2022-09-27; City Council; ; 2022 Update of the Records Retention Schedule and the Citywide Records Management Program — Carlsbad City Council, September 27, 2022

CA Review CKM

Meeting Date: Sept. 27, 2022

To: Mayor and City Council

From: Scott Chadwick, City Manager

Staff Contact: Pat Downie, Program Manager
[email protected], 442-339-2738

Faviola Medina, City Clerk Services Manager
[email protected], 442-339-5989

Subject: 2022 Update of the Records Retention Schedule and the Citywide Records Management Program

District: All

Recommended Action
Adopt a resolution approving an update to the Citywide Records Management Program and Records Retention Schedule.

Executive Summary/Discussion
The Records Management Program provides the procedures that are used citywide for management of records. This includes audits of the city’s compliance with state laws on record keeping, the destruction of records and the schedule of how long city records need to be maintained. The program was approved by the City Council on Oct. 17, 2000, and is administered by the Records Management division in City Clerk Services department.

The most current version of the records retention schedule was adopted in 2020. Since then, additional record types have been identified and created and therefore, need to be included in the City’s Records Retention Schedule.

The proposed updates to the retention schedule were written with input from representatives from all departments participating in the project. The schedules provide clear and specific records descriptions and retention periods and apply current law and technology to the management of the city’s records.

By identifying which department is responsible for maintaining the original record and by establishing clear retention periods for different categories or types of records, the city will realize significant savings in labor and storage costs and improved operational efficiencies while, continuing the move away from paper storage, which requires filing cabinets and takes up office space.

Sept. 27, 2022
Item #2 Page 1 of 260

The proposed 2022 City of Carlsbad Records Retention Schedule, which is Attachment A to the Exhibit 1 resolution, include these combined departmental schedules along with the city-wide standards.

This proposed records retention schedule also clearly indicates which of the city’s vital records contain the information that would be critical for the continued operation of the organization in the event of a disaster or the re-establishment of the legal and financial status of the organization.

The City Council has granted the City Clerk and City Attorney the authority to make minor updates to the records retention schedule without City Council approval (Resolution No. 2020- 206). Minor updates include changes in department or division names, improvements in descriptions for clarification purposes and any additional comments needed for reference.

The City of Carlsbad’s Records Management Program requires City Council approval of any changes that need to be made to the length of the retention periods, the addition of new record types or the deletion of old ones.

A version of the records from the 2020 schedule that have had significant changes in the length of time they need to be retained can be found in Exhibit 2, with the changes highlighted. In some cases, the description of a record or the specific work group assigned to retain the record also changed.

Fiscal Analysis
The operating costs associated with the update to the records retention schedule is included in the annual operating budget for Records Management Division in City Clerk Services.

Next Steps
The City Clerk’s Office will implement the schedule by distributing it to city staff and providing training, as necessary.

Environmental Evaluation
In keeping with California Public Resources Code Section 21065, this action does not constitute a project within the meaning of the California Environmental Quality Act and therefore does not require an environmental review.

Public Notification
Public notice of this item was posted in keeping with the Ralph M. Brown Act and it was available for public viewing and review at least 72 hours before the scheduled meeting date.

Exhibits

1. City Council resolution

2. Records Retention Schedule with revisions highlighted

3. Records Management Program with revisions highlighted

Sept. 27, 2022
Item #2 Page 2 of 260
RESOLUTION 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 Bi s 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 Exhibit 1
Sept. 27, 2022 Item #2 Page 3 of 260
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)
Sept. 27, 2022 Item #2 Page 4 of 260
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
Sept. 27, 2022
Item #2 Page 5 of 260
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), 28
CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44
CFR 13.42; 45 CFR 92.42; OMB Circular A- 133GC
§34090

Lead
Department

CW-030
Agreements & Contracts:

ADMINISTRATIVE FILES

(Correspondence, Project Administration,
Project Schedules, Certified Payrolls, Invoices,
Logs, RFP, etc.)

Completion +
10 years

Yes: Before
Completion

Yes: Upon
Completion
Covers E&O Statute of Limitations; Published Audit
Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide guidelines
propose termination + 5 years; CCP
§337 et. seq., GC §§34090, 60201,

Lead
Department

CW-035
Agreements & Contracts: UNSUCCESSFUL
BIDS, UNSUCCESSFUL PROPOSALS or
RESPONSES to RFPs (Request for
Proposals) and/or RFQs (Request for
Qualifications) that don't result in a contract

2 years

The RFP / RFQ and the successful proposal becomes part
of the agreement or contract; GC
§§34090, 60201,
Sept. 27, 2022
Item #2 Page 6 of 260
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)

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

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
Sept. 27, 2022
Item #2 Page 7 of 260
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
Sept. 27, 2022
Item #2 Page 8 of 260
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 retaine
d 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.)
Sept. 27, 2022
Item #2 Page 9 of 260
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

