34090
Housing
Services /
Grants HS-010
Grants / CDBG Subrecipients -SUCCESSFUL
•Applications
•Grant agreement
•Program rules
•Regulations & procedures
•Reports to grant funding agencies
•Correspondence
•Audit record
•Completion records
•Other records required to pass the
funding agency's audit, if required
After Funding Agency Audit, if required - Minimum 5 years
Meets auditing standards; Grants covered by a
Consolidated Action Plan are required for 5 years;
Uniform Admin. Requirements for Grants to Local
Governments is 3 years from expenditure report or final
payment of grantee or subgrantee; statewide guidelines
propose 4 years; 7 CFR 3016.42; 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505,
570.490, & 570.502(a&b), 28 CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR
92.42; OMB Circular A-110 & A-133; GC §34090
Adopted: 10/20/2020
Ver. 7.0 Page HS-2 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
AFFORDABLE HOUSING and SECTION 8
Housing
Services /
Housing HS-015 Five Year Consolidated Action Plan and the
related Action Plans / PHA Plans
Expiration of
Plan + 5 years Consolidated Plan Requirement; GC §34090
Housing
Services /
Housing HS-020 Foreclosure Notices / Notices of Defaults
(NOD) - for Private Property
When No
Longer
Required
Non-records (courtesy notice from Mortgage
companies)
Housing Services /
Housing HS-025
Housing Loan Applications - Denied, Cancelled or Withdrawn
(Potential Buyers, First Time Home Buyers,
Life/Safety, Rehabilitation, HOME, etc.)
2 years GC §34090
Housing
Services /
Housing HS-030
Housing Programs:
•Affordable Housing Projects
•Rehabilitation,
•CDBG-funded Housing Projects, etc.WITH a Recapture / Resale Restriction
5 years after the
Affordability
Period
Terminates, or
the Written
Agreement Terminates, Whichever is Longer
Yes: When Inactive
HUD requires 5 years after the project completion;
documents imposing recapture / resale restrictions are
5 years after the affordability period terminates; Uniform
Admin. Requirements for Grants to Local Governments is 3 years from expenditure report; statewide guidelines
propose 4 years; 24 CFR 85.42,
92.508(a)&(c) & 570.502(a)(16), 29 CFR 97.42, GC
§34090
Housing
Services / Housing HS-035
Housing Programs:
•Affordable Housing Projects
•Rehabilitation,
•CDBG-funded Housing Projects, etc.
WITHOUT a Recapture / Resale Restriction
Loan Pay-off
OR Forgiveness
+ 5 years
Yes: After Upload and
QC
HUD requires 5 years after the agreement terminates;
Consistent with Consolidated Plan Requirements; Required for 3-4 years from expenditure or performance
report; 24 CFR 85.42, 92.508(a)&(c) & 570.502(a)(16),
29 CFR 97.42, GC §34090
Adopted: 10/20/2020
Ver. 7.0 Page HS-3 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Housing Services / Housing HS-040 HUD Reports 5 years Meets HUD requirements; GC §34090
Housing
Services /
Housing HS-045
Section 8:
•Applications for Program
Disqualified, Determined Ineligible,
Dropped from Wait List
3 years 24 CFR 982.158, GC §34090
Housing Services / Housing HS-050 Section 8: •Database
Indefinite -
Minimum 7
years
Data is interrelated; GC §34090; HUD Notice PIH 98-
48, 99-49
Housing
Services / Housing HS-055
Section 8:
•Tenant Files - Clients WITH Unpaid
Balances or Fraud
Includes Contracts & Billings
P
Yes: While
Active
Participant
Yes: After 10
years
Department Preference; HUD guidelines require funding, contract, and financial records for Section 8
records for 6 years and 3 months after the fiscal year;
Required for 3-4 years from expenditure or performance
report; 24 CFR 85.42, 570.502, 982.158; 29 CFR 97.42;
HUD Notice PIH 98-48, 99-49
Housing Services / Housing HS-060
Section 8:
•Tenant Files - Clients - WITHOUTUnpaid Balances or Fraud
Includes Contracts & Billings
Close of File
+ 7 years
HUD guidelines require funding, contract, and financial
records for Section 8 records for 6 years and 3 months
after the fiscal year; 24 CFR 85.42, 570.502, 982.158;
29 CFR 97.42; HUD Notice PIH 98-48, 99-49
Housing Services / Housing HS-065 Section 8:
•Waiting List
3 years 24 CFR 982.158, GC §34090
Adopted: 10/20/2020
Ver. 7.0 Page HS-4 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
REDEVELOPMENT / SUCCESSOR AGENCY
Housing
Services /
Redevelopment / Successor Agency
HS-070 Real Estate Appraisals 5 years Department preference meets municipal auditing
standards; GC §34090
Housing
Services /
Redevelopment
/ Successor Agency
HS-075 Redevelopment Plans P Department Preference for Historical Purposes; GC
§34090
Housing
Services /
Redevelopment
/ Successor Agency
HS-080
Redevelopment Projects & Project Areas
(Ensure Planning has all Environmental
Documents, Engineering has all CIP Projects,
and City Clerk has all Real Property records for Permanent retention)
Completion +
10 years
Planning, Building and Engineering retains final documents of construction projects (transfer any CIP project files to Engineering); Covers various Statute of
Limitations; CCP §337 et seq.; GC §34090
Housing
Services /
Redevelopment
/ Successor Agency
HS-085 Relocations Completion +
5 years
Department preference meets municipal auditing
standards; CCP §337 et seq.; GC §34090
Adopted: 10/20/2020
Ver. 18.0 Page HR-1 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PERSONNEL AND RECRUITMENT
Human
Resources HR-000 Benefit Plan Documents (CalPERS,
Optical, Dental, etc.)
Duration of
the Contract
+ 6 years
Yes: For
Duration of
Contract
EEOC / ADEA (Age) requires 1 year after benefit plan termination; Federal law requires 6 years after filing date
for retirement; State Law requires 2 years after action; 29
CFR 1627.3(b)(2); 29
USC 1027; GC §§12946, 34090, 60201
Human
Resources HR-005 Classification / Reorganization Studies (for
employee classifications and department
structures)
Minimum 3
years
Bureau of National Affairs recommends 2 years for all supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 2 years; 29 CFR 516.6, 29 CFR 1602.14, GC §§12946, 34090, 60201
Human
Resources HR-010 Compensation Surveys & Studies Minimum 3
years
Bureau of National Affairs recommends 2 years for all
supplementary Personnel records; Wage rate tables are 1
or 2 years; State requires 2 years; 29 CFR 516.6(2), 29
CFR 1602.14, GC §§12946, 34090, 60201
Human
Resources HR-015 Deferred Compensation
(City Statements) 7 years
Produced by Deferred Comp. Provider; consistent with
proposed statewide guidelines; published articles for bank
statements show 4 -7 years; GC
§304090, 26 CFR 31.6001.1
Human Resources HR-020
Department of Fair Employment &
Housing (DFEH or EEOC and other
Government Agencies) Claims
Final
Disposition
+ 3 years
All State and Federal laws require retention until final disposition of formal complaint; State requires 2 years after "fully and finally disposed"; 2 CCR 11013(c); GC §§12946, 34090, 60201
Adopted: 10/20/2020
Ver. 18.0 Page HR-2 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Human
Resources HR-025 DMV Pull Notices
When Superseded, or Upon Separation
Department Preference; GC §§34090, 60201
Human
Resources HR-030
Drug & Alcohol Test Results / DOT Files (All
-Positives and Negatives)
Filed by Employee Name
Separation +5 years
Department preference; D.O.T. Requires 5 years for
positive tests, 1 year for negative tests;
EEOC/FLSA/ADEA (Age) requires 3 years physical
examinations; State Law requires 2 years; 29 CFR
1627.3(b)(1)(v), GC §§12946, 34090, 60201; 49 CFR
655.71 et seq.; 49 CFR 382.401 et seq. 49 CFR 653.71
Human Resources HR-035
EEO-4 Reports and records required to generate EEO-4 report (Self-
Identification Form, etc.) 3 years 29 CFR 1602.30
Human
Resources HR-040
Employee Tuition Reimbursement Files Fully Paid
+ 5 years
Department Preference (meets auditing
standards); GC §§34090, 60201
Human
Resources HR-045
Human Resources / ERP Database Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
Adopted: 10/20/2020
Ver. 18.0 Page HR-3 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Human
Resources HR-050 I-9s Separation
+3 years
Yes: After
Upload
and QC
Required for 1 year from termination or 3 years from
hiring, whichever is later; EEOC / FLSA / ADEA (Age)
requires 3 years for "any other forms of employment
inquiry"; State Law requires 2 -3 years; 8 CFR 274a.2; 29
CFR 1627.3(b)(i); GC §§12946, 34090, 60201
Human
Resources HR-055 Internal Investigation Separation
+6 years
Department preference; GC §§12946, 34090, 60201
Human Resources HR-060
Job Descriptions / Classification Specifications Minimum
Superseded
+ 3 years
Yes: After 1 year
Department preference; EEOC/FLSA/ADEA (Age) requires
3 years for promotion, demotion, transfer, selection, or
discharge; State Law requires 2 -3 years; retirement benefits is 6 years from last action; 29 CFR 1602.31 &
1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090, 60201
Human Resources HR-065
Labor Relations Files
(Negotiation Notes, Correspondence,
Interpretation of MOU Provisions,
Documentation, etc.)
Minimum 10 years Department Preference; GC §§34090, 60201
Human
Resources HR-070 OSHA Inspections and Citations 5 years OSHA requires 5 years; State law requires 2 years; 8 CCR §3203(b)(1), GC §§34090, 60201; LC §6429c
Human Resources HR-075 OSHA Logs - 200, 300, 301, 301A 7 years
Calif. Labor Division is required to keep their records 7 years; OSHA requires 5 years; State law requires 2 years; 8 CCR §3203(b)(1), GC §§34090, 60201; LC §6429c
Adopted: 10/20/2020
Ver. 18.0 Page HR-4 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Human
Resources HR-080 Personnel Files - Background Files Separation + 6 years
Yes: After Upload and QC
Department Preference; statute of limitations for retirement
benefits is 6 years from last action; EEOC/FLSA/ADEA
(Age) requires 3 years for promotion, demotion, transfer,
selection, or discharge; State Law requires 2 -3 years; 29
CFR
1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946,
34090, 60201; LC 1198.5
Human Resources HR-085
Personnel Files - Benefit File, Retiree File
Includes W-4s
Separation
+ 6 years, or
Termination of Benefits,
Whichever is
Longer
Yes: After Upload
and QC
Department Preference; statute of limitations for retirement benefits is 6 years from last action; EEOC/FLSA/ADEA
(Age) requires 3 years for promotion, demotion, transfer,
selection, or discharge; State Law requires 2 -3 years; 29
CFR
1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946, 34090, 60201; LC 1198.5
Human
Resources HR-090
Personnel Files - Employee File,
Grievance File
Includes Application, Evaluations,
Policies, Oaths of Office, PAFs
(Personnel Action Forms), etc.
Separation
+ 6 years
Yes: After
Upload and QC
Department Preference; statute of limitations for retirement benefits is 6 years from last action; EEOC/FLSA/ADEA
(Age) requires 3 years for promotion, demotion, transfer,
selection, or discharge; State Law requires 2 -3 years; 29
CFR
1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946,
34090, 60201; LC 1198.5
Human Resources HR-095
Personnel Files - Medical File (all employees)
Pre-employment Medical Clearances, ADA
Accommodations, Respirator Fit Tests, etc.
Separation +
30 years or
Termination
of Benefits,
Whichever is Longer
Yes: Until
Separation
Yes: After
Upload
and QC
Department preference; Files maintained separately;
Claims can be made for 30 years for toxic substance
exposure; 8 CCR §3204(d)(1) et seq., 29 CFR 1910.1020(d)(1)(i), GC §§12946, 34090, 60201; LC 1198.5
Adopted: 10/20/2020
Ver. 18.0 Page HR-5 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Human
Resources HR-100
Recruitment and Testing File (Includes
Background Files for Unsuccessful Applicants)
(Includes Advertisements, Applications for
Unsuccessful Candidates, Interview Notes, Job
Brochures, Test Data, Testing Analysis &
statistical Metric, Job Analysis, Rating Sheets,
Scantrons, etc.)
Expiration of
Eligibility List + 2 years
Department preference; EEOC / FLSA / ADEA (Age)
requires 1-3 years; State Law requires 2 - 3 years; 29
CFR 1627.3(b)(i), 29 CFR 1602.14 et seq.2 CCR
11013(c); GC §§12946, 34090, 60201
Human
Resources HR-105
Studies & Surveys Conducted on Behalf
of the City (Sick Leave, Attrition, Benefits, etc.)
When No
Longer Required
Preliminary drafts not retained in the ordinary course of business; GC §§34090, 60201
Human
Resources HR-110
Workers Compensation Claims / Long Term Disability Claims (Includes all Accident,
Incident, or Injury Reports from Employees)
Separation + 30 years or Termination
of Benefits,
Whichever is
Longer
Yes: Until
Separation
Yes: After
Upload
and QC
Department preference; Files maintained separately;
Claims can be made for 30 years for toxic substance
exposure; 8 CCR §3204(d)(1) et seq., 29 CFR
1910.1020(d)(1)(i), GC §§12946, 34090, 60201
RISK MANAGEMENT
Human Resources / Risk Management HR-115 Accident Reports / Incident Reports / City
Vehicle Accident Reports 2 years GC §§34090, 60201
Adopted: 10/20/2020
Ver. 18.0 Page HR-6 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Human
Resources /
Risk
Management
HR-120 ADA Requests, Evaluations
Final
Determination
+ 5 years
Department Preference; GC §§34090, 60201
Human
Resources /
Risk
Management
HR-125 Claim Runs 7 years Department Preference; GC §§34090, 60201
Human
Resources /
Risk Management
HR-130 Claims / Loss Recovery File Final Resolution +
5 years
Yes: Until
Settlement
Department preference (meets municipal government auditing standards); CCP § 337 et seq.; GC §§ 911.2,
34090, 34090.6; PC §832.5(b)
Human
Resources / Risk Management
HR-135 Insurance Certificates (for vendor
contracts) 11 years Department preference; CCP § 337 et seq.; GC
§§ 34090, 60201
Human
Resources /
Risk
Management
HR-140 Insurance Polices (City-owned
policies) P Yes: After
Upload
and QC
Department Preference; GC §§34090, 60201
Human
Resources /
Risk
Management
HR-145 Insurance Review Requests
When No
Longer
Required
Preliminary drafts; GC §§ 34090, 60201
Finance / Risk
Management HR-150 Liability Database Indefinite Yes Data Fields / Records are interrelated; GC
§§34090, 60201
Adopted: 10/20/2020
Ver. 18.0 Page HR-7 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
Office of Record Retention No. Records Description Comments / Reference
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance / Risk
Management HR-155 Public Official Bonds Expiration + 5 years Department Preference; GC §§34090, 60201
Finance / Risk
Management HR-160 Special Events Insurance 2 years Department preference; GC §§ 34090, 60201
VOLUNTEER AND MEDIATION PROGRAMS
Human
Resources /
Volunteer &
Meditation
HR-165 Neighborhood Mediation Files Minimum 2
years Department preference; GC §34090
Human Resources / Volunteer & Meditation HR-170
Volunteer / Unpaid Intern Applications &
Agreements (includes emergency
contact information) - Successful
Applicants
Separation + 3 years Yes: 1
year
Courts treat volunteers as employees; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090; 29 USC1113
Human Resources / Volunteer & Meditation
HR-175 Volunteer Database Indefinite Data is interrelated; GC §34090
Adopted: 10/20/2020
Ver. 4.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Information Technology IT-000 Backups - DAILY When No
Longer
Required
Yes
Used for Disaster Recovery Purposes Only; Considered a copy and can be destroyed when no longer required; tapes are in autochangers and are overwritten; GC §§34090, 60201 et seq.
Information
Technology IT-005 Backups - WEEKLY OR
QUARTERLY
When No Longer
Required
Yes
Used for Disaster Recovery Purposes Only; Store
off-site in commercial storage for disaster recovery;
Considered a copy and can be destroyed when no
longer required; retention based on administrative value; recycle tapes; GC §§34090, 60201 et seq.
Information
Technology IT-010 Network Configuration Maps & Plans / Change
Management
When No
Longer Required Yes
Preliminary documents not retained in the
ordinary course of business; GC §§34090, 60201 et seq.
Information Technology IT-015
UNALTERABLE MEDIA (WORM /
DVD-r / CD-r / Blue Ray-R) or other unalterable media that does not permit additions, deletions, or changes
P
For legal compliance for Trustworthy Electronic Records (when the electronic record serves as the official record)
GC 34090, 12168.7, 60201 EVC 1550, CCR 22620 et seq..
