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Home My WebLink About2022-09-27; City Council; Resolution 2022-223RESOLUTION NO. 2022-223 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 a 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; and WHEREAS, the Records Management Program's Records Retention Schedule was adopted in October 2020; and WHEREAS, an update to the existing schedule is necessary to keep current with the record keeping 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 Bis 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 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 27th day of September, 2022, by the following vote, to wit: AYES: NAYS: ABSENT: Hall, Blackburn, Bhat-Patel, Acosta, Norby. None. None. t:Jv0 �FAVIOLA MEDINA, City Clerk Services Manager (SEAL) Ver. 2022.1 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 Attachment A Ver. 2022.1 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; 44CFR 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, Ver. 2022.1 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) P 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 Ver. 2022.1 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 Ver. 2022.1 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.) Ver. 2022.1 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 Ver. 2022.1 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 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 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) Ver. 2022.1 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-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 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 Ver. 2022.1 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). 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 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) Ver. 2022.1 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-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 Reference or Working Files: See Correspondence 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 Ver. 2022.1 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-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 Ver. 2022.1 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, GOVQA Notes, Collaboration Meetings, Instant messages, Chats 2 years GC §§34090, 60201 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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. Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 Page CA-1 RECORDS RETENTION SCHEDULE: CITY ATTORNEY 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) Ver. 2022.3 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 Ver. 2022.3 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 Ver. 2022.3 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 Ver. 2022.3 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-057 City Council Memorandums P Department preference; GC §§34090, 60201 City Clerk CC-060 City Council Subcommittees: Agendas, Minutes, Staff Reports (Composed solely of less than a quorum of the City Council) P Yes: After Upload and QC 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) Ver. 2022.3 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 Must post on website; GC §81009(e) City Clerk CC-090 FPPC Form 802 (Event Ticket / Pass Distributions Agency Report) 7 years Should post on website for 4 years; GC §81009(e) City Clerk CC-095 FPPC Form 803 (Behested Payment Report) 7 years GC §81009e City Clerk CC-100 FPPC Form 804 (Agency Report of New Positions) P FPPC Regulation 18734(c); GC §81009e City Clerk CC-105 FPPC Form 805 (Agency Report of Consultants) P FPPC Regulation 18734(c); GC §81009e City Clerk CC-110 FPPC Form 806 (Agency Report of Public Official Appointments) 7 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) Ver. 2022.3 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 Ver. 2022.3 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 Ver. 2022.3 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 Ver. 2022.3 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 (GOVQA) 2 years 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. Ver. 2022.3 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 Ver. 2022.3 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINISTRATION 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-003 Program Participant Application, Registration, Liability Release and Waiver, Television/Video/Internet/ Model Release Form, Attendance Form, final Evaluation (I.e. Citizen’s Academy, etc.) 2 years Yes: during class or program GC §§34090 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 Ver. 2022.3 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINISTRATION Page CCA-2 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). 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 Ver. 2022.0 Page COM-1 RECORDS RETENTION SCHEDULE: COMMUNICATIONS 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 Ver. 2022.2 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; SINGLE FAMILY RESIDENTIAL-SFR - including ADDITIONS (ATTTACHED, DETACHED), REPLACEMENT, 2ND DWELLING UNIT (ADUs) - 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 ALTERATION, DECK, DEMO, PATIO, POOL, REPAIR, RETAINING WALL - 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 Ver. 2022.2 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-020 Building Permit Database Indefinite Yes (all) Department Preference - Data is interrelated; GC §34090, H&S §19850 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; SINGLE FAMILY RESIDENTIAL-SFR - including ADDITIONS (ATTTACHED, DETACHED), REPLACEMENT, 2ND DWELLING UNIT (ADUs) 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 ALTERATION, DECK, DEMO, PATIO, POOL, REPAIR, RETAINING WALL 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 Ver. 2022.2 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-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 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 Ver. 2022.2 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). 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 Ver. 2022.2 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). 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 Ver. 2022.2 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). 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. Ver. 2022.2 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). 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 Ver. 2022.2 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-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 Ver. 2022.2 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-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 Ver. 2022.2 Page CD-10 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-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 Ver. 2022.0 Page ED-1 RECORDS RETENTION SCHEDULE: ECONOMIC DEVELOPMENT 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 Ver. 2022.1 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-003 Fire Incident Records Request (non-subpoena) 2 years GC §34090 Fire / Admin FR-005 Fire Incident RMS Database (Emergency Reporting) Indefinite Yes Data is interrelated; GC §34090 et seq. Fire / Admin FR-008 Fire Incident Subpoenas 2 years GC §34090 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. Ver. 2022.1 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 Ver. 2022.1 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 2 years Yes (all) No GC §34090 Fire / Admin & Police/ Admin. FR-085 EOC Activations & Exercises 10 years Yes: After QC Department