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
Sept. 27, 2022
Item #2 Page 10 of 260
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)
Sept. 27, 2022
Item #2 Page 11 of 260
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)

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)

Originals maintained by City Clerk Permanently; GC
§§34090.7. 60201
Sept. 27, 2022
Item #2 Page 12 of 260
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)
Sept. 27, 2022
Item #2 Page 13 of 260
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)

Yes: After
10 years
Administratively and Historically significant, therefore retained permanently; GC §§34090, 60201
Sept. 27, 2022
Item #2 Page 14 of 260
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)

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
Sept. 27, 2022
Item #2 Page 15 of 260
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

Sept. 27, 2022
Item #2 Page 16 of 260
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
Sept. 27, 2022
Item #2 Page 17 of 260
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

Yes: Until
Paid

Yes: After 1
year

Department preference; GC §§34090, 60201
Sept. 27, 2022
Item #2 Page 18 of 260
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?

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)

Originals maintained by City Clerk Permanently; GC
§§34090.7, 60200
Sept. 27, 2022
Item #2 Page 19 of 260
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?

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
Sept. 27, 2022
Item #2 Page 20 of 260
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?

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
Sept. 27, 2022
Item #2 Page 21 of 260
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?

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

Yes: After
Upload
and QC

Department preference; GC §34090
ASD /
Finance /
Financial
Reporting &
Accounting

ASDF-130

Master Fee Schedule

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
Sept. 27, 2022
Item #2 Page 22 of 260
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?

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
Sept. 27, 2022
Item #2 Page 23 of 260
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?

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

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.

Sept. 27, 2022
Item #2 Page 24 of 260
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?

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
Sept. 27, 2022
Item #2 Page 25 of 260
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?

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

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

Sept. 27, 2022
Item #2 Page 26 of 260
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?

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 2
years

Department Preference; GC
§34090
City Attorney CA-005 City Attorney Memoranda, Opinions
and Opinion Index

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)

Sept. 27, 2022
Item #2 Page 27 of 260
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

Yes: After
Upload
and QC

Department preference; GC §§34090, 60201
Sept. 27, 2022
Item #2 Page 28 of 260
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?

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 has
retention 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
Sept. 27, 2022
Item #2 Page 29 of 260
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?

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
Sept. 27, 2022
Item #2 Page 30 of 260
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?

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)
Sept. 27, 2022
Item #2 Page 31 of 260
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?

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)

FPPC Regulation 18734(c); GC §81009e

City Clerk

CC-105 FPPC Form 805 (Agency Report of
Consultants)

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)
Sept. 27, 2022
Item #2 Page 32 of 260
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?

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
Sept. 27, 2022
Item #2 Page 33 of 260
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?

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)

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.)

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
Sept. 27, 2022
Item #2 Page 34 of 260
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?

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

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

Yes

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
Sept. 27, 2022
Item #2 Page 35 of 260
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?

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.

Yes (all)

Department preference; GC §§34090, 60201 et seq.

City Clerk

CC-220

Recordings - VIDEO of City Council

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

GC §§34090, 60201 et. seq.

Sept. 27, 2022
Item #2 Page 36 of 260
Ver. 2022.3

Page CC-10 RECORDS RETENTION SCHEDULE: CITY CLERK

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

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

Yes

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
Sept. 27, 2022
Item #2 Page 37 of 260
Ver. 2022.3 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINISTRATION Page CCA-1

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

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

Sept. 27, 2022
Item #2 Page 38 of 260
Ver. 2022.3 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINISTRATION Page CCA-2

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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

Sept. 27, 2022
Item #2 Page 39 of 260
Ver. 2022.0 Page COM-1

RECORDS RETENTION SCHEDULE: COMMUNICATIONS

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

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

Sept. 27, 2022
Item #2 Page 40 of 260
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?

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

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.

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
Sept. 27, 2022
Item #2 Page 41 of 260
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?

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)

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)

Yes (all) Yes: After
Upload and
QC

Department Preference; GC §34090
Sept. 27, 2022
Item #2 Page 42 of 260
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?

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.)

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

Sept. 27, 2022
Item #2 Page 43 of 260
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?

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
Sept. 27, 2022
Item #2 Page 44 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 45 of 260
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?

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)

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.

Sept. 27, 2022
Item #2 Page 46 of 260
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?

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

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

Sept. 27, 2022
Item #2 Page 47 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 48 of 260
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?

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.

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
Sept. 27, 2022
Item #2 Page 49 of 260
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?

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)

Yes
(all)

Department Preference; GC §34090.7
CD /
Planning

CD-230
Zoning Ordinance Amendments
Reclassifications / Zone
Change

Yes Yes: After
Upload and
QC

Department Preference (copies); GC §34090.7

Sept. 27, 2022
Item #2 Page 50 of 260
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?