Adopted: 10/20/2020
Ver. 8.0 Page L&CART-1 RECORDS RETENTION SCHEDULE: LIBRARY & CULTURAL ARTS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
CULTURAL ARTS
Cultural Arts CART-000
Art in Public Places
Unsuccessful Proposals
When No
Longer
Required -
Minimum 3 years
Department preference; GC §34090
Cultural Arts CART-005
Art In Public Places Program
Approved permanent artworks,
deaccessioned artworks, and temporary
installations
P No Department preference; GC §34090
City Clerk CART-010 Arts Commission
AGENDAS, AGENDA PACKETS
Copies -
When No
Longer Required
Yes: After
Upload and
QC
GC §34090.7
Cultural Arts CART-015
Arts Commission
AUDIO RECORDINGS of Meetings / Audio
Tapes
2 years Department preference; State law only requires for 30
days; GC §54953.5(b)
City Clerk CART-020 Arts Commission
MINUTES
Copies -
When No
Longer Required
No GC §34090.7
Cultural Arts CART-025 Community Arts Grants 5 years Meets auditing standards; funded by the City's General Fund; GC §34090
Adopted: 10/20/2020
Ver. 8.0 Page L&CART-2 RECORDS RETENTION SCHEDULE: LIBRARY & CULTURAL ARTS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
Library &
Cultural Arts CART-030
Cultural Arts Volunteer / Unpaid Intern
Applications & Agreements - Unsuccessful or
Waiting
3 years
Consistent with employee personnel files (Courts
treat volunteers as employees); EEOC/FLSA/ADEA
(Age) requires 3 years for promotion, demotion,
transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090
Library &
Cultural Arts CART-035 Cultural Arts Volunteer / Unpaid Intern Logs
(Hours) 3 years
Department preference; Preliminary Drafts not
retained in the ordinary course of business; GC §4090
Library &
Cultural Arts CART-040 Cultural Arts Volunteers / Unpaid Intern
Applications & Agreements - Successful
Inactive /
Separation +
3 years
Yes: 1
year
Courts treat volunteers as employees; EEOC/FLSA/ADEA (Age) requires 3 years for
promotion, demotion, transfer, selection, or discharge;
State Law requires 2 -3 years; 29 CFR 1602.31 &
1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090; 29 USC 1113
Cultural Arts CART-045 Facility Rental Applications 2 years
Yes:
During
Class or Program
GC §34090
Cultural Arts CART-050 Participant Database (CivicRec) Indefinite Department Preference; data is interrelated; GC §34090
Cultural Arts CART-055 Participant Registration / Applications / Liability
Forms / Release of Liability Forms / Waivers for
Program Participants
2 years
Yes:
During
Class or Program
GC §34090
Library &
Cultural Arts CART-060 Patron Feedback / Comment Cards
When No
Longer
Required
Content is not substantive / Preliminary drafts not
retained in the ordinary course of business; GC §34090
Adopted: 10/20/2020
Ver. 8.0 Page L&CART-3 RECORDS RETENTION SCHEDULE: LIBRARY & CULTURAL ARTS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
Cultural Arts CART-065
Printed Collateral for Community Arts Grants
Programs (Concerts, Exhibits, Galleries,
Temporary Displays of Visual Arts not owned by
the City, etc.)
Minimum 5
years
Department preference to meet grant-funded program
requirements; GC §34090
LIBRARY
Lead Department & Finance LIB-000 Cash Receipts Report / Detail / Backup /
Accounts Receivable Detail / Refund Detail 2 years City preference (not all detail is sent to Finance); GC
§34090
Library LIB-005
Grants: LSCA (Library Services and
Construction), LSTA (Library Services and
Technology), SLRC (State Literacy Resource
Centers), CLLS (California Library Literacy
Services); CLSA (California Library Services
Act) and PLF (Public Library Fund) ONLY. For
all others, follow City-wide Schedule.
(SUCCESSFUL Reports, and Financial
Information) Send copy of application and award to Finance
Final
Expenditure
+ 5 years
Per California State Library Records Management Program Requirements (April 27, 1998); GC §34090
City Clerk LIB-010 Historic Preservation Commission
AGENDAS & AGENDA PACKETS
Copies -
When No
Longer Required
Yes: After
Upload and
QC
GC §34090.7
Library LIB-015
Historic Preservation Commission
AUDIO RECORDINGS of Meetings / Audio
Tapes
2 years Department preference; State law only requires for 30
days; GC §54953.5(b)
Adopted: 10/20/2020
Ver. 8.0 Page L&CART-4 RECORDS RETENTION SCHEDULE: LIBRARY & CULTURAL ARTS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
City Clerk LIB-020 Historic Preservation Commission
MINUTES, BYLAWS & RESOLUTIONS
Copies -
When No
Longer Required
No GC §34090.7
Library LIB-025 Incident Reports Minimum 2 years Department preference; GC §§34090
City Clerk LIB-030
Library Board of Trustees
AGENDA PACKETS & AGENDAS
Copies -
When No
Longer Required
Yes: After
Upload and
QC
GC §34090.7
Library LIB-035
Library Board of Trustees
AUDIO RECORDINGS of Meetings / Audio
Tapes
2 years City Clerk maintains these Permanently; GC §34090.7
City Clerk LIB-040
Library Board of Trustees
MINUTES
Copies -
When No
Longer Required
No GC §34090.7
Library LIB-045 Library Card Applications
When No
Longer
Required
Yes Department preference (the database is the original record); GC §34090
Library LIB-050 Library Internet Use Sessions 10 days Yes Not a City record (public's use of Internet)
Library LIB-055 Library Systems: ILS Database Indefinite Data is interrelated; GC §34090
Adopted: 10/20/2020
Ver. 8.0 Page L&CART-5 RECORDS RETENTION SCHEDULE: LIBRARY & CULTURAL ARTS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
Library &
Cultural Arts LIB-060 Library Volunteer / Unpaid Intern Applications &
Agreements - Unsuccessful or Waiting 3 years
Consistent with employee personnel files (Courts
treat volunteers as employees); EEOC/FLSA/ADEA
(Age) requires 3 years for promotion, demotion,
transfer, selection, or discharge; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090
Library &
Cultural Arts LIB-065 Library Volunteer / Unpaid Intern Logs
(Hours) 3 years
Department preference; Preliminary Drafts not
retained in the ordinary course of business; GC §4090
Library &
Cultural Arts LIB-070 Library Volunteers / Unpaid Intern
Applications & Agreements - Successful
Inactive /
Separation
+ 3 years
Yes: 1
year
Courts treat volunteers as employees; EEOC/FLSA/ADEA (Age) requires 3 years for
promotion, demotion, transfer, selection, or discharge;
State Law requires 2 -3 years; 29 CFR 1602.31 &
1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090; 29 USC 1113
Library LIB-075 Literacy Learner Records / Student Records
Inactive /
Separation
+ 5 years
Department preference; GC §34090
Library LIB-080 Marketing Materials for Library Programs When No Longer Required
Preliminary Drafts; GC §34090
Library &
Cultural Arts LIB-085 Patron Feedback / Comment Cards
When No
Longer
Required
Content is not substantive / Preliminary drafts not
retained in the ordinary course of business; GC §34090
Library LIB-090 Study Room Reservations (LibCal)
When No
Longer Required
Yes
Content is not substantive / preliminary drafts not
retained in the ordinary course of business; GC §34090
Adopted: 10/20/2020
Ver. 5.0 Page P&R-1 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Risk
Management P&R-000 Accident / Incident Reports (Members of the
Public)
Copies - When No Longer Required
GC §34090.7
Parks & Recreation P&R-005 Armored Car Manifests 2 years GC §34090
Parks & Recreation P&R-010 Attendance Tracking / Drop off and Pick up Sheets / Kids Camp, etc.
When No
Longer Required Preliminary Drafts; GC §34090
City Clerk P&R-015 Beach Preservation Committee
AGENDAS & AGENDA PACKETS
Copies - When No Longer Required
Yes: After
Upload and QC GC §34090.7
Parks & Recreation P&R-020
Beach Preservation Committee
AUDIO RECORDINGS of Meetings / Audio
Tapes
2 years Department preference; State law only requires for 30 days; GC §54953.5(b)
City Clerk P&R-025 Beach Preservation Committee
MINUTES, BYLAWS & RESOLUTIONS
Copies - When No Longer Required
No GC §34090.7
Adopted: 10/20/2020
Ver. 5.0 Page P&R-2 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Parks &
Recreation P&R-030
Capital Improvement Projects (CIP - where Parks & Recreation is the Lead):
Administration File / NOT Scanned
Project Administration, Certified Payrolls,
Community Outreach / Notifications, Project
Schedules, Progress meetings, Punch Lists, Real Estate Appraisals, RFIs & Responses,
Temporary Easements, Construction
Manager's Logs, Daily Inspections, Daily Logs,
etc.
Completion +
10 years or After Funding
Agency Audit,
if required,
whichever is
longer
Yes: Until
Completed
Department preference; Some grant funding
agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Statute of
Limitations: Contracts & Spec's=4 years, Wrongful
Death=comp. + 5 years, Developers=comp. + 10
years; Statewide guidelines propose termination + 5
years; CCP
§337 et. seq., GC §34090
Parks &
Recreation P&R-035
Capital Improvement Projects (CIP - where
Parks & Recreation is the Lead): Permanent File
/ Scanned Records
Specifications / RFP & Addenda, Agreement / Contract (copy), Successful Proposal, Change
Orders, Geotechnical Studies & Reports,
Operations & Maintenance Manuals (O&M
Manuals,) Materials Testing Reports, Grading
Permits, Hazardous Materials Plans, Notice of Completion, Photos, Soil Reports, Studies,
Submittals, Surveys, etc.
P Yes: Until
Completed
Yes:
Completion
+ 10 years
Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§34090
Adopted: 10/20/2020
Ver. 5.0 Page P&R-3 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Parks &
Recreation P&R-040 Community Services Guide / Program Guide Minimum 2
years Yes No Department preference; GC §34090
Parks & Recreation P&R-045 Customer Relations / Member Database Indefinite Data fields are inter-related; GC §34090 et seq.
Finance P&R-050
Deposits / Cash Receipts Detail / Backup /
Accounts Receivable Detail / Refund Detail / Cashier's Receipts
Copies -
When No
Longer Required
All detail backup is sent to Finance; GC
§34090.7
Parks &
Recreation P&R-055 Donations - In Kind / Sponsorships for Special
Events, etc.
When No
Longer
Required -
Minimum 2 years
Department Preference; GC §34090
Parks &
Recreation P&R-060 Evaluations / Surveys (of programs)
When No
Longer
Required
Preliminary drafts / Transitory records; GC
§34090
Parks &
Recreation P&R-065 Facility Use Rental Contracts / Field Use
Contracts / Facility Use Requests 2 years
Yes:
Before Event GC §34090
Parks & Recreation P&R-070 Food Handlers Permit Separation + 2 years
Department Preference; 29 CFR 1602.31 &
1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113
Parks &
Recreation P&R-075 Lifeguard Certifications Separation +
2 years
Department Preference; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113
Adopted: 10/20/2020
Ver. 5.0 Page P&R-4 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Parks & Recreation P&R-080 Nutrition Program
After Funding
Agency Audit,
if required - Minimum 5
years
Meets auditing standards; Grants covered by a
Consolidated Action Plan are required for 5 years;
Uniform Admin. Requirements for Grants to Local
Governments is 3 years from expenditure report or
final payment of grantee or subgrantee; statewide
guidelines propose 4 years; 7 CFR 3016.42; 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505,
570.490, & 570.502(a&b), 28 CFR 66.42; 29
CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45
CFR 92.42; OMB Circular A-110 & A-133; GC
§34090, 60201
City Clerk P&R-085 Park and Recreation Commission
AGENDA PACKETS & AGENDAS
Copies -
When No
Longer Required
Yes: After Upload and QC GC §34090.7
Parks &
Recreation P&R-090
Park and Recreation Commission AUDIO
RECORDINGS of Meetings / Audio
Tapes 2 years
City preference; State law only requires for 30
days; GC §54953.5(b)
City Clerk P&R-095 Park and Recreation Commission
MINUTES RESOLUTIONS & BYLAWS
Copies -
When No
Longer Required
No GC §34090.7
Adopted: 10/20/2020
Ver. 5.0 Page P&R-5 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Parks &
Recreation P&R-100 Park Safety Checklist / Safety Inspections /
Playground Inspections 2 years Department preference; GC §34090
Lead Department P&R-105 Pesticide Use Permits & Applications 2 years Department Preference (agricultural pesticide records are required for 2 years); GC §34090; 3 CCR 6623,
40 CFR 171.11 et seq.
Parks &
Recreation P&R-110
Program Management / Activity / Special
Programs / Special Event Files & Reports /
ABC Permits, where required
After School, Children's Programs, Cultural
Arts, Sports, Seniors, Filming, Theatre
Programs etc.
When No
Longer
Required -
Minimum 2
years
Department preference; GC §34090
Parks & Recreation P&R-115 Recreation Database (Active Net) Indefinite Department Preference; data is interrelated; GC §34090
Parks &
Recreation P&R-120
Registration / Applications / Liability
Forms / Release of Liability Forms /
Permissions: Camps, Field Trips, Authorization to give Medicine, etc.
2 years
Yes: During Class or Program
GC §34090
Parks & Recreation P&R-125 Safety Inspections 2 years
Yes:
Before Event GC §34090
Parks &
Recreation P&R-130 Schedules / Hours When No Longer Required
Preliminary drafts not retained in the ordinary course
of business; GC §34090
Parks & Recreation P&R-135 Scholarship Applications 5 years Department Preference (meets auditing standards); GC §34090
Adopted: 10/20/2020
Ver. 5.0 Page P&R-6 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk P&R-140 Senior Commission
AGENDA PACKETS & AGENDAS
Copies -
When No
Longer Required
Yes: After Upload and
QC GC §34090.7
Parks &
Recreation P&R-145
Senior Commission
AUDIO RECORDINGS of Meetings / Audio
Tapes
2 years City preference; State law only requires for 30
days; GC §54953.5(b)
City Clerk P&R-150 Senior Commission
MINUTES RESOLUTIONS & BYLAWS
Copies - When No Longer Required
No GC §34090.7
Parks &
Recreation P&R-155 Sign-in / Sign-Out Sheets for classes and
programs 2 years GC §34090
Parks & Recreation P&R-160 Special Event Permits Minimum 2 years
Yes:
During
Event
Yes: After Upload and
QC
Department preference; GC§§34090
Parks &
Recreation P&R-165 Sports Organizations / Non-Profit
Organizations (Little League, etc.)
When No Longer Required
Preliminary drafts not retained in the ordinary course
of business; GC §34090
Parks &
Recreation P&R-170 Sports Score Sheets, Schedules When No Longer Required
Preliminary drafts / Transitory records - NOT made or
retained for the purpose of preserving the
informational content for future reference, GC
§34090; 64 Ops. Cal. Atty. Gen. 317 (1981))
Adopted: 10/20/2020
Ver. 5.0 Page P&R-7 RECORDS RETENTION SCHEDULE: PARKS & RECREATION
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Parks & Recreation P&R-175 Swimming Pool Chemistry 2 years GC §34090
Parks & Recreation P&R-180 Tree Database Indefinite Data is interrelated; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PD-1 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CHIEF / ADMINISTRATION
Police / Chief /
Administration
PD-000 Carry Concealed Weapon Permits (CCW
Permits) - APPROVED
Minimum 2
years Department preference; GC §34090 et seq.
Police /
Chief /
Administration
PD-005 Carry Concealed Weapon Permits (CCW
Permits) - DENIED
Minimum 2
years Department preference; GC §34090 et seq.
Police / Chief /
Administration
PD-010 Neighborhood Watch 2 years GC §34090 et seq.
CAD / DISPATCH
Police /
Communication PD-015
Audio Recordings or Tapes - (CAD/RMS)
Recordings of Telephone & Radio Communications Dispatch (CAD)
Minimum
180 days
Department Preference; Statewide guidelines propose 180 days (legally mandated for 100 days); (may be discoverable or made public in some circumstances), GC §§34090, 34090.6
Police / Communication
PD-020 Police CAD Database Indefinite Yes Data Fields / Records are interrelated; GC §34090
INVESTIGATIONS
Police / Investigation PD-025 Informant Files Minimum 5
years
Informant information; Does not contain criminal intelligence information concerning individuals;
Department preference GC §34090
Police / Investigation PD-030 Intelligence Files (Criminal Intelligence Files) No Longer
than 5
years
Yes: After
Upload and
QC
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 information is relevant to that
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
Adopted: 10/20/2020
Ver. 6.0 Page PD-2 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police / Investigation PD-035 Investigation Files and Arrest Files Transfer to Records Final reports and records are transferred to the case file stored in Records; GC §34090 et seq.
Police / Investigation PD-040 Narcotics Buy Fund Logs 2 years GC §34090 et seq.
Police / Investigation
PD-045 Pawn Slips 2 years
Department Preference to provide information to
other agencies; Non-records used for investigations;
Originals entered into the State Automated Property
System; most agencies retain for 2 years; GC §34090
Police / Investigation PD-050 Regulatory Permits & Backgrounds (Solicitors, Massage, Taxi, etc.) Expiration + 2 years Department preference; GC §34090 et seq.
Police / Investigation PD-055 Special Investigations - Homeless Response - Client Files
7 years Department preference; GC §34090
Police / Investigation PD-060
Special Investigations - Homeless
Response - Homeless Program, Reports & Studies 5 years Department preference; GC §34090
POLICE INFORMATION TECHNOLOGY
Police /
Information Technology
PD-065 Backups - DAILY (Police Only)
When No
Longer Required Yes
Used for Disaster Recovery Purposes Only;
Considered a copy and can be destroyed when no
longer required; tapes are in autochangers and are
overwritten; GC §34090 et seq.
Police /
Information
Technology
PD-070 Backups - WEEKLY (Police Only)
When No
Longer
Required
Yes
Used for Disaster Recovery Purposes Only; Store
off-site in commercial storage for disaster recovery;
Considered a copy and can be destroyed when no
longer required; retention based on administrative value;
recycle tapes; GC §34090 et seq.
Adopted: 10/20/2020
Ver. 6.0 Page PD-3 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police /
Information Technology
PD-075
Video Recordings - Public or City Activity
See City Clerk's schedule for City Council
Video Recordings
1 year Police Video; GC §34090.6(a)
PATROL
Police/ Patrol PD-080 Canine (Police Service Dogs) Program
Files / Training Files: Animal Files
Separation +
3 years
3 years is required for animal care / treatment records; FA §32003(e), PC §597.1(d); GC §34090 et seq.
Police/ Patrol PD-085 Canine (Police Service Dogs) Program Files: Action Reports, Monthly Reports 2 years GC §34090 et seq.
Police/ Patrol PD-090 PAS Device Calibration Logs 2 years GC §34090 et seq.
Police/ Patrol PD-095 Ride-Along Waivers 2 years GC §34090 et seq.
Police/ Patrol PD-100 Special Events - Ops Plans / Expressive Activity Permit
Applications
Minimum 2 years Yes: After
Upload and QC
Preliminary drafts not made or retained for the
purpose of preserving the informational content for
future reference; GC §34090, GC §6252; 64 Ops. Cal. Atty. Gen. 317 (1981))
Police/ Patrol PD-105 Traffic Control: Radar Calibration Records 2 years GC §34090 et seq.
Police/ Patrol PD-110 Vacation House Checks / Extra Patrol
Requests
When No
Longer Required
Entered into Dispatch / CAD database;
Preliminary drafts not retained in the ordinary course of business; GC §34090 et seq.