Preference; GC §34090 FIRE MARSHAL / 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 Ver. 2022.1 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. Ver. 2022.1 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: Befor e Event Preliminary drafts; GC §34090 et seq. Ver. 2022.1 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. Ver. 2022.0 Page HS-1 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Housing and Homeless 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 Ver. 2022.0 Page HS-2 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Housing and Homeless 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 Ver. 2022.0 Page HS-3 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Housing and Homeless 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 Ver. 2022.0 Page HS-4 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT Housing and Homeless 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 Ver. 2022.2 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 4 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 4 years Bureau of National Affairs recommends 2 years for all supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 4 years; 29 CFR 516.6, 29 CFR 1602.14, GC §§12946, 34090, 60201 Human Resources HR-010 Compensation Surveys & Studies Minimum 4 years Bureau of National Affairs recommends 2 years for all supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 4 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 Ver. 2022.2 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 4 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 Ver. 2022.2 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 +4 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 4 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 +4 years Yes: After 1 year Department preference: EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 4 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 Ver. 2022.2 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 4 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, orTermination 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 4 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 4 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 Ver. 2022.2 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 +4 years Department preference; EEOC / FLSA / ADEA (Age) requires 1-3 years; State Law requires 4 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 Separatio n 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 Ver. 2022.2 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). RISK MANAGEMENT Human Resources / Risk Management HR-115 Accident Reports / Incident Reports / City Vehicle Accident Reports 2 years GC §§34090, 60201 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 Files Includes: Potential Loss No Loss Recovery to Pursue Final Resolution + 5 years Yes: Until Settleme nt 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) Includes: City as Additional Insured When No Longer Required 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 Ver. 2022.2 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). Human Resources / Risk Management HR-145 Insurance Review Requests Includes: Insurance Waiver Requests, Evidence of Coverage Requests 5 years Preliminary drafts; GC §§ 34090, 60201 Finance / Risk Management HR-150 Liability Database (ACCESS Database - Claims)Indefinite Yes Data Fields / Records are interrelated; GC §§34090, 60201 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 Ver. 2022.2 Page HR-8 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). 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 + 4 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 4 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 Ver. 2022.0 Page IT - 1 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.. Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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) Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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 Ver. 2022.0 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)) Ver. 2022.0 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 Ver. 2022.5 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 Ver. 2022.5 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. Ver. 2022.5 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 Ver. 2022.5 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 - Unfounded, Exonorated or Not Sustained findings of misconduct (May include criminal acts, moral turpitude, complaints generated from a citizen, preventable traffic collisions) Final Disposition + 5 years SB 16 - Section 832.5 (b); EVC § 1045(b)(1), GC §§12946, 34090; VC §2547 Police / PSU PD-131 Internal Affairs Investigations - Individual Officers / Complaints Against Officers - Sustained (May include criminal acts, moral turpitude, complaints generated from a citizen) Final Disposition +15 years SB 16 - Section 832.5 (b); EVC § 1045(b)(1), GC §§12946, 34090; VC §2547 Police / PSU PD-135 Internal Affairs Investigations – Generated Internally -Internal Pursuit Critiques -Preventable Traffic Collisions (involving PD) Incident +2 years Department preference; GC §34090 et seq. Ver. 2022.5 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-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 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 Ver. 2022.5 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) 7 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 Disposition 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 Ver. 2022.5 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 (or Court 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) Ver. 2022.5 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. Ver. 2022.5 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. Ver. 2022.5 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) Ver. 2022.5 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 Ver. 2022.3 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, MaterialsQuantities / 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 + 10 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 Ver. 2022.3 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 orAfter FundingAgency 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 Ver. 2022.3 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 Ver. 2022.3 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 SUSTAINABILITY Public Works/ Environmental Sustainability PW-045 California Integrated Waste Management Act (AB 939) Annual Report Compliance 10 years Department preference; GC §34090 et seq. Public Works/ Environmental Sustainability 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 Sustainability PW-060 Habitat Management Plan / Annual Reports P Yes: After Upload and QC Department Preference; GC §34090 Public Works/ Environmental Sustainability PW-065 Household Hazardous Waste (HHW) / Manifests for Annual Event 3 years 14 CCR 18812.4; GC §34090 Public Works/ Environmental Sustainability 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 Sustainability 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 Sustainability 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 Ver. 2022.3 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 Sustainability 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 Sustainability 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 Sustainability 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 Sustainability 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 Sustainability 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 Sustainability PW-110 Water Quality Improvement Plans (Commercial, Private Development) Superseded + 5 years Department preference; GC §34090 et seq. Ver. 2022.3 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). FACILITIES & FLEET Lead Department PW-115 AQMD Permits (Generators, etc.) 5 years 40 CFR 70.6; GC §34090 Public Works/ Facilities and Fleet PW-120 Facility Inspections 2 years GC §34090 Public Works/ Facilities and Fleet PW-125 Generator Operation Logs & Inspections - Fixed / Stationary Generators 3 years AQMD Rule 1470; GC §34090 Public Works/ Facilities and Fleet PW-130 Generator Operation Logs & Inspections - Portable / Emergency Generators 5 years AQMD Rule 1470; Form 400–E–13a instructions; GC §34090 Public Works/ Facilities and Fleet PW-135 GIS / Sidewalk Maintenance Database Indefinite Data is interrelated; GC §34090 Public Works/ Facilities and Fleet 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. Ver. 2022.3 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). 