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
• Lighting
Hospitality & Tourism, etc.

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

Sept. 27, 2022
Item #2 Page 51 of 260
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

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.

Sept. 27, 2022
Item #2 Page 52 of 260
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

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; 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
Sept. 27, 2022
Item #2 Page 53 of 260
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

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)

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
Sept. 27, 2022
Item #2 Page 54 of 260
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

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.

Sept. 27, 2022
Item #2 Page 55 of 260
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

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

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.

Sept. 27, 2022
Item #2 Page 56 of 260
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

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.

Sept. 27, 2022
Item #2 Page 57 of 260
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?

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
Sept. 27, 2022
Item #2 Page 58 of 260
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?

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
Sept. 27, 2022
Item #2 Page 59 of 260
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?

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

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 - WITHOUT
Unpaid 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
Sept. 27, 2022
Item #2 Page 60 of 260
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?

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

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

Sept. 27, 2022
Item #2 Page 61 of 260
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?

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
Sept. 27, 2022
Item #2 Page 62 of 260
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?

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

Sept. 27, 2022
Item #2 Page 63 of 260
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?

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
Sept. 27, 2022
Item #2 Page 64 of 260
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?

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

Human
Resources

HR-085

Personnel Files - Benefit File, Retiree File

Includes W-4s

Separation
+ 6 years, or
Termination
of Benefits,
Whichever is
Longer

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

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
Sept. 27, 2022
Item #2 Page 65 of 260
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?

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

Sept. 27, 2022
Item #2 Page 66 of 260
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?

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)

Yes: After
Upload
and QC

Department Preference; GC §§34090, 60201

Sept. 27, 2022
Item #2 Page 67 of 260
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?

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

Sept. 27, 2022
Item #2 Page 68 of 260
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?

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 USC
1113
Human
Resources /
Volunteer &
Meditation
HR-175

Volunteer Database

Indefinite

Data is interrelated; GC §34090

Sept. 27, 2022
Item #2 Page 69 of 260
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?

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

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..

Sept. 27, 2022
Item #2 Page 70 of 260
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?

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

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

GC §34090.7
Cultural Arts CART-025 Community Arts Grants 5 years Meets auditing standards; funded by the City's General Fund; GC §34090
Sept. 27, 2022
Item #2 Page 71 of 260
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?

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
Sept. 27, 2022
Item #2 Page 72 of 260
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?

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)
Sept. 27, 2022
Item #2 Page 73 of 260
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?

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

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

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 Sept. 27, 2022
Item #2 Page 74 of 260
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?

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

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

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

Sept. 27, 2022
Item #2 Page 75 of 260
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?

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

GC §34090.7
Sept. 27, 2022
Item #2 Page 76 of 260
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?

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.

Yes: Until
Completed

Yes:

Completion
+ 10 years

Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§34090
Sept. 27, 2022
Item #2 Page 77 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 78 of 260
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?

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

GC §34090.7
Sept. 27, 2022
Item #2 Page 79 of 260
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?

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
Sept. 27, 2022
Item #2 Page 80 of 260
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?

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

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))
Sept. 27, 2022
Item #2 Page 81 of 260
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?

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

Sept. 27, 2022
Item #2 Page 82 of 260
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?

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

Sept. 27, 2022
Item #2 Page 83 of 260
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?

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

Sept. 27, 2022
Item #2 Page 84 of 260
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?

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
Sept. 27, 2022
Item #2 Page 85 of 260
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?

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

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.

Sept. 27, 2022
Item #2 Page 86 of 260
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?

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
Sept. 27, 2022
Item #2 Page 87 of 260
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?

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
Sept. 27, 2022
Item #2 Page 88 of 260
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?

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)
Sept. 27, 2022
Item #2 Page 89 of 260
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?

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.

Sept. 27, 2022
Item #2 Page 90 of 260
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?

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)

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

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.

Sept. 27, 2022
Item #2 Page 91 of 260
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?

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)
Sept. 27, 2022
Item #2 Page 92 of 260
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?

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

Sept. 27, 2022
Item #2 Page 93 of 260
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?

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 In
Sheets,
• Notes
Completion
+ 10 years or
After
Funding
Agency
Audit, if
required,
whichever is

longer
Yes: Until
Completed

Department preference; Preliminary drafts not retained
in the ordinary course of business; GC
§§34090, 60201

Public Works/
Construction
Management &
Inspection

PW-005
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is
the Lead: Completion + 10 years - See
Clean Up Check List

• Project Administration, Community
Outreach / Notifications, Materials
Quantities / Tickets, Project
Schedules, Progress meetings, RFIs
& Responses, Temporary Easements
/ Rights of Way, Photos, etc.