PROFESSIONAL STANDARDS UNIT
Police / PSU PD-115
Background File / Recruitment File /
Psychological - Police Employees &
Police Volunteers (SUCCESSFUL)
Separation +
5 years
Department preference; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113
Adopted: 10/20/2020
Ver. 6.0 Page PD-4 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police / PSU PD-120
Department Policies & Procedures /
Operation Directives / General Orders /
Lexipol (Department Policies and Procedures)
Minimum 2 years Yes: After
superseded Department Preference; GC § 34090 et seq.
Human Resources PD-125 Employee Grievances Separation +
6 years Yes: After Upload and QC
Department Preference; statute of limitations for
retirement benefits is 6 years from last action;
EEOC/FLSA/ADEA (Age) requires 3 years for
promotion, demotion, transfer, selection, or
discharge; State Law requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946, 34090, 60201; LC 1198.5
Police / PSU PD-130
Internal Affairs Investigations -
Individual Officers / Complaints
Against Officers
(May include criminal acts, moral
turpitude, complaints generated from
a citizen)
Final
Disposition + 5 years
Department preference; State requires for at least
5 years for Citizen's complaints; other State & Federal
laws require retention until final disposition of formal
complaint; State requires 2 years after action is taken; Statute of Limitations is 4 years for misconduct; EVC §
1045(b)(1), GC §§12946, 34090; VC §2547
Police / PSU PD-135 Internal Pursuit Critiques Incident +
2 years Department preference; GC §34090 et seq.
Police / PSU PD-140
Personnel Files - Police Department Employees (By
Employee)
Including Evaluations, PAPS, Oath of Office, Policies, etc.
Separation +
5 years Before Separation
City preference; 29 CFR 1602.31 & 1627.3(b)(ii), GC
§§ 3105, 12946, 34090
Police / PSU PD-145 Pitchess Motions Notifications 2 years GC §34090
Police / PSU PD-150 Press Releases (Police) 2 years GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PD-5 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police / PSU PD-155 Range Qualifications 2 years GC §34090
Police / PSU PD-160 Use of Force Review Incident + 2 years Department preference; GC §§12946, 34090
PROPERTY & EVIDENCE
Police / Property
& Evidence PD-165 Crime Report Photos
Follows the
Retention of
the Evidence
Yes: After 1
year Department Preference; GC §34090
Police / Property
& Evidence
PD-170 Forfeiture Notification 2 years GC §34090
Police / Property
& Evidence
PD-175 Gun and Narcotics Destruction Log
(Documents related to)
Minimum 2 years Department Preference; GC §34090
Police / Property
& Evidence
PD-180 Lost & Found Property (Documents related to) 2 years GC §34090
Police / Property & Evidence
PD-185 Property & Evidence Database Follows the
Retention of
the Evidence
Department Preference; GC §34090
Police / Property
& Evidence
PD-190 Property Auctions 2 years GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PD-6 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No.. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
RECORDS
Police / Records PD-195 ALPR Photos (Automated License Plate Reader) 1 year GC §34090.6(a)
Police / Records PD-200 Citations & Notice to Appear - Parking, Marijuana, & Moving Minimum 2 years Department preference; GC §34090 et seq.
Police /
Records PD-205
CRIME REPORTS / INCIDENT REPORTS:
ALL, Except for those Specifically
Mentioned Elsewhere (mandated purges or
retention)
10 years Yes Yes: After 3
years
Provided there are no outstanding warrants, unrecovered identifiable items, criminal deaths, they are
not historically significant, and it is not classified under
PC §800 & 290; Stat. of Limit. is 2 yrs; Destroy juvenile
marijuana after age18; H&S §11361.5, GC §34090, PC §802, PC §§187,800 et seq.
Police /
Records PD-210
CRIME REPORTS / INCIDENT REPORTS:
Factually Innocent Petition Accepted
Records Sealed Pending Destruction - Except
those with outstanding stolen property, including
firearms, or lost firearms
Date of
Arrest + 3
years
Yes:
Before
Dispositio
n
Yes: After 3
years
Individual petitions District Attorney; Department concurs
that person is factually innocent, then seals record
("Shall" Destroy); GC §34090; PC §851.8(a)
Police /
Records PD-215
CRIME REPORTS / INCIDENT REPORTS:
Firearms entered into CLETS (if not
Permanent Retention) - Found /
Recovered Firearms
Firearm
Found or Recovered -
Minimum 2
years
Yes Yes: After 3
years PC§ 11108(b); GC§ 34090
Adopted: 10/20/2020
Ver. 6.0 Page PD-7 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police /
Records PD-220
CRIME REPORTS / INCIDENT REPORTS:
Misdemeanor or Infraction - Adult Marijuana
H&S §11357(b)(c)(d)(e) or H&S
§11360(b) (with procedure in H&S
§11361.5) - Except those with outstanding
stolen property, including firearms, or lost
firearms
2 years Yes: Before
Disposition
Yes: After
2 years ("Shall" Destroy); H&S §11361.5; GC §34090
Police /
Records PD-225
CRIME REPORTS / INCIDENT REPORTS:
Misdemeanor or Infraction - Juvenile
Marijuana - H&S §11357(E) - Except those with
outstanding stolen property, including firearms, or lost firearms
Conviction
or Arrest (if
No
Conviction) + 2 years
Yes: Before
Disposition
Yes: After
2 years
(Courts and other Agencies "Shall" Destroy); H&S
§11361.5; GC §34090
Police /
Records PD-230
CRIME REPORTS / INCIDENT REPORTS:
Misdemeanor or Infraction Marijuana
§11357(e) - Juvenile on School Grounds during School Hours (with procedure in H&S
§11361.5)
Offender is
18 Years
Old
Yes Yes: After
2 years
(Courts and other Agencies "Shall" destroy); H&S§
11361.5 et seq., 11357(e)
Police /
Records PD-235
CRIME REPORTS / INCIDENT REPORTS:
Sealed Adult, Juvenile and Ward Cases -
Except those with Except Child Abuse or
Severe Neglect, (Substantiated), outstanding stolen property, including firearms, or lost
firearms
Sealing Date
+ 5 years (orCourt Order)
Yes: Before
Disposition
Yes: After
3 years
Sealed records for juveniles and wards of the Court must be destroyed 5 years after sealing date; CCP §§340.1, GC §34090; W&I §§389(a), 781(d)
Adopted: 10/20/2020
Ver. 6.0 Page PD-8 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police / Records PD-240 Crime Statistics / Uniform Crime Reports (UCR) - Summaries (BCS) 2 years Filed on line with the State; GC §34090
Police / Records PD-245 Due Diligence Reports (for warrants) 2 years GC §34090
Police /
Records PD-250 Field Investigation Cards (FI's) - After Entry
into RMS
When No
Longer
Required
Preliminary Drafts; GC§ 34090 et seq.
Police /
Records PD-255 Logs: Arrest Packet, JDIC 2 years
Department preference; Preliminary drafts not retained in the ordinary course of business; GC §34090 et seq.
Police / Records PD-260 NCIC Validation 3 years Department preference (DOJ); GC §34090
Police /
Records PD-265
Officer Recordings: Body-Worn Camera Videos
-Civil Liability (High Probability), Felonies,
Felony with Use of Force, Major Injury
Traffic Collision, Miscellaneous Cases with
Use of Force, Misdemeanors with Use of
Force
3 years Department Policy; PC§ 832.18(b)(5)(B)&(C); GC
§34090.6 et seq.
Police /
Records PD-270
Officer Recordings: Body-Worn Camera
Videos - Detention, Minor Injury Traffic
Collision, Miscellaneous Cases,
Misdemeanors, Restricted Professional Standards, Training
2 years Department Policy; PC§ 832.18(b)(5)(B)&(C); GC
§34090.6 et seq.
Police /
Records PD-275
Officer Recordings: Body-Worn Camera
Videos – Homicides (in Evidence); Pending Review P Department Policy; PC§ 832.18(b)(5)(E); GC
§34090.6 et seq.
Adopted: 10/20/2020
Ver. 6.0 Page PD-9 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police /
Records PD-280
Officer Recordings: Body-Worn Camera
Videos - that are NOT evidence, Accidental
Recording, Routine Incident with No
Apparent Investigative Value
1 year Department Policy; Only 60 days is required; PC§
832.18(b)(5)(A); GC §34090.6 et seq.
Police/
Records PD-285
POLICE REPORTS / INCIDENT
REPORTS:
Capital Crimes / Homicides / Major Crimes /
Serious Felonies / Sex Crimes / Child Abuse
/ Felony DNA (Crimes Subject to the Death Penalty), Sex Crimes (PC §288, 290, WIC 707(b)), PC 803(h)
P Yes Yes: After
Upload and QC
Department Preference; DOJ retains CACI (Child Abuse Central Index) information for adults 100 years;
others have no limitations on commencement of 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)
Police / Records PD-290 Police RMS Database Indefinite Yes Data Fields / Records are interrelated; GC §34090
Police /
Records PD-295 Registrants: Arson - Adults P Yes: After 5
years
Department preference; Pursuant to PC §457.1 et seq.; required to register for life; If released from CYA,
records are destroyed after age 25 or sealing pursuant to W&I §781; GC §34090.7
Police / Records PD-300 Registrants: Arson - Juveniles released from
California Youth Authority
Age 25 or
Sealing Date
+ 5 years
Yes: After Upload and QC
Pursuant to PC §457.1 et seq.; If released from CYA,
records are destroyed after age 25 or sealing pursuant
to W&I §781; GC §34090.7
Police /
Records PD-305 Registrants: Narcotic 5 years Department Preference; Registration is required for 5 years; GC §34090, H&S §11590 et seq., H&S §11594(a)
Police / Records PD-310 Registrants: Sex Offenders - Adults P Yes: After Upload and QC
Department Preference; Pursuant to PC §290 et seq.
Adopted: 10/20/2020
Ver. 6.0 Page PD-10 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police /
Records PD-315 Registrants: Sex Offenders - Juveniles
P
or Sealing Date + 5 years (or Court Order)
Yes: After
Upload and
QC
Pursuant to PC §290 et seq.; W&I §781;
Police /
Records PD-320 Repossession Notices
When No
Longer Required
Preliminary drafts not retained in the ordinary course of
business; GC §34090
Police / Records PD-325 Subpoenas (Personal Appearance or Duces Tecum) 2 years GC §34090
Police / Records PD-330 Subpoenas (Records) 2 years GC §34090
Police / Records PD-335 Warrants (Recalled or Served) 2 years Department preference; GC §34090 et seq.
Police / Temporary Holding Facility PD-340 Booking Log, Juvenile In-Custody Log, etc. 2 years GC §34090
Police / Temporary Holding Facility PD-345 Incidents / Local Detention Facility 2 years GC §34090
Police / Temporary Holding Facility PD-350 In-Custody Rosters 2 years GC §34090
Police / Temporary Holding Facility PD-355 Video Recordings (Jail surveillance, security) 1 year GC §34090.6(a)
Adopted: 10/20/2020
Ver. 6.0 Page PD-11 RECORDS RETENTION SCHEDULE: POLICE
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
TRAINING
Police /
Training PD-360
Background File / Recruitment File /
Phycological - Police Employees & Police Volunteers (UNSUCCESSFUL)
3 years
Department preference; 29 CFR 1602.31 &
1627.3(b)(ii), GC §§ 3105, 12946, 34090; 29 USC 1113
Police /
Training PD-365
Personnel Files - Police Department
Employees / Department Training Files (By Employee)
Separation +
5 years
Before
Separation
Department preference (meets OSHA
requirements; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§ 3105, 12946, 34090
Police / Training PD-370 Personnel Training Evaluations / Daily Observation Reports 2 years GC §34090 et seq.
Police /
Training PD-375 Safety Training Center / City Firing Range Reservations, Schedules, etc.
When No
Longer
Required
Preliminary Drafts; GC §34090
Police / Training PD-380 Training Bulletins 2 years GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-1 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CONSTRUCTION MANAGEMENT AND INSPECTION & LAND DEVELOPMENT CAPITAL PROJECTS
Public Works/ Construction Management & Inspection
PW-000
Capital Improvement Projects (CIP) & Land Development Projects (LDE) – where Construction Management & Inspection is the Lead: Completion – See Clean Up Check List •Pre-Construction Meetings Sign InSheets,•Notes
Completion + 10 years or
After
Funding
Agency Audit, if
required,
whichever is longer
Yes: Until Completed Department preference; Preliminary drafts not retained
in the ordinary course of business; GC
§§34090, 60201
Public Works/ Construction Management & Inspection PW-005
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is
the Lead: Completion + 10 years - See
Clean Up Check List
•Project Administration, Community
Outreach / Notifications, Materials
Quantities / Tickets, Project
Schedules, Progress meetings, RFIs
& Responses, Temporary Easements
/ Rights of Way, Photos, etc.
Completion
+ 10 years or
After
Funding
Agency
Audit, if
required,
whichever is
longer
Yes: Until
Completed
Department preference; Some grant funding agencies
require audits; Statute of Limitations for Errors &
Omissions is 10 years; Statute of Limitations: Contracts
& Spec's=4 years, Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §337 et. seq., GC §§34090, 60201
Public Works/ Construction
Management &
Inspection
PW-010
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is
the Lead: Completion + 2 years - See Clean
Up Check List
•Daily Logs & Inspections
Completion
+ 10 years or
After
Funding
Agency
Audit, if
required, whichever is longer
Yes: Until
Completed
Department preference; Some grant funding agencies require audits; Statue of Limitations does not apply to
these records; GC §§34090, 60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-2 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description Comments / Reference
Destroy
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/ Construction Management & Inspection
PW-015
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is the
Lead: Completion + 3 years - See Clean Up
Check List
•NPDES Permits, Monitoring and
Inspection
•Reports
Completion + 3 years or After Funding Agency Audit, if required, whichever is longer
Yes: Until Completed
Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq.
Public Works/ Construction Management & Inspection PW-020
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where Construction
Management & Inspection is the Lead: PERMANENT
-See Clean Up Check List
•Specifications & Addenda, Agreement /
Contract (copy), Successful Proposal,
Change Orders, Geotechnical Studies &
Reports, Materials Testing Reports,
Grading Permits, Hazardous Materials
Plans, Notice of Completion, Lab
Reports, Permits & Agreements, Soil
Reports / Soil Compaction Reports,
Studies, Submittals, Surveys, Right of
Ways, Water Connection Permits, Utility
Company Approvals, etc.
P Yes: Until Completed
Yes: Completion
+ 10 years
Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§§34090, 60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-3 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description Comments / Reference
Destroy
(OFR) Total
Retention Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/ Construction Management & Inspection
PW-025
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is
the Lead: Securities - See Clean Up Check List
Securities / Bonds / Letter of Credit
Upon
Release of Security
Yes: Until
Completed
Financial Instruments released after all obligations of the
contractor have been met; GC §§34090, 60201
Public Works/ Construction Management & Inspection
PW-0030 Construction Inspection Databases Indefinite Yes Data Fields / Records are interrelated; GC §34090
Public Works/
Construction Management & Inspection
PW-035 Geotechnical and Soil Reports (Authored on
behalf of the City) P Yes: After
Upload and
QC
Department Preference; GC §34090
Public Works/ Construction Management & Inspection
PW-040 Preliminary Studies / Project Assessments P Yes: After
Upload and
QC
Department Preference; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-4 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ENVIRONMENTAL MANAGEMENT
Public Works/ Environmental. Management PW-045 California Integrated Waste Management Act
(AB 939) Annual Report Compliance 10 years Department preference; GC §34090 et seq.
Public Works/ Environmental.
Management
PW-050 Climate Action Plan / Annual Reports P Yes: After
Upload and
QC
Department Preference; GC §34090
Lead Department PW-055 Environmental Agencies / Regulatory
Agencies (EPA, DHS, etc.)
Minimum 2
years Department Preference; GC §34090
Public Works/
Environmental.
Management
PW-060 Habitat Management Plan / Annual Reports P Yes: After
Upload and
QC
Department Preference; GC §34090
Public Works/
Environmental. Management
PW-065 Household Hazardous Waste (HHW) / Manifests for Annual Event 3 years 14 CCR 18812.4; GC §34090
Public Works/
Environmental.
Management
PW-070 Jurisdictional Runoff Management Plan Superseded
+ 5 years
Department Preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq.
Public Works/ Environmental.
Management
PW-075 Stormwater Illicit Discharges 5 years Required for a minimum of 5 years; 40 CFR
122.41(j)(2); 40 CFR §§122.21, 122.41, 122.44; GC §34090
Public Works/
Environmental.
Management
PW-080 Stormwater Industrial Inspections 5 years Required for a minimum of 5 years; 40 CFR 122.41(j)(2); SWRCB Order 2006-03; 40 CFR §§122.21, 122.41, 122.44; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-5 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/
Environmental.
Management PW-085 Stormwater Monitoring / NPDES Monitoring and
Inspection 5 years
Department Preference; Monitoring records required
for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP §337 et seq.
Public Works/ Environmental. Management PW-090 Stormwater: Commercial / Residential
Inspections 5 years
Required for a minimum of 5 years; 40 CFR 122.41(j)(2);
SWRCB Order 2006-03; 40 CFR
§§122.21, 122.41, 122.44; GC §34090
Public Works/ Environmental. Management
PW-095 Stormwater: NPDES Annual Reports 5 years Yes: After Upload and QC
Department preference; Monitoring records
required for 3 years; 40 CFR §§122.21, 122.41, 122.44
Public Works/ Environmental. Management PW-100 Stormwater: NPDES Permits Superseded + 5 years
Yes: Until
Expiration
Department Preference; Monitoring records required
for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP
§337 et seq.
Public Works/
Environmental.
Management
PW-105 Stormwater: TMDL Plan (Total Maximum
Daily Load) Plan 5 years
Yes: After Upload and QC
Department preference; plans must be updated every
5 years, audits are required every 2 years; SWRCB
Order 2006-03; 4§§122.21, 122.41,
122.44; GC §34090
Public Works/ Environmental. Management
PW-110 Water Quality Improvement Plans
(Commercial, Private Development)
Superseded
+ 5 years
Department preference; GC §34090 et seq.