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/ Facilities and Fleet 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/ Facilities and Fleet 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) Public Works/ Facilities and Fleet 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/ Facilities and Fleet 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/ Facilities and Fleet PW-185 Used Oil Disposal 3 years 22 CCR 66266.130(c)(5), H&S §25250.18(b), 25250.19(a)(3) et seq. Ver. 2022.3 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). Public Works/ Facilities and Fleet 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 Ver. 2022.3 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). 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 City Clerk 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) Ver. 2022.3 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). City Clerk 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 Ver. 2022.3 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). 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: Until Completed Yes: After Upload and QC 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 Ver. 2022.3 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). 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 Ver. 2022.3 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). UTILITIES / ASSET MANAGEMENT Division Providing Service / Work PW-315 Asset Management Database Indefinite Data is interrelated; GC §34090 Public Works/ Utilities/Asset Management PW-320 Capital Improvement Projects (CIP) - where Engineering is the Lead: Maintenance Projects (All Records) Completion + 5 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 not applicable; Statute of Limitations: Contracts & Spec's=4 years; Statewide guidelines propose termination + 5 years; CCP §337 et. seq., GC §34090 Public Works/ Utilities/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/ Utilities/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 Ver. 2022.3 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). 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) Yes: After Upload and QC 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 Ver. 2022.3 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). 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 Ver. 2022.3 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). 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 Ver. 2022.3 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-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 Ver. 2022.3 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). 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 Ver. 2022.3 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). 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 Ver. 2022.3 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-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 Ver. 2022.3 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). 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 Ver. 2022.3 Page PW-22 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 Attachment B RECORDS MANAGEMENT PROGRAM 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 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 division has a responsibility to manage, protect, preserve and make available the city records. B. It is the policy of the Records Management division 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. Administrative Value: A record that assists in the operation of government, and ensures 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. 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 further action is not likely to occur. 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. 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 complete 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 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. 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 microfilm for viewing. Reader/Printer: Machine that magnifies 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 Management Program 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. Records Series/Type: 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, and other documents. SECTION 4. RECORDS MANAGEMENT DEPARTMENT The Records Management division 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 division 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 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 Management Program 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. 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 Management Program Manager. E. The Records Management Department shall review and determine as necessary custodial responsibilities of the Records Management Program, whether it 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 Management Program Manager: It shall be the duty of the Records Management Program Manager to coordinate the Records Management Program for the City of Carlsbad. Among other things, the Records Management Program 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; 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 in coordination/cooperation with the Information Technology (IT) department. 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. 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 Management Program 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; 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 Management Program 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 for 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 Management Program 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. B. Each Records Retention Schedule must be monitored and amended as needed by the Records Management Program 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 Management Program Manager, the department managers and the City Attorney. E. A department manager shall notify the Records Management Program 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/type on the approved Records Retention Form, which must be signed by the department's manager, Records Management Program 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; 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 Management Program 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. 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 Management Program 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: 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.