Completion
+ 10 years or
After
Funding
Agency
Audit, if
required,
whichever is
longer

Yes: Until
Completed

Department preference; Some grant funding agencies
require audits; Statute of Limitations for Errors &
Omissions is 10 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide guidelines
propose termination + 5 years; CCP §337 et. seq., GC
§§34090, 60201 Public Works/
Construction
Management &
Inspection

PW-010
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is
the Lead: Completion + 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
Sept. 27, 2022
Item #2 Page 94 of 260
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 or
After Funding
Agency Audit,
if required,
whichever is
longer
Yes: Until
Completed

Department Preference; Monitoring records required
for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP
§337 et seq.

Public Works/
Construction
Management &
Inspection

PW-020
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where Construction
Management & Inspection is the Lead: PERMANENT
- See Clean Up Check List
• Specifications & Addenda, Agreement /
Contract (copy), Successful Proposal,
Change Orders, Geotechnical Studies &
Reports, Materials Testing Reports,
Grading Permits, Hazardous Materials
Plans, Notice of Completion, Lab
Reports, Permits & Agreements, Soil
Reports / Soil Compaction Reports,
Studies, Submittals, Surveys, Right of
Ways, Water Connection Permits, Utility
Company Approvals, etc.

P Yes: Until
Completed
Yes:

Completion
+ 10 years

Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§§34090, 60201
Sept. 27, 2022
Item #2 Page 95 of 260
Ver. 2022.3 Page PW-3 RECORDS RETENTION SCHEDULE: PUBLIC WORKS

Office of
Record Retention No. Records Description Comments / Reference Destroy

(OFR)
Total
Retention

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)

Yes: After
Upload and
QC

Department Preference; GC §34090

Public Works/
Construction
Management &
Inspection

PW-040

Preliminary Studies / Project Assessments

Yes: After
Upload and
QC

Department Preference; GC §34090
Sept. 27, 2022
Item #2 Page 96 of 260
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?

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
Sept. 27, 2022
Item #2 Page 97 of 260
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?

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.

Sept. 27, 2022
Item #2 Page 98 of 260
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?

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

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.

Sept. 27, 2022
Item #2 Page 99 of 260
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?

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

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.

Sept. 27, 2022
Item #2 Page 100 of 260
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?

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
Sept. 27, 2022
Item #2 Page 101 of 260
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?

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)
Sept. 27, 2022
Item #2 Page 102 of 260
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?

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

Yes

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.

Yes: Until
Completed

Yes:

Completion
+ 10 years

Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§§34090, 60201
Sept. 27, 2022
Item #2 Page 103 of 260
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?

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

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)

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.

Yes: After
Upload and
QC

Department preference; Drafts should be
destroyed; GC §34090
Sept. 27, 2022
Item #2 Page 104 of 260
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?

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

Yes (all)

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
Sept. 27, 2022
Item #2 Page 105 of 260
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?

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
Sept. 27, 2022
Item #2 Page 106 of 260
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?

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.

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

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
Sept. 27, 2022
Item #2 Page 107 of 260
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?

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.

Department preference; GC §34090
Sept. 27, 2022
Item #2 Page 108 of 260
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?

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

Department preference; GC §34090
Sept. 27, 2022
Item #2 Page 109 of 260
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?

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
Sept. 27, 2022
Item #2 Page 110 of 260
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?

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
Sept. 27, 2022
Item #2 Page 111 of 260
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?

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
Sept. 27, 2022
Item #2 Page 112 of 260
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?

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

Department preference; GC §60201

Public Works/
Utilities / Water
& Recycled
Water

PW-550

Reservoirs, Reservoir Maintenance

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

Department preference; GC §60201
Sept. 27, 2022
Item #2 Page 113 of 260
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?

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

Yes: After 3
months

Department preference; GC §60201
Sept. 27, 2022
Item #2 Page 114 of 260
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?

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)

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)

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

Sept. 27, 2022
Item #2 Page 115 of 260

Attachment B

RECORDS MANAGEMENT PROGRAM

Sept. 27, 2022
Item #2 Page 116 of 260

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 Sept. 27, 2022
Item #2 Page 117 of 260

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.

Sept. 27, 2022
Item #2 Page 118 of 260

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 cop y 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.

Sept. 27, 2022
Item #2 Page 119 of 260

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/dispositio n 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 Sept. 27, 2022
Item #2 Page 120 of 260

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.

Sept. 27, 2022
Item #2 Page 121 of 260

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 in dexing 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.

Sept. 27, 2022
Item #2 Page 122 of 260

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, videotap es, 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.

Sept. 27, 2022
Item #2 Page 123 of 260

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 d ivision 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.

Sept. 27, 2022
Item #2 Page 124 of 260

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;
Sept. 27, 2022
Item #2 Page 125 of 260

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 wit h established retention schedules.