GENERAL SERVICES / MAINTENANCE & FLEET
Lead Department PW-115 AQMD Permits (Generators, etc.) 5 years 40 CFR 70.6; GC §34090
Public Works/ General Services PW-120 Facility Inspections 2 years GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-6 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/ General Services PW-125 Generator Operation Logs & Inspections -
Fixed / Stationary Generators 3 years AQMD Rule 1470; GC §34090
Public Works/
General Services PW-130 Generator Operation Logs & Inspections -
Portable / Emergency Generators 5 years AQMD Rule 1470; Form 400–E–13a instructions; GC §34090
Public Works/ General Services PW-135 GIS / Sidewalk Maintenance Database Indefinite Data is interrelated; GC §34090
Public Works/
General Services
OR Fire PW-140 Hazardous Waste Manifests / Certificates of
Disposal P Yes: After
Upload and QC
Department Preference (City has "cradle to grave"
liability); 40 CFR 262.40, 8 CCR 3204(d)(1)(A), 22
CCR 66262.40
Lead Department PW-145 Operations & Maintenance Manuals (O&M Manuals) Life of Facility or Equipment
Department Preference; GC §34090 et. seq.
Lead Department PW-150 Pesticide Use Permits & Applications 2 years Department Preference (agricultural pesticide records are required for 2 years); GC §34090; 3 CCR 6623, 40 CFR 171.11 et seq.
Lead Department PW-155
Pre-Trip Inspections / DOT Program / CHP
Inspections / Vehicle Safety Checks / Daily
Vehicle Inspections / Daily Equipment Checks
2 years GC §34090; 3 CCR 1234(3)
Public Works/ General Services PW-160
Stormwater: Operation & Maintenance (Catch
Basins, Field, General Cleaning, Open Channels, Slots, Stormwater Treatment Measures and Trash Cleaning)
5 years Yes: After Upload and QC
Department preference; plans must be updated every
5 years, audits are required every 2 years; 4§§122.21,
122.41, 122.44; GC §34090
Lead Department PW-165 Underground Service Alerts (USA's) 3 years Required for 3 years; GC §§4216.2(d) & 4216.3(d), 34090
Public Works/ General Services PW-170
Underground Storage Tank (City Owned) UST
Monitoring, Inspections and Maintenance,
Release Detection Systems, Cathodic
Protection Maintenance Records
7 years
Monitoring and Maintenance records are required
on site for 3 years, 6 ½ years for cathodic protection
maintenance, 5 years for calibration & maintenance of
release detection systems; 23 CCR 2712(b); H&S §25284.2(i)
Adopted: 10/20/2020
Ver. 6.0 Page PW-7 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/
General
Services
PW-175
Underground Storage Tanks - USTs (City
Owned) Repairs, Lining, Upgrades
Life of the
Tank
Yes: After 1
year 23 CCR 2712(b), H&S §25284.2(i)
Public Works/
General Services PW-180
Underground Storage Tanks (City-Owned)
Location, Soil Remediation, Monitoring
Well Records
P Yes: After 1
year
Department Preference (required for the life of the tank);
23 CCR 2712(b), H&S §25284.2(i); GC §34090 et. seq.
Public Works/
General Services
PW-185 Used Oil Disposal 3 years 22 CCR 66266.130(c)(5), H&S §25250.18(b),
25250.19(a)(3) et seq.
Public Works/
General
Services PW-190 Vehicle & Equipment History Files
AQMD Certifications, Maintenance, Safety
Certifications, etc.
Disposal of
Vehicle or
Equipment +
2 years
Department Preference; If a motor carrier,
required for 18 months after vehicle is sold; CHP
requires life of vehicle; OSHA requires 1 year; 8 CCR §
3203(b)(1); 49 CFR 396.21(b)(1); 49 CFR 396.3(c); CCP §337 et. Seq., GC §34090
Division
Providing
Service / Work PW-195
Work Orders / Service Requests CMMS
DATABASE (Computerized Maintenance
Management System)
Indefinite Data is interrelated; GC §34090
Division
Providing Service / Work PW-200
Work Orders / Service Requests - All
Information Entered in CMMS Database
(Paper drafts)
When No
Longer Required
Preliminary drafts (the database is the original); GC
§34090
Division
Providing Service / Work PW-205
Work Orders / Service Requests - NOT
entered in CMMS Database (or partial
information entered into CMMS Database)
(Division providing service retains
originals; Division requesting service is
considered a copy)
5 years City Preference; CCP §§338 et seq., 340 et seq., 342,
GC §, GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-8 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
TRAFFIC & MOBILITY
Public Works / Traffic & Mobility PW-210 Master Plans: Traffic & Mobility 10 years Yes: After Upload and QC
Department preference; GC §34090
Public Works /
Traffic & Mobility
PW-215 Signal Maintenance Logs 10 years Department preference; GC §34090
Police PW-220 Traffic Collision Reports
Copies -
When No
Longer
Required
copies; GC §34090.7
Public Works / Traffic & Mobility
PW-225 Traffic Congestion Management Plans /
Transportation Plans 10 years Department preference; GC §34090
Public Works / Traffic & Mobility
PW-230 Traffic Counts 10 years Department preference; GC §34090
Public Works /
Traffic & Mobility
PW-235 Traffic Investigation Reports 5 years GC §34090
Public Works /
Traffic & Mobility
PW-240 Traffic Safety Commission
AGENDAS & AGENDA PACKETS P Yes: After
Upload and
QC
Department preference; Original Staff Reports are filed
in the project file; GC §34090
Public Works / Traffic & Mobility PW-245
Traffic Safety Commission
AUDIO RECORDINGS of Meetings / Audio
Tapes
2 years Department preference; State law only requires for
30 days; GC §54953.5(b)
Adopted: 10/20/2020
Ver. 6.0 Page PW-9 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works /
Traffic & Mobility
PW-250 Traffic Safety Commission
MINUTES, BYLAWS & RESOLUTIONS P Yes No GC §34090.7
Public Works /
Traffic & Mobility
PW-255 Traffic Speed Surveys 10 years Department preference (required every 5 years, but can
be extended to 7 or 10 years); GC §34090
Public Works /
Traffic & Mobility
PW-260 Transportation Studies / Warrants: Signals, Stop
Signs, Crossing Guards, etc. 10 years Department preference; GC §34090
TRANSPORTATION ENGINEERING & CAPITAL IMPROVEMENT PROGRAMS ADMINISTRATION
Public Works/ Transportation Engineering & CIP Admin.
PW-265
Capital Improvement Projects (CIP) & Land Development Projects (LDE) - where
Transportation Engineering is the Lead:
Completion + 10 years - See Clean Up Check
List
Project Administration, Community Outreach /
Notifications, Invoice Copies if Grant-Funded,
Project Schedules, Progress meetings, Real Estate Appraisals, etc.
Completion
+ 10 years or
After Funding
Agency Audit,
if required, whichever is
longer
Yes: Until
Completed
Department preference; Some grant funding agencies require audits; Statute of Limitations for Errors &
Omissions is 10 years; Statute of Limitations: Contracts
& Spec's=4 years, Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide guidelines
propose termination + 5 years; CCP §337 et. seq., GC
§§34090, 60201
Public Works/
Transportation
Engineering &
CIP Admin.
PW-270
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Transportation Engineering is the Lead:
PERMANENT - See Clean Up Check List
Specifications & Addenda, Easements -
Permanent, Environmental Permits / CEQA
Permits, Permits & Agreements, Soil Reports, Studies, Surveys, Right of Ways, etc.
P Yes: Until
Completed
Yes: Completion.
+ 10 years
Department preference; retained for disaster
preparedness purposes; Statewide guidelines propose
Permanent for Infrastructure plans; GC
§§34090, 60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-10 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/ Transportation Engineering & CIP Admin.
PW-275
Correspondence - Regulatory Agencies Not
Related to a CIP (State & Federal Agencies,
EPA, Health Department, etc.)
Minimum 2
years
Yes: While
Active
Issues
Yes: After
QC
Department preference; Some correspondence from
Regulatory Agencies need to be retained for long
periods of time; GC §34090
Public Works/ Transportation Engineering PW-280
Drawings, Maps, Plans and Record Drawings,
Large-Format Drawings, Capital Improvement
Project "As-Built", Base Maps
P Yes (all) No
Drafts should be destroyed; Some maps are also
retained by Planning; Selected maps are retained in Public Works for administrative purposes; GC §34090, 34090.7
Public Works/
Transportation
Engineering
PW-285
Encroachment Permits - Temporary (Street
Permits, Temporary Construction, Sidewalk
Repairs, Traffic Control, Utility Cuts etc.)
Includes Insurance Certificates
Final /
Completion
+ 2 years
Yes: Until
Completion GC § 34090
Public Works/ Transportation Engineering PW-290
Encroachments - Permanent
(Permanent structures in the City's Right of
Way)
P Yes: After
Upload and
QC
Department Preference; GC §34090
Public Works/ Transportation Engineering
PW-295 Engineering Permits Database Indefinite Yes Data Fields / Records are interrelated; GC §34090
Public Works/
Transportation
Engineering
PW-300 Master Plans: Bikeway, Pedestrian,
Pavement, Transportation, etc. P Yes: After
Upload and
QC
Department preference; Drafts should be
destroyed; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-11 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk PW-305
Recorded Documents: ALL - Deeds,
Easements, Liens & Releases, Rights of Way, Notices of Completion, Recorded Agreements/ Contracts, Certificate of Compliance, etc.
Send all originals to City Clerk, even if they
are e-recorded
P Yes (all) No Even if documents are e-recorded, send all finals to the
City Clerk; GC §34090 et seq.
Division Providing Service / Work PW-310
Work Orders / Service Requests CMMS
DATABASE (Computerized Maintenance
Management System) Indefinite Data is interrelated; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-12 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
UTILITIES / ASSET MANAGEMENT
Division
Providing
Service / Work PW-315 Asset Management Database Indefinite Data is interrelated; GC §34090
Public Works/ Asset Management PW-320
Capital Improvement Projects (CIP) - where
Engineering is the Lead: Maintenance
Projects (All Records)
Completion +
5 years or
After Funding
Agency Auditif required, whichever is longer
Yes: Until
Completed
Department preference; Some grant funding agencies
require audits; Statute of Limitations for Errors &
Omissions is not applicable; Statute of Limitations:
Contracts & Spec's=4 years; Statewide guidelines
propose termination + 5 years; CCP §337 et. seq., GC §34090
Public Works/
Asset Management
PW-325 Permits: Regulatory Agency Permits / DWR
Permit (Department of Water Resources), etc. P Yes: After
Upload and QC
Department preference; GC §§34090, 60201
Public Works/
Asset
Management
PW-330 Rate Studies P Yes: After
Upload and
QC
Department preference; GC §§34090, 60201
Division Providing Service / Work PW-335
Work Orders / Service Requests CMMS
DATABASE (Computerized Maintenance
Management System)
Indefinite Data is interrelated; GC §34090
Division
Providing
Service / Work PW-340
Work Orders / Service Requests - All
Information Entered in CMMS Database
(Paper drafts)
When No
Longer Required
Preliminary drafts (the database is the original); GC
§34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-13 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Division Providing Service / Work
PW-345
Work Orders / Service Requests - NOT
entered in CMMS Database (or partial
information entered into CMMS Database)
(Division providing service retains originals; Division requesting service is considered a copy)
5 years City Preference; CCP §§338 et seq., 340 et seq., 342,
GC §, GC §34090
UTILITIES / ENGINEERING
Public Works/
Utilities /
Engineering
OR
Construction Management & Inspection
PW-350
Capital Improvement Projects (CIP) - where
Utilities Engineering is the Lead:
Permanent File / Scanned Records
Specifications & Addenda, Agreement/Contract,
Successful Proposal, change orders,
Geotechnical Studies & Reports, Soil Reports,
Notice of Completion, Submittals and Surveys, Photos, etc.
P Yes: Until
Completed
Yes:
Completion
+ 10 years
Department preference; retained for disaster preparedness
purposes; Statewide guidelines propose Permanent for
Infrastructure plans; GC §§34090, 60201
Public Works/ Utilities / Engineering PW-355
Master Plans - Utilities: Recycled Water
Master Plan, SCATDA Master Plan, Sewer
Master Plan, Water Master Plan, etc.
P Yes: After
Upload and
QC
Department preference; Drafts should be
destroyed; GC §34090
Public Works/
Utilities /
Engineering PW-360
Utility / Recycled Water / Wastewater / Water
Drawings, Maps, Plans and Record
Drawings, Large-Format Drawings, Capital
Improvement Project "As-Built", Base Maps
P Yes (all) No
Drafts should be destroyed; Some maps are also
retained by Planning; Selected maps are retained in Public
Works for administrative purposes; GC §§34090, 60201; 34090.7
Adopted: 10/20/2020
Ver. 6.0 Page PW-14 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
UTILITIES / WASTEWATER COLLECTION & OPERATIONS
Public Works/ Utilities/
Wastewater
PW-365
CCTV Collection Line Inspection Tapes /
Video Inspections / Video Tapes or Digital
Recordings (Maintenance, where
Wastewater Management is the Lead)
When No
Longer
Required -
Minimum 5 years
Department Preference; GC §34090 et seq.
Public Works/ Utilities/ Wastewater PW-370 Complaints - Wastewater (when Not placed in
Hansen) 2 years Department Preference; GC §34090
Lead Department PW-375 Confined Space Entries / Hot Work Permits 3 years Code of Federal Regulations requires 3 years; 40 CFR 122.41(j)(2)
Public Works/
Utilities/
Wastewater
PW-380 FOG (Fats, Oil & Grease) / Source Control /
Pretreatment Annual / Semi-Annual Reports P Yes: After
Upload and
QC
Department preference; Monitoring records required for 3 years; 40 CFR §§122.21, 122.41; 40 CFR 403.12
Public Works/ Utilities/
Wastewater PW-385
Lift Station - Inspections, Maintenance,
Repairs, Service Requests, Alarm Recording,
Logs, Charts, Flow Monitoring, Voltage Readings, Permits
Minimum 10
years
Department Policy; WC §13263.2(b) et seq.; 40 CFR
122.41(j)(2)GC §34090
Public Works/ Utilities/ Wastewater
PW-390 Log Book (Lift Stations) 7 years Department Preference; GC §34090
Public Works/
Utilities/ Wastewater
PW-395 Maintenance, Cleaning, Repairs, Stoppage
Calls, Line Replacement 10 years Department Policy; WC §13263.2(b) et seq.; 40 CFR
122.41(j)(2)GC §34090
Public Works/
Utilities/ Wastewater
PW-400 Operations & Maintenance Manuals / O & M
Manuals
Disposal of
Equipment Department Preference; GC §34090
Public Works/
Utilities/ Wastewater
PW-405 Permits: Encroachment Permits, Operating
Permits, etc. P Department preference; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-15 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/
Utilities/
Wastewater
PW-410 Permits: Pressure Vessels, Boilers, etc. When
Superseded Department preference; GC §34090
Public Works/ Utilities/ Wastewater
PW-415 Sanitary Spills and Overflows (SSOs) 5 years Yes: After 3 months If treating water, required for 5 years; 40 CFR 122.41(j)(2)
Public Works/
Utilities/ Wastewater
PW-420 Sanitary Spills and Overflows (SSOs) (Above
ground lift stations, etc.) 5 years Yes: After Upload and QC
Required for a minimum of 5 years; 40 CFR 122.41(j)(2);
40 CFR 122.41(j)(2); GC §34090
Lead Department PW-425 SCADA Database (Supervisory Control and
Data Acquisition) Indefinite Yes Data is interrelated; system qualifies as a "trusted system"; GC §§34090, 12168.7
Lead Department PW-430 Self-contained Breathing Apparatus (SCBA)
When
Superseded /
Expiration of Certificate
Certificates are issued for 3-5 years; GC §34090 et. seq.
Public Works/ Utilities/
Wastewater
PW-435 Sewer Lateral Grant Program P Yes: After
Upload and
QC
Department preference; GC §34090
Public Works/
Utilities/
Wastewater
PW-440 Sewer Lift Station Inspections Minimum 5
years
Yes: After Upload and QC
Department preference; GC §34090
Public Works/
Utilities/
Wastewater
PW-445 Sewer System Management Plan (SSMP) 5 years
Department preference; plans must be updated
every 5 years, audits are required every 2 years; 40 CFR
122.41(j)(2); GC §34090
Lead Department PW-450 Standard Operating Procedures / SOPs Superseded
+ 2 years
No Department preference; GC §34090
Adopted: 10/20/2020
Ver. 6.0 Page PW-16 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department PW-455 Underground Service Alerts (USA's) 3 years Required for 3 years; GC §§4216.2(d) & 4216.3(d); GC §34090
Division Providing Service / Work
PW-460
Work Orders / Service Requests CMMS
DATABASE (Computerized Maintenance
Management System)
Indefinite Data is interrelated; GC §34090
Division Providing Service / Work
PW-465
Work Orders / Service Requests - All
Information Entered in CMMS Database
(Paper drafts)
When No
Longer Required
Preliminary drafts (the database is the original); GC
§34090
Division Providing Service / Work
PW-470
Work Orders / Service Requests - NOT
entered in CMMS Database (or partial
information entered into CMMS Database)
(Division providing service retains originals; Division requesting service is considered a copy)
5 years City Preference; CCP §§338 et seq., 340 et seq., 342,
GC §34090
UTILITIES / WATER & RECYCLED WATER OPERATIONS & DISTRIBUTION
Public Works/ Utilities / Water & Recycled Water
PW-475 Backflow / Recycled Water Database Indefinite Department Preference - Data is interrelated; GC
§34090, H&S §19850
Public Works/ Utilities / Water & Recycled Water
PW-480 Backflow Test Results / Backflow Assembly
Test Reports 5 years Department preference; 17 CCR 7605(f); GC
§60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-17 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department PW-485 Confined Space Entries / Hot Work Permits 2 years 8 CCR 5157(d)(14) & (e)(6); 29 CFR 1919.146(e)(6); GC §60201
Public Works/ Utilities / Water & Recycled Water
PW-490 Conservation Programs 5 years Department Preference (meets auditing
standards); GC §34090
Public Works/ Utilities / Water & Recycled Water
PW-495 Cross Connection Circular Charts / Pressure
Charts 5 years Department preference for Department of Public Health
(System Pressure); GC §60201
Public Works/ Utilities / Water & Recycled Water
PW-500
Customer Concerns / Customer Complaints:
Drinking Water Odor / Taste / Visual Complaints
(Correspondence) (for Carlsbad Municipal
Water District’s boundary)
5 years
5 years is required in State and Federal law for any
complaints; 40 CFR 122.41(j)(2) & 40 CFR 141.33(b); 22 CCR 64453(a)
Public Works/ Utilities / Water & Recycled Water
PW-505 Emergency Exercises / Drills / After Action
Reports
When No
Longer
Required
Yes:
Until
Superseded
Yes: After 3
months Department Preference; GC §60201
Public Works/ Utilities / Water & Recycled Water
PW-510 Emergency Response Plan
When No
Longer
Required
Yes: Until
Superseded Yes: After 3
months Department Preference; GC §60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-18 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/ Utilities / Water & Recycled Water
PW-515 Fire Hydrant Flow Tests (Upon Request) (for Carlsbad Municipal Water District’s boundary) Minimum 10 years Department Preference; GC §60201
Public Works/ Utilities / Water & Recycled Water
PW-520 Fire Hydrant Maintenance (for Carlsbad
Municipal Water District’s boundary) 10 years Department Preference; GC §60201
Public Works/ Utilities / Water & Recycled
Water
PW-525
Lab Reports & Chains of Custody:
Bacteriological and Organics / Recycled
Water (for Carlsbad Municipal Water District’s
boundary)
5 years Yes - After Upload and
QC
Department Preference; 40 CFR 141.33(a) and (b)(1); 22 CCR §64470
Public Works/ Utilities / Water & Recycled Water
PW-530
Lab Reports & Chains of Custody: Chemical
(Includes Chlorine Residuals) (for Carlsbad
Municipal Water District’s boundary)
10 years Yes - After
Upload and
QC
Department preference; State law requires 12 years,
Federal 10 years; 40 CFR 141.33(a); 22 CCR §64470
Public Works/ Utilities / Water & Recycled Water
PW-535
Lab Reports & Chains of Custody: Lead &
Copper (for Carlsbad Municipal Water District’s
boundary)
12 years Yes - After Upload and
QC
Required for 12 years or 2 compliance cycles; 40
CFR 141.91
Public Works/ Utilities / Water & Recycled Water
PW-540 Log Book (Pump Stations) (for Carlsbad
Municipal Water District’s boundary 7 years Department Preference; GC §60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-19 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department PW-545 Operations & Maintenance Manuals / O & M
Manuals
Disposal of
Equipment No Department preference; GC §60201
Public Works/ Utilities / Water & Recycled
Water
PW-550 Reservoirs, Reservoir Maintenance P Yes: After 3
months Department preference; GC §60201
Public Works/ Utilities / Water & Recycled Water
PW-555 Sanitary Surveys 10 years
Yes: After
QC & 30
days
22 CCR §64470; 40 CFR 141.33(c)
Public Works/ Utilities / Water & Recycled
Water
PW-560 SCADA Database (Water) (Supervisory Control
and Data Acquisition)
Indefinite Yes Data is interrelated; system qualifies as a "trusted system";
GC §§60201, 12168.7
Lead Department PW-565 Self-contained Breathing Apparatus (SCBA)
When Superseded /
Expiration of Certificate
Certificates are issued for 3-5 years; GC §60201 et. seq.
Lead Department PW-570 Standard Operating Procedures / SOPs Superseded
+ 5 years
No Department preference; GC §60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-20 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Department PW-575 Underground Service Alerts (USAs) 3 years
Department Preference (required for 3 years); the
warrantee period for work done is usually 5 years, the Statute of Limitations for some work may be up to 10 years; CCP §337 et seq., GC §§4216.2(d) & 4216.3(d), 60201
Public Works/ Utilities / Water & Recycled Water PW-580
Videos - Water Wells, Repairs, Reservoirs,
Tanks, etc.
When
Superseded -
Minimum 2 years
Department preference; GC §60201
Public Works/ Utilities / Water & Recycled Water PW-585
Vulnerability Assessment
When
Superseded -
Minimum 2
years
Confidential; GC §60201
Public Works/
Utilities / Water
& Recycled
Water PW-590
Water Production Reads / Reports (to State
DPH & DWR) Usage (for Carlsbad Municipal
Water District’s boundary)
5 years
Department Preference; Meets California Department of
Health requirements (3 years); GC
§60201
Public Works/ Utilities / Water & Recycled Water
PW-595 Water Rights Documentation P Yes: After 3
months
Department preference; GC §60201
Adopted: 10/20/2020
Ver. 6.0 Page PW-21 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
Office of Record Retention No. Records Description
Total
Retention
Comments / Reference
(OFR) Vital?
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.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works/ Utilities / Water & Recycled Water PW-600
Water Supply / Water Sources Usage (for Carlsbad Municipal Water District’s boundary) P Yes: After 3 months
Department preference; GC §60201
Public Works/ Utilities / Water & Recycled Water PW-605
Water Usage (for Carlsbad Municipal Water
District’s boundary) When No Longer Required
Yes: Until Superseded Yes: After 3
months
Preliminary drafts (the customer service database is the original); GC §60201
Public Works/ Utilities / Water & Recycled Water PW-610 Wells / Well Logs (includes abandoned or
destroyed wells) P Yes: After 3 months Department preference; GC §60201
Division
Providing
Service / Work PW-615
Work Orders / Service Requests CMMS
DATABASE (Computerized Maintenance
Management System) Indefinite Data is interrelated; GC §60201
Division
Providing
Service / Work PW-620 Work Orders / Service Requests - All
Information Entered in CMMS Database
When No Longer Required
Preliminary drafts (the database is the original); GC §60201
Division
Providing Service / Work
PW-625
Work Orders / Service Requests - NOT
entered in CMMS Database (or partial
information entered into CMMS Database)
(Division providing service retains originals; Division requesting service is considered a copy)
5 years District Preference; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, GC §60201
Adopted: 10/20/2020
RECORDS MANAGEMENT PROGRAM
Attachment B
Oct. 20, 2020 Item #2 Page 112 of 158
CITY OF CARLSBAD
RECORDS MANAGEMENT PROGRAM
TABLE OF CONTENTS
Section 1. Statement of policy
Section 2. City of Carlsbad Records Management
Section 3. Records definitions
Section 4. Records Management Department
Section 5. Ownership and custody of City records
Section 6. Duties and responsibilities of City Officials
Section 7. Records involved in public records requests, pending litigation, or auditing
Section 8. Records Management Program to be developed and approved
Section 9. Records Retention Schedule
Section 10. Destruction of records
Section 11. Conditions of destruction
Section 12. Inspection of public records
Section 13. Withholding records from inspection
Section 14. Records Protection and Disaster Recovery Planning Program
Oct. 20, 2020 Item #2 Page 113 of 158
SECTION 1. STATEMENT OF POLICY
A. The City of Carlsbad recognizes that the Citizens have a right to expect and the City has an
obligation to foster, efficient and cost-effective government and further recognizes the
central importance of the City records. The Records Management Department has a
responsibility to manage, protect, preserve and make available the city records.
B. It is the policy of the Records Management to provide for efficient, economical, and effective
controls over the creation, distribution, organization, maintenance, use, retention and
disposition of all records. This policy is implemented through a comprehensive program of
integrated procedures for the management of records from their creation to their ultimate
disposition, consistent with the requirements in accordance with the state and federal
regulations.
C. The declared purpose of the Records Management Program is to provide for the proper and
efficient administration of the City of Carlsbad records.
SECTION 2. CITY OF CARLSBAD RECORDS MANAGEMENT PROGRAM
All City records must be created, maintained, and disposed accordingly and all requirements,
policies and procedures established pursuant to the Records Management Program.
SECTION 3. RECORDS DEFINITIONS
Active: Records that are required for day-to-day business and are subject to frequent use;
generally referred to more than once per month per file drawer.
Administrative Value: A record that assists in the operation of government, and insures
administrative consistency and continuity, serving a particular purpose for that
office at that particular time. In appraisal, the usefulness of records for the conduct
of current and/or future administrative business needs.
Adoption: Final action by a legislative body.
AIIM: Association for Information and Image Management.
Oct. 20, 2020 Item #2 Page 114 of 158
Alphanumeric: A filing system combining alphabetic and numeric symbols.
ANSI: American National Standards Institute.
Appraisal: Review of information gathered from a records inventory. Each identifiable
records series can be appraised for its legal, financial, administrative, and
historical value for the purpose of establishing retention periods.
Archival Record: A record with permanent retention because of its historical, legal or
fiscal value.
Archives: A repository for housing permanent or historic records, whether in hard copy,
electronic, microfilm or imaging form, which must be preserved and protected
from destruction.
ARMA: Association of Records Managers and Administrators, Inc.
Audit: Review for acceptance of records relating to operations, policies and procedures,
financial documentation and historical documents by regulating agencies.
CD-ROM: A storage medium that uses lasers to encode images or information in digital
form and to read the image data from the disk.
Closed/Completed: A file or record on which action has been completed and to which
an audit or further action is not likely to occur.
Coding: Marking the indexing units on the document to be filed.
Commercial Records Center: A records center, operated by a private company, housing
the records of many different companies on a fee basis.
Confidential Records: Those records to which access by unauthorized City personnel
and/or the public are not permitted, for example: personnel records.
Copy: A reproduction of the contents of an original document, which is not the official
file copy of the agency. Copies are usually identified by their function, i.e.,
action copy, reading file copy, tickler file copy, etc. In most instances, copies
will have a shorter retention than the official file copy of a record series.
Current: Records when specified as the minimum retention period means that
superseded, rescinded, expired, or no longer useful records may be removed
from the files and also may be destroyed.
Oct. 20, 2020 Item #2 Page 115 of 158
Disposition: The allocation of public records to a particular location according to their
categorization of destruction.
Electronic Filing: Storage and retrieval of information in digital form.
Environmental Records: Records relating to the growth and/or development of the City,
its structures, and its inhabitants.
File Integrity: Accuracy and completeness of the file/records.
Financial Records: Budget, financial status reports, balances sheets, and statements of
income and expenditures; records of official bonds; records of wages paid to
person engaged in public work; rate or fee schedules, etc.
Fiscal Value: Documents and accounts for receipt of or expenditure of public funds such as
budget, ledgers or accounts receivable and payable, payrolls, and vouchers.
Documents availability of funds for operational purposes. In appraisal, records
required until a financial audit is completed or financial obligations are fulfilled.
Hard Copy: Original paper document.
Historical Value: Refers to the retention of records which have enduring value because
they reflect significant historical events or document the history and
development of the City.
Holdings: Total volume of records stored in a records center.
Inactive Records: Records that are no longer used for daily operations and have not
been used for at least six months are considered inactive. Records become
inactive prior to eligible destruction dates.
Inventory: process of examining records on hand to determine their function, content,
and dates in order to assign retention/disposition information.
Legal Citation: Identifies laws and regulations, which regulate retention of the record
series.
Legal Retention: Based on the legal citation, this identifies the period of time the record
series is required to be retained.
Legal Value: Refers to the retention of records containing evidence of legally
enforceable right or obligations. Examples are decisions and opinions; fiscal
Oct. 20, 2020 Item #2 Page 116 of 158
documents representing agreements, such as leases, titles and contracts; and
records of action in particular cases, such as claim papers and legal dockets.
Life: A record that has continuing value to the organization.
Linear Inches: Linear measurement in inches of paper-based records.
Master: Original or copy of a document from which copies are made.
Microfilm and Machine-Readable Records: Microforms and other machine readable record
of research or archival value.
Microfiche: 4" x 6" sheet of microfilm with rows and columns of images. It usually
contains a tile which can be read without magnification.
Microfilm: Fine-grain, high resolution film containing an image greatly reduced in size
from the original.
Minimum Retention Period: The least amount of time a record must be kept determined
by assessment of administrative, legal, fiscal and historical values.
National Bureau of Standards: Bureau of the United States Government established by an
Act of Congress on March 3, 1901, which conducts research and provides standards
to industry and government to: increase productivity and innovation; strengthen
and advance science and technology; and facilitate their effective application for
public benefit.
Non-Record Material: Material that does not need to be filed or that can be destroyed
after a short retention. This includes duplicates, drafts, worksheets, routine
replies, and records not related to City business or produced by the City.
Numeric Filing: Arrangement of records in ascending order or sequence.
Office of Record: The department that created or is responsible for retaining the official
record or record copy.
Optical Disk: A storage medium that uses lasers to encode images or information in
digital form and to read the image data from the disk.
Original: Document from which copies are produced.
Oct. 20, 2020 Item #2 Page 117 of 158
Permanent: Recorded information which is required by law to be retained indefinitely;
or which has been designated for continuous preservation because of its
administrative, fiscal or historical significance.
Personnel Records: Organization charts, job descriptions, salary schedules, employee
history records, union contracts, etc.
Property Records: Records Affecting the title to real property owned by the City and
equipment inventory.
Public Record: Any writing, regardless of physical form or characteristics, which is
created, owned, used, maintained or retained in the conduct of City business
and preserved as evidence of the organization, functions, policies, decisions,
procedures, operations or other activities, or because of its informational
value, unless the writing is exempt from disclosure under the California Public
Records Act.
Reader: Machine that magnifies the microfilm for viewing.
Reader/Printer: Machine that magnifies the microfilm for viewing and can reproduce
the enlarged microfilm images.
Record: Recorded information of any kind and in any form.
Record Copy: The original or official copy of a record maintained by an agency,
sometimes referred to as the designated original, or blue-ribbon copy.
Records Center: Central repository for housing inactive records until they have met their
retention requirements and may be destroyed.
Records Management: Systematic control of the creation, acquisition, processing, use,
protection, storage, and final disposition of all public records, including the
establishment and maintenance of a system of filing and indexing public
records.
Records Manager: Individual within the organization who is assigned the responsibility of
systematically and scientifically controlling the recorded information
generated and received by the City.
Records Retrieval: Locating documents and delivering them for use.
Oct. 20, 2020 Item #2 Page 118 of 158
Records Series: Group of identical or related records that are used filed and disposed of in
the same way.
Refile: The process of returning a record to its original place in a file after it has been
withdrawn.
Retention Period: The period of time that records must be kept according to legal and/or
organizational requirements.
Retention Schedule: Document, approved by the City Council, describing the records
maintained by the City and specifying, in accordance with statutory requirement
or evaluation, the period of time which must elapse before they may be destroyed.
Retrieval: Locating documents and delivering them for use.
Supersede: The replacement of an existing document.
Termination: Designates the end of a specific term (e.g., appointed elected official's
terms, employment, training, course, program, use or ownership).
Transfer List: A list describing the contents of a group of records that are transmitted
from one holding area to another, usually from active files to a records center.
Visual Documents: Photographs, motion pictures, videotapes, diagrams, charts, maps
or drawings of archival, cultural, architectural, engineering, research or
technical value.
Vital Record: Records containing information essential for the resumption of operation
after a disaster or the reestablishment of the legal and financial status of the
organization.
Writing: Handwriting, typewriting, printing, photocopy, photographing, and every other
means of recording upon any form of communication or representation,
including letters, words, pictures, sounds, or symbols, or combination thereof,
and all papers, maps, magnetic or paper tapes, photographic films and prints,
magnetic or punch cards, discs, drums, and other documents.
Oct. 20, 2020 Item #2 Page 119 of 158
SECTION 4. RECORDS MANAGEMENT DEPARTMENT
The Records Management Department manages the official files for the City of
Carlsbad and is responsible for maintaining and updating the Records Retention
Schedule; Records Management Guidelines and Procedures; and Records
Destruction Request for the City of Carlsbad.
The Records Management Department provides a service function to the
community as well as a service-oriented support function to other departments
within the City of Carlsbad structure. The Goal of the department is to
anticipate and meet the changing needs of both the citizens and internal
departments of the City.
SECTION 5. OWNERSHIP AND CUSTODY OF CITY RECORDS
A. Every city record is the property of the City of Carlsbad. No City officer or employee has,
by virtue of the position of the position any personal or property right to a City record
even though the City officer or employee may have developed or compiled the record.
The unauthorized alteration, destruction, deletion, removal from files, or use of a city
record is prohibited. A City record exempted from public disclosure under the state and
federal laws is not made subject to disclosure by its designation as City property.
B. A City record may not be sold, loaned, given away, destroyed, or otherwise alienated
from the City's custody unless in accordance with state and federal laws or unless
destroyed as directed by a resolution or ordinance adopted by the City Council. This
subsection does not apply to a City record that is temporarily transferred to a contractor
for purposes of microfilming, duplication, conversion to electronic media, restoration,
or a similar records management preservation procedure if the transfer is authorize by
the Records Manager.
C. The legal custody of a City record created or received by a department during the course
of business remains with the department manager or with any designated successor.
The legal custodian, as guardian of the record does not relinquish responsibility for the
care, preservation, or legal disposition of the record even though another department
or agency may hold physical custody of the record for maintenance and preservation
purposes. The physical custodian of the record is responsible for complying with all the
Records Management Program requirements, policies, and procedures. An original City
record may not leave the custody of the department concerned when being used by a
member of the public.
Oct. 20, 2020 Item #2 Page 120 of 158
D. The legal and physical custody of a City record that has continuing historical value to the
City may be transferred to the Records Management Department upon agreement
between the department manager and the Records Manager.
E. The Records Management Department shall review and determine as necessary
custodial responsibilities of the Records Management Program, whether is under a
citywide electronic application or manual archiving implemented for the preservation
and control of City records.
SECTION 6. DUTIES AND RESPONSIBILITIES
A. City Council:
The ultimate responsibility for the keeping and management of all public records of the
City shall rest with the City Council.
B. City Attorney:
It shall be the duty of the City Attorney to review and approve record retention and
destruction schedules and records destruction requests in accordance with federal,
state and local laws.
C. Officers and Employees:
It shall be the duty of each officer and employee of the City of Carlsbad to protect,
preserve, store, transfer, destroy or otherwise dispose of, use and manage public
records only in accordance with applicable federal, state and local laws, and such rules
as may be promulgated or approved by the City Council.