Sept. 27, 2022
Item #2 Page 126 of 260

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; Sept. 27, 2022
Item #2 Page 127 of 260

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 characteri stics 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.

Sept. 27, 2022
Item #2 Page 128 of 260

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 Recor ds 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;
Sept. 27, 2022
Item #2 Page 129 of 260

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 s eries;

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.

Sept. 27, 2022
Item #2 Page 130 of 260

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:

Sept. 27, 2022
Item #2 Page 131 of 260

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.

Sept. 27, 2022
Item #2 Page 132 of 260
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).

ALL backup is forwarded to Finance
Copies -
When No
Longer
Required
Yes: Before
Payment
All originals go to Finance (these are copies); GC
§§34090.7, 60200
Lead
Department
CW-010
Affidavits of Publications / Public Hearing
Notices / Legal Advertising / Affidavits of
Posting
2 years
Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal Government actions is 3 - 6 months; GC §§34090, 60201,
54960.1(c)(1)
City Clerk CW-015
Agenda Packets / Staff Reports: City Council,
Carlsbad Municipal Water District, Community
Development Commission, Successor Agency,
Public Financing Authority and all city council
boards/commissions and committees
Copies -
When No
Longer
Required
Yes: After
Upload and
QC GC §§34090.7, 60200
City Clerk CW-020 Agreements & Contracts ALL ORIGINALS
Copies -
When No
Longer
Required
Yes: Upon
Completion Ensure the City Clerk receives all original
agreements; GC §§34090.7, 60200
Exhibit 2
Sept. 27, 2022
Item #2 Page 133 of 260
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:

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

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,
Sept. 27, 2022
Item #2 Page 134 of 260
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)

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

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
Sept. 27, 2022
Item #2 Page 135 of 260
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

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
Sept. 27, 2022
Item #2 Page 136 of 260
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

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.)
Sept. 27, 2022
Item #2 Page 137 of 260
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

Lead
Department

CW-130

DMV Pull Notices

Lead
Department

CW-135

Drafts & Notes: Drafts that are revised (retain
final version)

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
Sept. 27, 2022
Item #2 Page 138 of 260
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

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)

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)
Sept. 27, 2022
Item #2 Page 139 of 260
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

City Clerk

Yes (all)

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)

Originals maintained by City Clerk Permanently; GC
§§34090.7. 60201
Sept. 27, 2022
Item #2 Page 140 of 260
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)
Sept. 27, 2022
Item #2 Page 141 of 260
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)

Yes: After
10 years
Administratively and Historically significant, therefore retained permanently; GC §§34090, 60201
Sept. 27, 2022
Item #2 Page 142 of 260
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)

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
Sept. 27, 2022
Item #2 Page 143 of 260
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

CW-305
ZOOM, TEAMS, GOVQA Notes, Collaboration
Meetings, Instant messages, Chats
2 years GC §§34090, 60201

Sept. 27, 2022
Item #2 Page 144 of 260
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?

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

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

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
Sept. 27, 2022
Item #2 Page 145 of 260
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?

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 /

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

Yes: Until
Paid

Yes: After 1
year

Department preference; GC §§34090, 60201
Sept. 27, 2022
Item #2 Page 146 of 260
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?

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

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)

Originals maintained by City Clerk Permanently; GC
§§34090.7, 60200
Sept. 27, 2022
Item #2 Page 147 of 260
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?

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

ASDF-075

Escheat (Unclaimed money /
uncashed checks)

7 years

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
Sept. 27, 2022
Item #2 Page 148 of 260
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?

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

ASDF-120

Journal Entries (includes Water Customers)

7 years

Department Preference; meets auditing standards; GC
§§34090, 60201, 26 CFR 31.6001-1
Sept. 27, 2022
Item #2 Page 149 of 260
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?

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

Yes: After
Upload
and QC

Department preference; GC §34090
ASD /
Finance /
Financial
Reporting &
Accounting

ASDF-130

Master Fee Schedule

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
Sept. 27, 2022
Item #2 Page 150 of 260
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?

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
Sept. 27, 2022
Item #2 Page 151 of 260
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?

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

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.

Sept. 27, 2022
Item #2 Page 152 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

ASD /
Finance /
Payroll

7 years

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
Sept. 27, 2022
Item #2 Page 153 of 260
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?

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

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

Sept. 27, 2022
Item #2 Page 154 of 260
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?