D. Records Manager:
It shall be the duty of the Records Manager to coordinate the Records Management
Program for the City of Carlsbad. Among other things, the Records Manager may, for
the proper and efficient management of the public records:
1) Develop and circulate such instructions and regulations, as may be necessary
and proper to implement and maintain the Records Management Program;
2) Advise and assist City departments in the preparation of records inventories and
retention schedules;
Oct. 20, 2020 Item #2 Page 121 of 158
3) Coordinate the off-site storage of records no longer required in active office
areas but which require further retention for legal or operating reasons; and
maintain an index to all records stored in the Center;
4) Maintain archives to house records of a permanent or historic nature which should
not be destroyed;
5) Advise and assist City departments in reviewing and selecting records to be
transferred to the storage center or archives;
6) Advise and assist City departments in conducting surveys, studies, and investigations
to promote a proper and efficient Records Management Program for the City;
including an information retrieval system;
7) Submit records retention schedules, which affect the destruction of records, to the
City Council for approval;
8) Develop procedures for the protection of City records against natural or other
disasters.
9) Ensure that the creation, maintenance, preservation, microfilming, document
imaging, electronic storage, destruction, or other disposition of City records is
carried out in accordance with the approved Records Management Program.
10) In cooperation with department managers, incorporate records management
objectives, responsibilities, and authorities in pertinent department directives with
the Records Management Program.
E. City Departments:
Each City department shall implement and maintain an active, continuing program for the
economical and efficient management of the public records of the department, under or
according to provisions of the approved Records Management Program. Such program shall,
among other things provide for:
1) Effective controls over the creation, maintenance, and use of public records in the
conduct of business;
2) The maintenance and security of records deemed appropriate for preservation;
3) Segregation and disposal of records of temporary value in accordance with
established retention schedules.
Oct. 20, 2020 Item #2 Page 122 of 158
Those public records that are not required in the current operation of the office where they
are made or kept shall be transferred to Records storage until they have met their specific
retention requirements and may be destroyed; or to the Archives, (if of a permanent or
historic nature) so they may be insured permanent preservation. All records, which can
properly be abolished or discontinued, shall be destroyed in accordance with Section 10
hereinafter specified.
SECTION 7. RECORDS INVOLVED IN PUBLIC RECORDS REQUESTS, PENDING
LITIGATION, OR AUDITING
The destruction of the City record involved in a pending request for investigation, pending
litigation, or a pending audit is prohibited, even if the destruction of the record is authorized
by an approved and adopted Records Retention Schedule.
SECTION 8. RECORDS MANAGEMENT PROGRAM TO BE DEVELOPED AND
APPROVED
The Records Manager shall develop and establish a citywide Records Management Program,
subject to the approval of the City Council. This program must contain standards, policies and
procedures for the administration of the City records. The Records Management Program
standards, policies and procedures must:
I) Adequately protect the essential records of the City;
2) Properly preserve City records that are of historical value;
3) Establish criteria for citywide and departmental Records Management Program
compliance including requirements for conducting departmental records inventories,
preparing retention schedules and certifying retention and disposition schedules and
electronic media recordkeeping systems;
4) Establish functional recordkeeping requirements to improve the efficiency of the
archiving of City records and to ensure the creation of adequate and proper
documentation of the City's activities and transactions;
Oct. 20, 2020 Item #2 Page 123 of 158
5) Create policies for the retrieval of records from a media device;
6) Create policies to address Records Management Program requirements and needs as
technology evolves;
7) Provide for review by the Records Manager of all electronic recordkeeping systems
design prior to purchase and implementation of the systems;
8) Ensure the development and maintenance of up-to-date documentation for all
electronic records systems that will adequately specify the technical characteristics of
each system necessary to reading, processing, or preserving City records until
disposition of the records is authorized;
9) Provide for the creation of adequate audit trails;
10) Incorporate electronic records management objectives, responsibilities, and
authorities in pertinent City directives, policies and procedures;
11) Ensure the ability to access City records regardless of form or medium.
The Records Management Program standards, policies and procedures are binding on all
city officers and employees and on all departments, agencies, commissions and
committees, and similar entities of the City of Carlsbad.
SECTION 9. RECORDS RETENTION SCHEDULE
The Records Manager, in cooperation with department managers, shall prepare records
retention and disposition schedules that describe and establish the retention periods for
City records created or revised by each department, these retention periods for all City
records must be established accordingly. A records retention schedule must contain such
information regarding the disposition of the City records as the Records Management
Program may require.
A. Every City record identified and listed in the Records Retention Schedule, in any
amendment to the schedule, or in any request for destruction of the record must be
specifically described. Any Records Retention Schedule, amendment to a schedule, or
request for destruction of a record that contains general terms such as "miscellaneous"
and "various" to describe any record identified in such a document may not be
submitted for approval.
Oct. 20, 2020 Item #2 Page 124 of 158
B. Each Records Retention Schedule must be monitored and amended as needed by the
Records Manager to ensure that the schedule is in compliance with state and federal
regulations.
C. With the consent of the City Clerk, 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 are defined as changes in department or division names, improvements in
descriptions for clarification purposes, and any additional comments as reference. Adding
new record types, deletions of existing line items or changes in the length of the retention
period must be presented to the City Council prior to taking affect.
D. Before its adoption by the City Council, a Records Retention Schedule must be
reviewed by the Records Manager, the department managers and the City Attorney.
E. A department manager shall notify the Records Manager when a City record is eligible
for destruction and shall prepare and submit a Records Destruction Request Form.
SECTION 10. DESTRUCTION OF RECORDS
Before a City record can be destroyed under an approved Records Retention Schedule, the
record must meet the requirements under the Records Management Program, unless the
approved Records Retention Schedule specifies that the record may be destroyed without
additional review or approval by the City Council.
City records require no further approval by the City Council for destruction as long as they
are listed on the approved Records Retention Schedule. The destruction of these records
follow the guidelines based on the Records Management Program and the retention time
frames listed on the Records Retention Schedule.
The records must be identified and documented by a record series on the approved Records
Retention Form, which must be signed by the department's manager, Records Manager
and City Attorney.
A City record whose retention period has expired on an approved Records Retention
Schedule must be destroyed unless it is categorized under the following exemptions for
destruction:
A. Records affecting the title to real property or liens thereon;
B. Court records;
Oct. 20, 2020 Item #2 Page 125 of 158
C. Records required to be kept by statute;
D. Records less than two years old;
E. Minutes, ordinances, or resolutions of the City Council or of a City Board or Commission.
F. The subject matter of the records is pertinent to pending litigation or a pending audit.
This section shall not be construed as limiting or qualifying in any manner the authority
provided in Section 11 hereinafter provided for the destruction of records, documents,
instruments, books, and papers in accordance with the procedures therein prescribed.
SECTION 11. CONDITIONS OF DESTRUCTION
Notwithstanding the provisions of Section 10, the Records Manager having custody of City
records may, without the approval of the City Council or the written consent of the City
Attorney, cause to be destroyed any or all such records if all the following conditions under
the California Government Code Section 34090.5 are met:
A. The record is photographed, micro photographed, or reproduced on film of a type
approved for permanent photographic records by the National Bureau of Standards; or
imaged and placed into the City's document management system electronic vault;
B. The photographs, microphotographs, film, and other reproductions have the required
certificate of authenticity on each roll, fiche, or series;
C. The device used to reproduce such record, paper or document on film or image is one
that accurately and legibly reproduces the original thereof in all details;
D. The photographs, microphotographs, images, or other reproductions on file are made
accessible for public reference as the book records were;
E. A true copy of archival quality of such film reproductions or image shall be kept in a
safe and separate place for security purpose.
Oct. 20, 2020 Item #2 Page 126 of 158
SECTION 12. INSPECTION OF PUBLIC RECORDS
Public City records shall be available for inspection and/or copying in accordance with
any procedures established by the City Manager and the provisions of the California
Public Records Act.
SECTION 13. WITHHOLDING RECORDS FROM INSPECTION
City staff may disallow inspection of any City record that is exempt from disclosure
under the California Public Records Act or other applicable law. If City staff is uncertain
whether a particular City record is subject to or exempt from disclosure, City staff
should consult with the City Attorney's office for guidance.
SECTION 14. RECORDS PROTECTION AND DISASTER RECOVERY PLANNING
PROGRAM
The purposes of this program element are to:
A. Control the records that are essential to the continued functioning or
reconstruction of the City during and after an emergency.
B. Safeguard those records essential to protecting the rights and interests of the City
of Carlsbad directly affected.
C. Provide an emergency preparedness for the protection of the City Records in the
event of any natural disaster and fire hazards.
D. The Records Manager shall provide necessary direction, coordination, and guidance
so that a comprehensive emergency preparedness program exists for all hazards
that may affect the City Records.
E. Certain measures and provisions have been implemented for the protection and
preservation of City records and are as follows:
Oct. 20, 2020 Item #2 Page 127 of 158
1) Transfer under an authorized inventory certain City Records for storage, from an
off-site City facility to a designated storage area, for the purpose of any
accidental, natural, man- caused, or toxic and fire hazard which causes or may
cause substantial damage to the City records of the City of Carlsbad.
2) Implementation of an electronic records media, transforming all original City records
into a digital document imaging system, and to be stored inside of an electronic
device such as disk, tape, or CD-ROM; which will be placed in a designated off-site
storage area.
F. Each department manager shall comply with the Records Management Program in
order to ensure the protection and preservation of City Records in the event of a natural
or hazard disaster as describe in this section.
Oct. 20, 2020 Item #2 Page 128 of 158
FILE NO. New
Retention
No. RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD RETENTION New Retention
0120-20 HR-130 LOSS RECOVERY FILES RISK MANAGEMENT CU+2 Final resolution + 5 years
0300-40 CC-065 BCC APPOINTEES CLERK TE+5 Permanent
0300-45 CC-045 BCC APPLICATIONS (Not Appointed)CLERK CL+2 Permanent
0305-15 CC-065 AD HOC BCC APPOINTEES CLERK TE+7 Permanent
0305-17 CC-010 AD HOC BCC APPLICATIONS (Not
appointed) CLERK CL+2 Permanent
0310-40 CC-005 MEETING AGENDAS & NOTICES ARTS City Clerk CU+ 2 Permanent
0315-40 CC-005 MEETING AGENDAS & NOTICES P&R CLERK CU+ 2 Permanent
0325-40 CC-005 MEETING AGENDAS & NOTICES LIB City Clerk CU+ 2 Permanent
0330-40 CC-005 MEETING AGENDAS & NOTICES HNS City Clerk CU+ 2 Permanent
0335-40 CC-005 MEETING AGENDAS & NOTICES LIB City Clerk CU+ 2 Permanent
0340-40 CC-005 MEETING AGENDAS & NOTICES P&R City Clerk CU+ 2 Permanent
0350-40 CC-005 MEETING AGENDAS & NOTICES PLN City Clerk CU+ 2 Permanent
0355-40 CC-005 MEETING AGENDAS & NOTICES SENIORS City Clerk CU+ 2 Permanent
0360-40 CC-005 MEETING AGENDAS & NOTICES ARTS City Clerk CU+ 2 Permanent
0365-40 CC-005 MEETING AGENDAS & NOTICES TRANS City Clerk CU+ 2 Permanent Exhibit 2Oct. 20, 2020 Item #2 Page 129 of 158
FILE NO. New
Retention
No.
RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD
RETENTION
New Retention
0370-40 CC-005 MEETING AGENDAS & NOTICES TRANS CU+ 2 Permanent
0400-15 ASDF-005 ACCOUNTS PAYABLE CHECK REQUESTS FIN AU+4
V 7 years
0400-30 ASDF-095 FIXED ASSETS FIN AU+4
V 7 years
0400-40 ASDF-005 ACCOUNTS PAYABLE CHECK REGISTERS FIN AU+4
V 7 years
0400-45 ASDF-000 FORMS 1099 FIN AU+5 7 years
0400-82 ASDF-090 IFAS - G/L MODULE -
SUMMARY DATABASE
FIN 20 Indefinite
0400-84 ASDF-090 IFAS - G/L MODULE - DETAIL DATABASE FIN 10 Indefinite
0400-86 ASDF-090 IFAS - ACCOUNTS PAYABLE MODULE
DATABASE
FIN AU+4
V
Indefinite
0400-88 ASDF-090 IFAS - ACCOUNTS RECEIVABLE MODULE
DATABASE FIN AU+4
V Indefinite
0400-90 ASDF-135 ACCOUNTING REPORTS FIN AU+4 When no longer
required
0420-50 ASDF-135 DAILY BALANCE WORKSHEETS FIN, TREASURER AU+5 When no longer
required
0420-55 ASDF-135 MONTHLY BANK RECONCILIATIONS FIN, TREASURER AU+5 When no longer
required
0440-10 ASDF-035 CONTINUING DISCLOSURE REPORTS FIN CL+10 Fully Defeased + 10
years
0440-15 ASDF-035 MORTGAGE REVENUE BONDS, SINGLE &
MULTI-FAMILY (Transcript Binders) CLERK, FIN, HNS. PE
V
Fully Defeased + 10
years
Oct. 20, 2020 Item #2 Page 130 of 158
FILE NO. New
Retention
No.
RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD
RETENTION
New Retention
0440-20
ASDF-035
ASSESSMENT DISTRICTS
(Transcript Binders, Diagrams, & recorded
documents)
CLERK, FIN, LDE PE
V
Fully Defeased + 10
years
0440-30 ASDF-035 GENERAL OBLIGATION BONDS
(1911 & 1915 ACT - Transcript Binders) CLERK, FIN PE
V
Fully Defeased + 10
years
0440-35 ASDF-035 REVENUE BONDS, OTHER CLERK, FIN PE
V
Fully Defeased + 10
years
0440-40 ASDF-035 CERTIFICATES OF PARTICIPATION CLERK, FIN PE
V
Fully Defeased + 10
years
0440-45 ASDF-035 COMMUNITY FACILITIES DISTRICTS
(MELLO ROOS) CLERK, FIN PE
V
Fully Defeased + 10
years
0440-50 ASDF-035 TAX ALLOCATION BONDS CLERK, FIN PE
V
Fully Defeased + 10
years
0440-55 ASDF-035 WATER DISTRICT BONDS CLERK, FIN PE
V
Fully Defeased + 10
years
0455-20 ASDF-215 PERS REPORTS
(Bi-weekly & Annual Actuarials) FIN AU+6 Permanent
0470-33 HR-135
CERTIFICATES OF INSURANCE
INSURANCE CERTIFICATES FOR VENDOR
CONTRACTS
VARIOUS DEPTS PE 11 years
0470-45
ASDF-260 ASDF-265
BIDS/QUOTES/PROPOSALS (Awarded &
Not awarded)
PURCHASING
AU+4
Awarded: Contract
Expiration + 5 years
Not awarded: 2 years
0480-26 ASDF-210 UTILITY BILLING DATABASE FIN AU+4 Indefinite
0480-36 ASDF-170 BUSINESS LICENSE DATABASE FIN PE Indefinite
0490-20 ASDF-115 INVESTMENT PORTFOLIO TREASURER AU+10 7 years
Oct. 20, 2020 Item #2 Page 131 of 158
FILE NO. New
Retention
No.
RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD
RETENTION
New Retention
0490-50 ASDF-100 INVESTMENT COMMITTEE MINUTES TREASURER 5 Minimum 2 years
0540-20 CD-145 DEMOGRAPHIC INFORMATION CENSUS
DEMOGRAPHICS
PLN PE When no longer
needed
0550-10
HS-030
AFFORDABLE HOUSING PROGRAMS
Housing Programs: Affordable Housing
Projects, Rehabilitation, CDBG-funded
Housing Projects, etc. WITH a Recapture /
Resale Restriction
HNS
AU+7
5 years after the
Affordability Period
Terminates of the
Written Agreement
Terminates, whichever
is Longer
0630-60 FR-125 FIRE SYSTEMS - SHELL BUILDINGS FIRE PREVENTION PE Life of Structure
0630-65
FR-125
FIRE SYSTEMS - TENANT
IMPROVEMENTS
(Special instructions - see Fire Dept.)
FIRE PREVENTION PE
(Unless SU)
Life of Structure
0640-30 PW-072 MASTER PLANS UTL CU+2 Permanent
0740-20 CW-002 AFFIDAVITS OF PUBLICATION CLERK Lead
Department CU+4 2 years
0740-30 CC-190 OATHS OF OFFICE - ELECTED OFFICIALS CLERK TE + 6 Permanent
0740-71 CC-185 MUNICIPAL CODE AMENDMENTS (MCA's) CLERK CU + 2 When no longer
needed
0750-07
CC-205
PUBLIC COMMENT INFORMATION Public
Comment Records (submitted by members of
the public; pertains to items not on the
Agenda)
CLERK
5
2 years
Oct. 20, 2020 Item #2 Page 132 of 158
FILE NO. New
Retention
No.
RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD
RETENTION
New Retention
0770-10 NS-070 APPRAISALS/NEGOTIATIONS CLERK Housing
Neighborhood Services
CL+2 5 years
0810-07 HR-045 IFAS - HUMAN RESOURCES MODULE
DATABASE FIN, HR TE+10 Indefinite
0810-25 HR-090 PART-TIME EMPLOYEES (Hourly) HR, POLICE TE+5
V Separation + 6 years
0810-40 HR-090 3/4 TIME & FULL-TIME EMPLOYEES HR, POLICE TE+ 10
V
Separation + 6 years
0830-80
HR-060
SALARIES
(Classification & Compensation)
HR
PE
Supersede +
Minimum 3
years
0940-20
PW-111
OPERATIONS - MAINTENANCE (Reservoirs,
Etc.)
UTL
CU+2
Permanent
1000-70 CW-053 REPORTS & STUDIES UTL, TRANS 20 Permanent
1025-45 PW-0195 FLEET WORK ORDER DATABASE
(MAINTSTAR)
PEM 20 Indefinite
1035-37 ASDF-010 LIGHTING & LANDSCAPING DISTRICTS TRANS TE+2 7 years
1040-45 PW--260 TRAFFIC WARRANTS TRANS EX+5 10 years
1040-50 PW--260 TRAFFIC SIGNS TRANS EX+5 10 years
1040-55 PW-225 SIGNAL PROJECTS TRANS EX+5 10 years
Oct. 20, 2020 Item #2 Page 133 of 158
FILE NO. New
Retention
No.
RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD
RETENTION
New Retention
1055-50 PW-225 TRANSPORTATION PLANNING TRANS CU+5 10 years
1055-55 PW-225 PEAK HOUR TRAFFIC MANAGEMENT TRANS CU+5 10 years
1055-62 CW-049 STATE & LOCAL TRANSPORTATION
PARTNERSHIP PROGRAM (SLTPP)
TRANS CU+5 When No Longer
Required
1055-63 CW-049 TRANSPORTATION IMPROVEMENT
PROGRAM (TIP) TRANS CU+5 When No Longer
Required
1055-70 PW-210 TRANSPORTATION PROGRAMS TRANS CU+5 10 years
1055-75 PW-270 TRANSPORTATION SURVEYS TRANS CU+5 Permanent
1070-60 PW-355 RECYCLING PROGRAMS UTL SU+5 Permanent
1070-70 PW-355 MASTER PLANS UTL SU+2 Permanent
1120-25 LIB-005 CALIFORNIA STATE LIBRARY LIB CU+10 Final Expenditure + 5
years
1120-53 LIB-075 ADULT LEARNING SERVICE LIB CU+20 Inactive/Separation + 5
years
1120-56 LIB-050 MEDIA SERVICES LIB CU+20 10 days
1130-65 P&R-135 SCHOLARSHIP APPLICATIONS P&R CU+2 5 years
1210-20 PW-490 CONSERVATION Programs UTL CU+10 5 years
1210-25 PW-600 WATER SOURCES (Supply) UTL CU+15 Permanent
1210-30 PW-110 WATER QUALITY Improvement Plan UTL CU+15 Superseded + 5 years
Oct. 20, 2020 Item #2 Page 134 of 158
FILE NO. New
Retention
No.
RECORD CATEGORY & DESCRIPTION OFFICE OF
RECORD
RETENTION
New Retention
1210-70 PW-605 WATER USAGE UTL PE When no longer
needed
1230-55 PW-365 SEWER SYSTEMS MAINTENANCE UTL PE
V Minimum 5 years
Oct. 20, 2020 Item #2 Page 135 of 158
RECORDS MANAGEMENT PROGRAM
Exhibit 3
Oct. 20, 2020 Item #2 Page 136 of 158
CITY OF CARLSBAD
RECORDS MANAGEMENT PROGRAM
TABLE OF CONTENTS
Section 1. Statement of policy
Section 2. City of Carlsbad Records Management
Section 3. Records definitions
Section 4. Records Management Department
Section 5. Ownership and custody of City records
Section 6. Duties and responsibilities of City Officials
Section 7. Records involved in public records requests, pending litigation, or auditing
Section 8. Records Management Program to be developed and approved
Section 9. Records Retention Schedule
Section 10. Destruction of records
Section 11. Conditions of destruction
Section 12. Inspection of public records
Section 13. Withholding records from inspection
Section 14. Records Protection and Disaster Recovery Planning Program
Oct. 20, 2020 Item #2 Page 137 of 158
SECTION 1. STATEMENT OF POLICY
A. The City of Carlsbad recognizes that the Citizens have a right to expect and the City has an
obligation to foster, efficient and cost-effective government and further recognizes the
central importance of the City records. The Records Management Department has a
responsibility to manage, protect, preserve and make available the city records.
B. It is the policy of the Records Management to provide for efficient, economical, and effective
controls over the creation, distribution, organization, maintenance, use, retention and
disposition of all records. This policy is implemented through a comprehensive program of
integrated procedures for the management of records from their creation to their ultimate
disposition, consistent with the requirements in accordance with the state and federal
regulations.
C. The declared purpose of the Records Management Program is to provide for the proper and
efficient administration of the City of Carlsbad records.
SECTION 2. CITY OF CARLSBAD RECORDS MANAGEMENT PROGRAM
All City records must be created, maintained, and disposed accordingly and all requirements,
policies and procedures established pursuant to the Records Management Program.
SECTION 3. RECORDS DEFINITIONS
Active: Records that are required for day-to-day business and are subject to frequent use;
generally referred to more than once per month per file drawer.
Administrative Value: A record that assists in the operation of government, and insures
administrative consistency and continuity, serving a particular purpose for that
office at that particular time. In appraisal, the usefulness of records for the conduct
of current and/or future administrative business needs.
Adoption: Final action by a legislative body.
AIIM: Association for Information and Image Management.
Oct. 20, 2020 Item #2 Page 138 of 158
Alphanumeric: A filing system combining alphabetic and numeric symbols.
ANSI: American National Standards Institute.
Appraisal: Review of information gathered from a records inventory. Each identifiable
records series can be appraised for its legal, financial, administrative, and
historical value for the purpose of establishing retention periods.
Archival Record: A record with permanent retention because of its historical, legal or
fiscal value.
Archives: A repository for housing permanent or historic records, whether in hard copy,
electronic, microfilm or imaging form, which must be preserved and protected
from destruction.
ARMA: Association of Records Managers and Administrators, Inc.
Audit: Review for acceptance of records relating to operations, policies and procedures,
financial documentation and historical documents by regulating agencies.
CD-ROM: A storage medium that uses lasers to encode images or information in digital
form and to read the image data from the disk.
Closed/Completed: A file or record on which action has been completed and to which
an audit or further action is not likely to occur.
Coding: Marking the indexing units on the document to be filed.
Commercial Records Center: A records center, operated by a private company, housing
the records of many different companies on a fee basis.
Confidential Records: Those records to which access by unauthorized City personnel
and/or the public are not permitted, for example: personnel records.
Copy: A reproduction of the contents of an original document, which is not the official
file copy of the agency. Copies are usually identified by their function, i.e.,
action copy, reading file copy, tickler file copy, etc. In most instances, copies
will have a shorter retention than the official file copy of a record series.
Current: Records when specified as the minimum retention period means that
superseded, rescinded, expired, or no longer useful records may be removed
from the files and also may be destroyed.
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Disposition: The allocation of public records to a particular location according to their
categorization of destruction.
Electronic Filing: Storage and retrieval of information in digital form.
Environmental Records: Records relating to the growth and/or development of the City,
its structures, and its inhabitants.
File Integrity: Accuracy and completeness of the file/records.
Financial Records: Budget, financial status reports, balances sheets, and statements of
income and expenditures; records of official bonds; records of wages paid to
person engaged in public work; rate or fee schedules, etc.
Fiscal Value: Documents and accounts for receipt of or expenditure of public funds such as
budget, ledgers or accounts receivable and payable, payrolls, and vouchers.
Documents availability of funds for operational purposes. In appraisal, records
required until a financial audit is completed or financial obligations are fulfilled.
Hard Copy: Original paper document.
Historical Value: Refers to the retention of records which have enduring value because
they reflect significant historical events or document the history and
development of the City.
Holdings: Total volume of records stored in a records center.
Inactive Records: Records that are no longer used for daily operations and have not
been used for at least six months are considered inactive. Records become
inactive prior to eligible destruction dates.
Inventory: process of examining records on hand to determine their function, content,
and dates in order to assign retention/disposition information.
Legal Citation: Identifies laws and regulations, which regulate retention of the record
series.
Legal Retention: Based on the legal citation, this identifies the period of time the record
series is required to be retained.
Legal Value: Refers to the retention of records containing evidence of legally
enforceable right or obligations. Examples are decisions and opinions; fiscal
Oct. 20, 2020 Item #2 Page 140 of 158
documents representing agreements, such as leases, titles and contracts; and
records of action in particular cases, such as claim papers and legal dockets.
Life: A record that has continuing value to the organization.
Linear Inches: Linear measurement in inches of paper-based records.
Master: Original or copy of a document from which copies are made.
Microfilm and Machine-Readable Records: Microforms and other machine readable record
of research or archival value.
Microfiche: 4" x 6" sheet of microfilm with rows and columns of images. It usually
contains a tile which can be read without magnification.
Microfilm: Fine-grain, high resolution film containing an image greatly reduced in size
from the original.
Minimum Retention Period: The least amount of time a record must be kept determined
by assessment of administrative, legal, fiscal and historical values.
National Bureau of Standards: Bureau of the United States Government established by an
Act of Congress on March 3, 1901, which conducts research and provides standards
to industry and government to: increase productivity and innovation; strengthen
and advance science and technology; and facilitate their effective application for
public benefit.
Non-Record Material: Material that does not need to be filed or that can be destroyed
after a short retention. This includes duplicates, drafts, worksheets, routine
replies, and records not related to City business or produced by the City.
Numeric Filing: Arrangement of records in ascending order or sequence.
Office of Record: The department that created or is responsible for retaining the official
record or record copy.
Optical Disk: A storage medium that uses lasers to encode images or information in
digital form and to read the image data from the disk.
Original: Document from which copies are produced.
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Permanent: Recorded information which is required by law to be retained indefinitely;
or which has been designated for continuous preservation because of its
administrative, fiscal or historical significance.
Personnel Records: Organization charts, job descriptions, salary schedules, employee
history records, union contracts, etc.
Property Records: Records Affecting the title to real property owned by the City and
equipment inventory.
Public Record: Any writing, regardless of physical form or characteristics, which is
created, owned, used, maintained or retained in the conduct of City business
and preserved as evidence of the organization, functions, policies, decisions,
procedures, operations or other activities, or because of its informational
value, unless the writing is exempt from disclosure under the California Public
Records Act.
Reader: Machine that magnifies the microfilm for viewing.
Reader/Printer: Machine that magnifies the microfilm for viewing and can reproduce
the enlarged microfilm images.
Record: Recorded information of any kind and in any form.
Record Copy: The original or official copy of a record maintained by an agency,
sometimes referred to as the designated original, or blue-ribbon copy.
Records Center: Central repository for housing inactive records until they have met their
retention requirements and may be destroyed.
Records Management: Systematic control of the creation, acquisition, processing, use,
protection, storage, and final disposition of all public records, including the
establishment and maintenance of a system of filing and indexing public
records.
Records Manager: Individual within the organization who is assigned the responsibility of
systematically and scientifically controlling the recorded information
generated and received by the City.
Records Retrieval: Locating documents and delivering them for use.
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Records Series: Group of identical or related records that are used filed and disposed of in
the same way.
Refile: The process of returning a record to its original place in a file after it has been
withdrawn.
Retention Period: The period of time that records must be kept according to legal and/or
organizational requirements.
Retention Schedule: Document, approved by the City Council, describing the records
maintained by the City and specifying, in accordance with statutory requirement
or evaluation, the period of time which must elapse before they may be destroyed.
Retrieval: Locating documents and delivering them for use.
Supersede: The replacement of an existing document.
Termination: Designates the end of a specific term (e.g., appointed elected official's
terms, employment, training, course, program, use or ownership).
Transfer List: A list describing the contents of a group of records that are transmitted
from one holding area to another, usually from active files to a records center.
Visual Documents: Photographs, motion pictures, videotapes, diagrams, charts, maps
or drawings of archival, cultural, architectural, engineering, research or
technical value.
Vital Record: Records containing information essential for the resumption of operation
after a disaster or the reestablishment of the legal and financial status of the
organization.
Writing: Handwriting, typewriting, printing, photocopy, photographing, and every other
means of recording upon any form of communication or representation,
including letters, words, pictures, sounds, or symbols, or combination thereof,
and all papers, maps, magnetic or paper tapes, photographic films and prints,
magnetic or punch cards, discs, drums, and other documents.
Oct. 20, 2020 Item #2 Page 143 of 158
SECTION 4. RECORDS MANAGEMENT DEPARTMENT
The Records Management Department manages the official files for the City of
Carlsbad and is responsible for maintaining and updating the Records Retention
Schedule; Records Management Guidelines and Procedures; and Records
Destruction Request for the City of Carlsbad.
The Records Management Department provides a service function to the
community as well as a service-oriented support function to other departments
within the City of Carlsbad structure. The Goal of the department is to
anticipate and meet the changing needs of both the citizens and internal
departments of the City.
SECTION 5. OWNERSHIP AND CUSTODY OF CITY RECORDS
A. Every city record is the property of the City of Carlsbad. No City officer or employee has,
by virtue of the position of the position any personal or property right to a City record
even though the City officer or employee may have developed or compiled the record.
The unauthorized alteration, destruction, deletion, removal from files, or use of a city
record is prohibited. A City record exempted from public disclosure under the state and
federal laws is not made subject to disclosure by its designation as City property.
B. A City record may not be sold, loaned, given away, destroyed, or otherwise alienated
from the City's custody unless in accordance with state and federal laws or unless
destroyed as directed by a resolution or ordinance adopted by the City Council. This
subsection does not apply to a City record that is temporarily transferred to a contractor
for purposes of microfilming, duplication, conversion to electronic media, restoration,
or a similar records management preservation procedure if the transfer is authorize by
the Records Manager.
C. The legal custody of a City record created or received by a department during the course
of business remains with the department manager or with any designated successor.
The legal custodian, as guardian of the record does not relinquish responsibility for the
care, preservation, or legal disposition of the record even though another department
or agency may hold physical custody of the record for maintenance and preservation
purposes. The physical custodian of the record is responsible for complying with all the
Records Management Program requirements, policies, and procedures. An original City
record may not leave the custody of the department concerned when being used by a
member of the public.
Oct. 20, 2020 Item #2 Page 144 of 158
D. The legal and physical custody of a City record that has continuing historical value to the
City may be transferred to the Records Management Department upon agreement
between the department manager and the Records Manager.
E. The Records Management Department shall review and determine as necessary
custodial responsibilities of the Records Management Program, whether is under a
citywide electronic application or manual archiving implemented for the preservation
and control of City records.
SECTION 6. DUTIES AND RESPONSIBILITIES
A. City Council:
The ultimate responsibility for the keeping and management of all public records of the
City shall rest with the City Council.
B. City Attorney:
It shall be the duty of the City Attorney to review and approve record retention and
destruction schedules and records destruction requests in accordance with federal,
state and local laws.
C. Officers and Employees:
It shall be the duty of each officer and employee of the City of Carlsbad to protect,
preserve, store, transfer, destroy or otherwise dispose of, use and manage public
records only in accordance with applicable federal, state and local laws, and such rules
as may be promulgated or approved by the City Council.
D. Records Manager:
It shall be the duty of the Records Manager to coordinate the Records Management
Program for the City of Carlsbad. Among other things, the Records Manager may, for
the proper and efficient management of the public records:
1) Develop and circulate such instructions and regulations, as may be necessary
and proper to implement and maintain the Records Management Program;
2) Advise and assist City departments in the preparation of records inventories and
retention schedules;
Oct. 20, 2020 Item #2 Page 145 of 158
3) Coordinate the off-site storage of records no longer required in active office
areas but which require further retention for legal or operating reasons; and
maintain an index to all records stored in the Center;
4) Maintain archives to house records of a permanent or historic nature which should
not be destroyed;
5) Advise and assist City departments in reviewing and selecting records to be
transferred to the storage center or archives;
6) Advise and assist City departments in conducting surveys, studies, and investigations
to promote a proper and efficient Records Management Program for the City;
including an information retrieval system;
7) Submit records retention schedules, which affect the destruction of records, to the
City Council for approval;
8) Develop procedures for the protection of City records against natural or other
disasters.
9) Ensure that the creation, maintenance, preservation, microfilming, document
imaging, electronic storage, destruction, or other disposition of City records is
carried out in accordance with the approved Records Management Program.
10) In cooperation with department managers, incorporate records management
objectives, responsibilities, and authorities in pertinent department directives with
the Records Management Program.
E. City Departments:
Each City department shall implement and maintain an active, continuing program for the
economical and efficient management of the public records of the department, under or
according to provisions of the approved Records Management Program. Such program shall,
among other things provide for:
1) Effective controls over the creation, maintenance, and use of public records in the
conduct of business;
2) The maintenance and security of records deemed appropriate for preservation;
3) Segregation and disposal of records of temporary value in accordance with
established retention schedules.
Oct. 20, 2020 Item #2 Page 146 of 158
Those public records that are not required in the current operation of the office where they
are made or kept shall be transferred to Records storage until they have met their specific
retention requirements and may be destroyed; or to the Archives, (if of a permanent or
historic nature) so they may be insured permanent preservation. All records, which can
properly be abolished or discontinued, shall be destroyed in accordance with Section 10
hereinafter specified.
SECTION 7. RECORDS INVOLVED IN PUBLIC RECORDS REQUESTS, PENDING
LITIGATION, OR AUDITING
The destruction of the City record involved in a pending request for investigation, pending
litigation, or a pending audit is prohibited, even if the destruction of the record is authorized
by an approved and adopted Records Retention Schedule.
SECTION 8. RECORDS MANAGEMENT PROGRAM TO BE DEVELOPED AND
APPROVED
The Records Manager shall develop and establish a citywide Records Management Program,
subject to the approval of the City Council. This program must contain standards, policies and
procedures for the administration of the City records. The Records Management Program
standards, policies and procedures must:
I) Adequately protect the essential records of the City;
2) Properly preserve City records that are of historical value;
3) Establish criteria for citywide and departmental Records Management Program
compliance including requirements for conducting departmental records inventories,
preparing retention schedules and certifying retention and disposition schedules and
electronic media recordkeeping systems;
4) Establish functional recordkeeping requirements to improve the efficiency of the
archiving of City records and to ensure the creation of adequate and proper
documentation of the City's activities and transactions;
Oct. 20, 2020 Item #2 Page 147 of 158
5) Create policies for the retrieval of records from a media device;
6) Create policies to address Records Management Program requirements and needs as
technology evolves;
7) Provide for review by the Records Manager of all electronic recordkeeping systems
design prior to purchase and implementation of the systems;
8) Ensure the development and maintenance of up-to-date documentation for all
electronic records systems that will adequately specify the technical characteristics of
each system necessary to reading, processing, or preserving City records until
disposition of the records is authorized;
9) Provide for the creation of adequate audit trails;
10) Incorporate electronic records management objectives, responsibilities, and
authorities in pertinent City directives, policies and procedures;
11) Ensure the ability to access City records regardless of form or medium.
The Records Management Program standards, policies and procedures are binding on all
city officers and employees and on all departments, agencies, commissions and
committees, and similar entities of the City of Carlsbad.