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 2
years

Department Preference; GC
§34090
City Attorney CA-005 City Attorney Memoranda, Opinions
and Opinion Index

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)

Sept. 27, 2022
Item #2 Page 155 of 260
Ver. 2022.3 Page CC-1 RECORDS RETENTION SCHEDULE: CITY CLERK

Office of Retention No. Records Description

Total
Retention
Comments / Reference Record

(OFR)

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

Yes: After
Upload
and QC

Department preference; GC §§34090, 60201
Sept. 27, 2022
Item #2 Page 156 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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
Sept. 27, 2022
Item #2 Page 157 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 158 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

City Clerk

CC-050

Bonds (Performance Bonds, Subdivision
Bonds, Letters of Credit)

Release of
Bond / Letter
of Credit

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)

2 years
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)
Sept. 27, 2022
Item #2 Page 159 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

City Clerk CC-080 Economic Interest Filings (FPPC Form 635) - Lobbyist Reporting 5 years Yes: After 2
years 2 CCR 18615(d)
City Clerk CC-085 FPPC Form 801 (Gift to Agency Report) 7 years Yes: After 2 years Must post on website; GC §81009(e)
City Clerk CC-090 FPPC Form 802 (Event Ticket / Pass
Distributions Agency Report) 7 years Yes: After 2
years
Should post on website for 4 years; GC
§81009(e)
City Clerk CC-095 FPPC Form 803 (Behested Payment
Report) 7 years Yes: After 2
years GC §81009e

City Clerk

CC-100 FPPC Form 804 (Agency Report of New
Positions)

P
Yes: After 2
years

FPPC Regulation 18734(c); GC §81009e

City Clerk

CC-105 FPPC Form 805 (Agency Report of
Consultants)

P
Yes: After 2
years

FPPC Regulation 18734(c); GC §81009e

City Clerk

CC-110 FPPC Form 806 (Agency Report of Public
Official Appointments)

7 years
Yes: After 2
years
Must post on website; 2 CCR 18705.5; 2 CCR
18702.5(b)(3); GC §§34090, 60201; GC
§81009(e)

ELECTIONS - CONSOLIDATED

City Clerk

CC-115 Assessment District Ballots, Protest Letters, &
Envelopes - Prop. 218 proceedings

2 years

GC §53753(e)(2)

City Clerk

CC-120
Campaign Filings (FPPC 400 Series Forms
& Form 501): UNSUCCESSFUL

CANDIDATES

5 years
Yes: After 2
years
Paper must be retained for at least 2 years; GC
§81009(b)&(g)
Sept. 27, 2022
Item #2 Page 160 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 161 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

City Clerk

2 years

GC §§34090, 60201

City Clerk

CC-155
Elections - HISTORICAL (Sample ballot,
copies of resolutions, final results;
Certificate of Election)

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.

City Clerk

CC-170

Historical Records, Photographs, & Historical
Projects (e.g. Incorporation, City Seal, Awards
of significant historical interest, etc.)

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
Sept. 27, 2022
Item #2 Page 162 of 260
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?

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

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

Yes

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
Sept. 27, 2022
Item #2 Page 163 of 260
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?

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
Yes: After
Upload and
QC

GC §§34090, 60201

City Clerk

CC-215
Recorded Documents: ALL - Deeds,
Easements, Liens & Releases, Rights of Way,
Notices of Completion, Recorded Agreements /
Contracts, Certificate of
Compliance, etc.

Yes (all)

Department preference; GC §§34090, 60201 et seq.

City Clerk

CC-220

Recordings - VIDEO of City Council

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

GC §§34090, 60201 et. seq.

Sept. 27, 2022
Item #2 Page 164 of 260
Ver. 2022.3

Page CC-10 RECORDS RETENTION SCHEDULE: CITY CLERK

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

City Clerk

Yes

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
Sept. 27, 2022
Item #2 Page 165 of 260
Ver. 2022.3 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINISTRATION Page CCA-1

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

City Manager

CCO-010
Projects, Programs, Subject & Issues
(Issues and/or projects will vary over
time)
Minimum 2
years

Department Preference; GC §§34090, 60201

Lead
Department

CCO-015 Speech Notes / PowerPoint
Presentations
When No
Longer
Required
Notes, drafts, or preliminary documents; GC §34090 et
seq.

Finance

CCO-020

Travel / Conferences
Copies -
When No
Longer
Required

Invoices are maintained by Finance; GC §34090.7

COUNCIL OFFICE
Council Office CCO-025 City Council Files Minimum 2
years
Department Preference; GC §§34090, 60201
Council Office CCO-030 Proclamations, Commendations, Awards 2 years GC §§34090, 60201
Council Office CCO-033 Program Participant Application, Registration, Liability Release and Waiver
(I.e. Citizen’s Academy, etc.)
2 years
Yes: during
class or
program
GC §§34090

Sept. 27, 2022
Item #2 Page 166 of 260
Ver. 2022.3 RECORDS RETENTION SCHEDULE: CITY COUNCIL ADMINISTRATION Page CCA-1

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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

Sept. 27, 2022
Item #2 Page 167 of 260
Ver. 2022.0 Page COM-1

RECORDS RETENTION SCHEDULE: COMMUNICATIONS

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Requesting
Department

2 years
Yes: After
Upload and
QC

Sept. 27, 2022
Item #2 Page 168 of 260
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?