SECTION 9. RECORDS RETENTION SCHEDULE
The Records Manager, in cooperation with department managers, shall prepare records
retention and disposition schedules that describe and establish the retention periods for
City records created or revised by each department, these retention periods for all City
records must be established accordingly. A records retention schedule must contain such
information regarding the disposition of the City records as the Records Management
Program may require.
A. Every City record identified and listed in the Records Retention Schedule, in any
amendment to the schedule, or in any request for destruction of the record must be
specifically described. Any Records Retention Schedule, amendment to a schedule, or
request for destruction of a record that contains general terms such as "miscellaneous"
and "various" to describe any record identified in such a document may not be
submitted for approval.
Oct. 20, 2020 Item #2 Page 148 of 158
B. Each Records Retention Schedule must be monitored and amended as needed by the
Records Manager, with approval from the City Council, to ensure that the schedule is
in compliance with state and federal regulations.
B.C. With the consent of the City Clerk, 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 are defined as changes in department or division names,
improvements in descriptions for clarification purposes, and any additional comments as
reference. Adding new record types, deletions of existing line items or changes in the
length of the retention period must be presented to the City Council prior to taking affect.
C.D. Before its adoption by the City Council, a Records Retention Schedule must be
reviewed by the Records Manager, the department managers and the City Attorney.
D.E. A department manager shall notify the Records Manager when a City record is
eligible for destruction and shall prepare and submit a Records Destruction Request
Form.
SECTION 10. DESTRUCTION OF RECORDS
Before a City record can be destroyed under an approved Records Retention Schedule, the
record must meet the requirements under the Records Management Program, unless the
approved Records Retention Schedule specifies that the record may be destroyed without
additional review or approval by the City Council.
City records require no further approval by the City Council for destruction as long as they
are listed on the approved Records Retention Schedule. The destruction of these records
follow the guidelines based on the Records Management Program and the retention time
frames listed on the Records Retention Schedule.
The records must be identified and documented by a record series on the approved Records
Retention Form, which must be signed by the department's manager, Records Manager
and City Attorney.
A City record whose retention period has expired on an approved Records Retention
Schedule must be destroyed unless it is categorized under the following exemptions for
destruction:
A. Records affecting the title to real property or liens thereon;
B. Court records;
Oct. 20, 2020 Item #2 Page 149 of 158
C. Records required to be kept by statute;
D. Records less than two years old;
E. Minutes, ordinances, or resolutions of the City Council or of a City Board or Commission.
F. The subject matter of the records is pertinent to pending litigation or a pending audit.
This section shall not be construed as limiting or qualifying in any manner the authority
provided in Section 11 hereinafter provided for the destruction of records, documents,
instruments, books, and papers in accordance with the procedures therein prescribed.
SECTION 11. CONDITIONS OF DESTRUCTION
Notwithstanding the provisions of Section 10, the Records Manager having custody of City
records may, without the approval of the City Council or the written consent of the City
Attorney, cause to be destroyed any or all such records if all the following conditions under
the California Government Code Section 34090.5 are met:
A. The record is photographed, micro photographed, or reproduced on film of a type
approved for permanent photographic records by the National Bureau of Standards; or
imaged and placed into the City's document management system electronic vault;
B. The photographs, microphotographs, film, and other reproductions have the required
certificate of authenticity on each roll, fiche, or series;
C. The device used to reproduce such record, paper or document on film or image is one
that accurately and legibly reproduces the original thereof in all details;
D. The photographs, microphotographs, images, or other reproductions on file are made
accessible for public reference as the book records were;
E. A true copy of archival quality of such film reproductions or image shall be kept in a
safe and separate place for security purpose.
Oct. 20, 2020 Item #2 Page 150 of 158
SECTION 12. INSPECTION OF PUBLIC RECORDS
Public City records shall be available for inspection and/or copying in accordance with
any procedures established by the City Manager and the provisions of the California
Public Records Act.
SECTION 13. WITHHOLDING RECORDS FROM INSPECTION
City staff may disallow inspection of any City record that is exempt from disclosure
under the California Public Records Act or other applicable law. If City staff is uncertain
whether a particular City record is subject to or exempt from disclosure, City staff
should consult with the City Attorney's office for guidance.
SECTION 14. RECORDS PROTECTION AND DISASTER RECOVERY PLANNING
PROGRAM
The purposes of this program element are to:
A. Control the records that are essential to the continued functioning or
reconstruction of the City during and after an emergency.
B. Safeguard those records essential to protecting the rights and interests of the City
of Carlsbad directly affected.
C. Provide an emergency preparedness for the protection of the City Records in the
event of any natural disaster and fire hazards.
D. The Records Manager shall provide necessary direction, coordination, and guidance
so that a comprehensive emergency preparedness program exists for all hazards
that may affect the City Records.
E. Certain measures and provisions have been implemented for the protection and
preservation of City records and are as follows:
Oct. 20, 2020 Item #2 Page 151 of 158
1) Transfer under an authorized inventory certain City Records for storage, from an
off-site City facility to a designated storage area, for the purpose of any
accidental, natural, man- caused, or toxic and fire hazard which causes or may
cause substantial damage to the City records of the City of Carlsbad.
2) Implementation of an electronic records media, transforming all original City records
into a digital document imaging system, and to be stored inside of an electronic
device such as disk, tape, or CD-ROM; which will be placed in a designated off-site
storage area.
F. Each department manager shall comply with the Records Management Program in
order to ensure the protection and preservation of City Records in the event of a natural
or hazard disaster as describe in this section.
Oct. 20, 2020 Item #2 Page 152 of 158
Administrative Order No. 88
This Order supersedes Administrative Order No. 53 dated 09/01/2010 and Administrative
Order No. 69 dated 07/17/2007
Date: Oct. 20, 2020
To: All City Departments
From: Scott Chadwick, City Manager
INFORMATION SYSTEM USAGE POLICY Subject:
PURPOSE:
The city's electronic information and communication systems, including the city's computers,
telephones, cell phones, smart phones, tablets, voice mail, scanners, fax machines, email, instant
messaging, intra net, internet, electronic collaboration tools and storage platforms, whether on-
premise or in the cloud (collectively "information technology systems"), are important tools in the
city's effort to provide top-quality service to the people who live, work, and play in Carlsbad. They
allow city officers, employees, contractors, temporary workers, and volunteers (collectively referred
to in this Order as "city staff') to process information, identify resources, and communicate efficiently
and effectively. They also make the city more accessible and accountable to the people it serves.
As information technology systems advance and expand, it is important that city staff continually use
and manage them in a manner that is consistent with the city's mission, vision, values, and goals.
The purpose of this Order is to inform city staff of the proper and authorized use of information
technology systems and the effective management of electronic records. This order applies to all city
staff.
POLICY:
1. Information technology systems and their contents, including any messages and/or
information transmitted by city staff, are the property of the city. Nothing about or contained
in the information technology systems shall or will be considered personal and/or confidential
information. The city may inspect, monitor, and/or audit any and all information technology
systems, or any information contained in information technology systems, at any time, for ·
any lawful purpose, without notice to any city staff.
2. Members of the public may also have the right under the California Public Records Act to
inspect or obtain copies of information contained in information technology systems. In
addition, information contained in information technology systems may be required to be
disclosed in administrative, civil and/or criminal proceedings.
3. City staff should not expect any information contained in any information technology systems
or the use of any information technology systems to be private, including deleted messages
and/or information. The city may be able to retrieve deleted information from a backup
system or other sources.
1 Oct. 20, 2020 Item #2 Page 153 of 158
4. City staff shall only use the city information technology systems for legitimate work-related
purposes. When using the city's information technology systems to communicate, individuals
are representing the city and therefore must communicate in a businesslike manner.
5. City staff shall always use information technology systems in a manner _that is legal, ethical,
and professional. City staffs use of information technology systems shall be consistent with
the city's mission, vision, values, goals, objectives, policies and procedures, including the city's
Respectful Workplace and Non-Discrimination Policy contained in Administrative Order No.
45.
6. The use of information technology systems by city staff is a privilege that may be withdrawn
by the city at any time.
7. Information technology systems, particularly the email and collaboration systems or any
other related system, are capable of simultaneously transmitting information to every
member of city staff (i.e., citywide) or to select city staff in a specific city facility. City staff
should never send messages to city staff, whether it be citywide or to individuals .in any city
department, unless the subject matter and contents of the messages directly relate to city
business. City staff who are unsure of whether use of this feature is appropriate in any given
instance should refrain from sending any messages until they seek guidance and clarification
from a supervisor. In addition, only individuals authorized by the city manager will be allowed
to send emails "citywide".
8. City staff shall take all reasonable and necessary efforts to prevent unauthorized persons from
accessing information technology systems and prevent the introduction of electronic
malware. City staff shall never leave information technology systems unattended and in a
state that allows any third party to gain access to or use information technology systems
without the proper authorization.
9. City staff shall not create individual offsite storage accounts, like cloud storage accounts, on
any platform to store city data. Offsite data storage platforms, including, cloud storage
accounts, can only be used to store city data when specifically authorized by the Information
Technology Department. Even when the use of offsite and/or cloud storage services are
authorized by the Information Technology Department, the use of any offsite and/or cloud
storage services shall be governed by this policy.
10. To ensure security of information systems, various tools and techniques are employed
including passwords, authentication tokens, biometrics, radio-frequency identification
technologies, and/or any other means of verifying an individual's identity (collectively,
"authentication devices.")
Authentication devices are issued to or used by city staff and shall be kept confidential. City
staff shall not share authentication devices, or the information contained in an authentication
device, with third parties or other city staff. Similarly, city staff may not use the authentication
devices of other city staff, and may not enter, access, or attempt to enter or access
informatiori technology systems assigned to other city staff.
11. City staff shall not attempt to disguise the origin of any message or communication.
2 Oct. 20, 2020 Item #2 Page 154 of 158
12. Only software purchased and/or licensed to the city and installed under the direction of the
city's Information Technology Department may be used on any information technology
systems. City staff shall not duplicate or copy any software on any city information
technology systems for use on any personal information technology systems. Further,
enrollment in any cloud software platform (Saas) used to conduct official city business or
store city data, must be authorized by the Information Technology Department.
13. Management software used to control, monitor, and manage any information system shall be
managed by the Information Technology Department. Any tampering or attempts to
circumvent such software are strictly prohibited.
14. Management software used to control, monitor, and manage mobile devices (MDM) is
required on all city owned mobile devices without exception. The Information Technology
Department defines policy and configuration for MDM and software configuration of mobile
devices. Due to inherent capabilities of MDM platforms, city staff are advised that using a city
owned information technology system with MDM installed will allow the city to determine
their location at any given time based on the MDM software.
15. Hardware device standards for information systems are set by the Information Technology
Department and all information system hardware must be procured either through the
Information Technology Department or with the department's approval. All physical
information technology systems will be on an asset life Gycle and replaced when appropriate.
Old hardware is not to be maintained for any purpose once it has been retired.
16. Communications networks and or necessary media to support those networks (conduit,
cables, or wireless connectivity) shall only be installed under the direction of the Information
Technology Department and according to Information Technology Department standards.
17. An individual may be required to pay the replacement or repair costs for any lost or damaged
device if caused by the individual's negligence.
18. Information technology systems are provided to city staff for use in the performance of their
work and should be treated as a public resource. Occasional and limited "personal" use of
information technology is allowed when the use does not: (1) interfere with the user's work
performance, (2) interfere with the work performance of any other city staff, (3) have undue
impact on the city's operatio~s or the operation of information technology systems, or (4)
violate any other provisions cit this Order, any other city policy, practice, resolution or
ordinance, or any legal requirement.
a. Information technology systems with cellular connectivity may or may not be a
mandatory tool for an employee to effectively perform his or her daily job; therefore,
requests for this technology must be approved by the employee's department
director or designee.
b. Information technology systems with cellular connectivity should not be used for
personal communications (phone calls and messaging, etc.) or other personal use.
The city recognizes that unforeseen circumstances may develop in which personal
communications may result in minimal and incidental use. Excessive personal use of
data plans is prohibited and may be subject to disciplinary action .
3 Oct. 20, 2020 Item #2 Page 155 of 158
19. Any recurring subscriptions or plan options for information systems with cellular data
connectivity will be managed by the Information Technology Department. Appropriate plans
will be selected by the Information Technology Department and cost will be charged back to
the departments requesting devices.
20. City staff who need to use a cell phone to effectively perform their daily jobs should seek
approval for a cell phone under Paragraph 18(a). In limited circumstances and with director
and city manager approval, some city staff may be eligible to receive a stipend for the use of
a personal cell phone to make City business phone calls. The stipend is taxable income. The
City Council shall establish the initial stipend amount; in the future, stipend amounts can
adjust pending City Council approval. It is the responsibility of city staff receiving a stipend to
maintain a current and operational cellular account. In the event the cellular account
becomes suspended or cancelled, the individual has 10 days to report such occurrences to his
or her supervisor. City business related cellular phone calls may be discoverable under the
California Public Records Act and other state and federal laws. City staff who receive a stipend
to make City business phone calls on a personal cellular phone are required to retain that
portion of their cellular bill that displays the detailed calls placed or received (e.g., date, time,
number called or received, duration of call, cost of call} for the length of time required by the
City's retention schedule. Upon request, the individual shall produce his or her cellular phone
records related to City business. Stipend amounts will be included in the individual's biweekly
paycheck.
21. Any subscriptions or installations of Cable Television Services (CATV) shall be centrally
managed by the Information Technology Department. Requests for CATV services must be
approved by a department director or designee and will be installed according to Information
Technology Department standards.
22. The city is under no obligation to provide city staff with wireless internet access (known as
Wi-Fi} for personal use outside of what is freely available to the public and under no
circumstances will physical devices be provided for personal use. Personal devices in the
workplace should also not be used in such a way as to interfere with regular business of the
city.
23. Any city data or information, including email, shall never be kept on personal devices. City
data shall only be kept on city owned and managed devices.
24. Configuration of information technology systems shall be determined by the Information
Technology Department taking into consideration citywide and departmental business
requirements. Information Technology Department personnel may reconfigure information
technology systems and delete unauthorized software and data without prior notice. This
includes wiping (deleting all data) or reconfiguration of mobile devices.
25. Any city staff who discover potential criminal activity involving the use of any information
technology systems shall immediately report the activity to a supervisor. The supervisor shall
, immediately report the activity to the Police Department and the Information Technology
Department.
4 Oct. 20, 2020 Item #2 Page 156 of 158
26. Whenever city staff possesses confidential information, city staff has an obligation to take all
reasonable and necessary steps to protect the confidentiality of the information and minimize
the likelihood of inadvertent transmission of the confidential information to unintended
recipients. All confidential information contained in information technology systems should
be clearly designated as such . In addition, city staff shall treat information as confidential if
there is any possibility that the information could be considered personal (such as personnel
or medical records), or private (such as proprietary or financial information received from a
third party). Information shall also be treated as confidential if it is directed to or it originated
from the City Attorney's Office, or it was created by or at the request of the City Attorney's
Office.
City staff with the care and custody of confidential information are responsible for
determining the authorized recipients of the information. Generally, only people with a "need
to know" ofthe confidential information are authorized recipients. City staff with any
questions as to who are authorized recipients of confidential information may contact the City
Attorney's Office for guidance. City staff should not communicate confidential information to
any person other than an authorized recipient.
When it is necessary to communicate confidential information, city staff shall consider the
risks and benefits of all available means of communication, including: face-to-face
communications, telephone, email, collaboration tools, fax, cloud storage, or hard copy
letters and memos, and city staff shall use a means of communication which minimizes the
risk that the confidential communication will be received by an unauthorized recipient. For
confidential information that is particularly sensitive (e.g., highly personal medical ·
information, or information that is protected by the Attorney-Client Privilege), city staff shall
exercise a heightened sense of care in protecting the confidentiality of the information.
27. Information technology systems are provided to city staff as a convenient and efficient
method of rapidly creating, communicating, and temporarily storing information in electronic
format. With the exception of the Records Management System, information technology
systems are not intended or designed to be a tool for the permanent or long-term storage of
information. City staff should review information contained in information technology
systems on a regular basis and purge any information that is: (1) no longer being used, and (2)
not required to be retained under the city's Records Retention Program.
28. The email, electronic calendaring, and team collaboration system (Office 365) shal.1 be
automatically purged by the city according to the following schedule:
(1) lnbox, sent, and deleted Items (2 years);
(2) Calendar items (2 years)
(3) Team chat messages and posts (2 years)
The "Archive" feature of the email system is not available for use as a record storage system.
City staff shall not manipulate settings in the email system to use the "Archive" feature or to
bypass the automatic purge cycle set by the city.
29. All users of city information systems require a Livescan background check and are required to
complete any required security or system training as assigned.
5 Oct. 20, 2020 Item #2 Page 157 of 158
30. City staff shall determine whether there is information in the information technology systems
assigned to them that is required to be retained for the discharge of the city staffs official
duties for the city or under the city's Records Retention Program. This determination shall be
made using the same criteria applied to information that is not in electronic form. City staff
with any question as to whether particular information is required to be retained may consult
with the Records Management Department. Information which is typically retained by the city
includes: (1) information required to be retained by law; (2) documentation of notice to a
member of the public of an action or position taken, or to be taken, on behalf of the city; (3)
documentation of a city policy, city ordinance, or official decision made on behalf of the city;
or (4) documentation of the transaction of business between the city and another party.
If any information in information technology systems is required to be retained under the
city's Record Retention Program, the information should be transferred to an appropriate
records storage medium. This transfer must be completed before the information is
automatically purged.
31. Generally, all public records, including information contained in information technology
systems, are open to inspection and copying by any person who makes a request in
accordance with the requirements ofthe California Public Records Act. However, a public
record may be exempt from disclosure if it falls within certain categories of exemptions.
If city staff receives a California Public Records Act request to inspect or for a copy of a record
that is potentially confidential or may otherwise be exempt from disclosure, city staff should
contact the City Attorney's Office for guidance on how to respond to the request.
ACTION:
This Order supersedes Administrative Order No. 53, dated Sept. 1, 2020, and Administrative Order
No. 69, dated July 17, 2007. This Order is effective immediately.
City Manager
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