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

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,

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
Sept. 27, 2022
Item #2 Page 169 of 260
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?

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)

Yes (all)

Yes: After
Upload and
QC

Department Preference; Law requires for the life of the building for commercial and common interest dwellings
only; CBC 104.7 & 107.5, H&S§19850, GC §34090

CD / Building &
Safety

CD-035

Building Plans - Finalled - SINGLE
FAMILY RESIDENTIAL - SFR and

APPURTENANCES, REMODELS,

ADDITIONS, ALTERATION, DECK,

DEMO, PATIO, POOL, REPAIR,

RETAINING WALL

2 years

Yes

CD / Building &
Safety

CD-040

Certificate of Occupancy (CofO)

Yes (all) Yes: After
Upload and
QC

Department Preference; GC §34090
Sept. 27, 2022
Item #2 Page 170 of 260
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?

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.)

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

Sept. 27, 2022
Item #2 Page 171 of 260
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?

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
Sept. 27, 2022
Item #2 Page 172 of 260
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?

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

Completio
n 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

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
Sept. 27, 2022
Item #2 Page 173 of 260
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?

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)

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.

Sept. 27, 2022
Item #2 Page 174 of 260
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?

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

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

Sept. 27, 2022
Item #2 Page 175 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 176 of 260
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?

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.

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
Sept. 27, 2022
Item #2 Page 177 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

CD /
Planning

CD-215

Preliminary Review File / PRE Files

5 years
Yes: After
Upload and
QC

Department preference; GC §34090
CD /
Planning

CD-220

Zoning Compliance Letters

P
Yes:

After
Upload
and QC

Department preference: GC §34090
No longer needed. Public request item.

CD /
Planning

CD-230
Zoning Ordinance Amendments
Reclassifications / Zone
Change

Yes Yes: After
Upload and
QC

Department Preference (copies); GC §34090.7

Sept. 27, 2022
Item #2 Page 178 of 260
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?

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
• Lighting
Hospitality & Tourism, etc.

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

Sept. 27, 2022
Item #2 Page 179 of 260
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

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

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.

Sept. 27, 2022
Item #2 Page 180 of 260
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

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; 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
Sept. 27, 2022
Item #2 Page 181 of 260
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

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

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)

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
Sept. 27, 2022
Item #2 Page 182 of 260
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

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

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.

Sept. 27, 2022
Item #2 Page 183 of 260
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

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

Yes: After
Upload and
QC

Department Preference (City has "cradle to grave"
liability); 40 CFR 262.40, 8 CCR 3204(d)(1)(A), 22
CCR 66262.40

Fire / Ops

FR-150

Pre-Fire Plans When
Superseded
Yes:

Before
Event

Preliminary drafts; GC §34090 et seq.

Sept. 27, 2022
Item #2 Page 184 of 260
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

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

Fire / Training
& Human
Resources

FR-160

Employee Training File (by employee)
Individual Training Certificates

Separation +5
years

Fire /
Training FR-170 Training RMS Database (Target Solutions) Indefinite Data is interrelated; GC §34090 et seq.

Sept. 27, 2022
Item #2 Page 185 of 260
Ver. 2022.0 Page HS-1
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Vital?
Destroy
Paper
after
Imaged &
QC'd?

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

92.42; OMB Circular A-110 & A-133; GC
§34090
Sept. 27, 2022
Item #2 Page 186 of 260
Ver. 2022.0 Page HS-2
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Vital?
Destroy
Paper after
Imaged &
QC'd?

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

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

97.42, GC §34090
Sept. 27, 2022
Item #2 Page 187 of 260
Ver. 2022.0 Page HS-3
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Vital?
Destroy
Paper after
Imaged &
QC'd?

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

Yes: While
Active
Participant

HS-060
Section 8:
• Tenant Files - Clients - WITHOUT
Unpaid Balances or Fraud
Includes Contracts & Billings

HS-065

Section 8:
• Waiting List

3 years

24 CFR 982.158, GC §34090
Sept. 27, 2022
Item #2 Page 188 of 260
Ver. 2022.0 Page HS-4
RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT
Housing Services

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Vital?
Destroy
Paper after
Imaged &
QC'd?

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

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

Sept. 27, 2022
Item #2 Page 189 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

PERSONNEL AND

RECRUITMENT

Human
Resources

HR-000

Benefit Plan Documents (CalPERS,
Optical, Dental, etc.)

Duration of
the Contract
+ 6 years

Yes: For
Duration of
Contract
EEOC / ADEA (Age) requires 1 year after benefit plan
termination; Federal law requires 6 years after filing date for retirement; State Law requires 2 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 3
4 years
Bureau of National Affairs recommends 2 years for all
supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 2 4 years; 29 CFR 516.6, 29
CFR
1602.14, GC
§§12946, 34090, 60201

Human
Resources

HR-010

Compensation Surveys & Studies

Minimum 3
4 years
Bureau of National Affairs recommends 2 years for all
supplementary Personnel records; Wage rate tables are 1 or 2 years; State requires 2 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
Sept. 27, 2022
Item #2 Page 190 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Human
Resources

HR-025

DMV Pull Notices
When
Superseded,
or Upon
Separation

Department Preference; GC §§34090, 60201

Human
Resources

HR-030
Drug & Alcohol Test Results / DOT Files (All
-
Positives and Negatives)
Filed by Employee Name

Separation
+ 5 years

Department preference; D.O.T. Requires 5 years for
positive tests, 1 year for negative tests;
EEOC/FLSA/ADEA (Age) requires 3 years physical
examinations; State Law requires 2 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

Sept. 27, 2022
Item #2 Page 191 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Human
Resources

HR-050

I-9s

Separation
+ 3 4 y ears

Yes: After
Upload
and QC
Required for 1 year from termination or 3 years from
hi
ring, whichever is later; EEOC / FLSA / ADEA (Age)
requires 3 years for "any other forms of employment
inquiry"; State Law requires 2 -3 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
+ 3 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 2 -3 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
Sept. 27, 2022
Item #2 Page 192 of 260
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?

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

Human
Resources

HR-085

Personnel Files - Benefit File, Retiree File

Includes W-4s

Separation
+ 6 years, or
Termination
of Benefits,
Whichever is
Longer

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

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
Sept. 27, 2022
Item #2 Page 193 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Human
Resources

HR-100
Recruitment and Testing File (Includes
Background Files for Unsuccessful Applicants)

(Includes Advertisements, Applications for
Unsuccessful Candidates, Interview Notes, Job
Brochures, Test Data, Testing Analysis &
statistical Metric, Job Analysis, Rating Sheets,
Scantrons, etc.)

Expiration of
Eligibility List
+ 2 4 years

Department preference; EEOC / FLSA / ADEA (Age)
requires 1-3 years; State Law requires 2 -3 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

HR-110

Workers Compensation Claims / Long Term
Disability Claims (Includes all Accident,
Incident, or Injury Reports from Employees)
Separation +
30 years or
Termination
of Benefits,
Whichever is
Longer
Yes: Until
Separation
Yes: After
Upload
and QC

Department preference; Files maintained separately;
Claims can be made for 30 years for toxic substance
exposure; 8 CCR §3204(d)(1) et seq., 29 CFR
1910.1020(d)(1)(i), GC §§12946, 34090, 60201

Sept. 27, 2022
Item #2 Page 194 of 260
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?

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
11 years When
No Longer
Required

Department preference; CCP § 337 et seq.; GC
§§ 34090, 60201
Human
Resources /
Risk
Management

HR-140

Insurance Polices (City-owned
policies)

Yes: After
Upload
and QC

Department Preference; GC §§34090, 60201

Sept. 27, 2022
Item #2 Page 195 of 260
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?

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
When No
Longer
Required
5 years

? Preliminary drafts; GC §§ 34090, 60201

Finance / Risk
Management

HR-150

Liability Database
(ACCESS Database - Claims)

Indefinite

Yes

Sept. 27, 2022
Item #2 Page 196 of 260
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?

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 + 3
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 2 -3 4 years; 29
CFR 1602.31 & 1627.3(b)(ii), 8 CCR
§3204(d)(1) et seq., GC §§12946, 34090; 29 USC
1113
Human
Resources /
Volunteer &
Meditation
HR-175

Volunteer Database

Indefinite

Data is interrelated; GC §34090

Sept. 27, 2022
Item #2 Page 197 of 260
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?

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

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

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..

Sept. 27, 2022
Item #2 Page 198 of 260
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?

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

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

GC §34090.7
Cultural
Arts CART-025 Community Arts Grants 5 years Meets auditing standards; funded by the City's General Fund; GC §34090
Sept. 27, 2022
Item #2 Page 199 of 260
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?

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

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

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
Sept. 27, 2022
Item #2 Page 200 of 260
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?

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

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)
Sept. 27, 2022
Item #2 Page 201 of 260
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?

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

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

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 Sept. 27, 2022
Item #2 Page 202 of 260
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?

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

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

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

Sept. 27, 2022
Item #2 Page 203 of 260
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?

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

GC §34090.7
Sept. 27, 2022
Item #2 Page 204 of 260
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?

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

Completion +
10 years or
After Funding
Agency Audit,
if required,
whichever is
longer

Yes: Until
Completed

Parks &
Recreation

P&R-035

Capital Improvement Projects (CIP - where
Parks & Recreation is the Lead): Permanent File
/ Scanned Records

Yes: Until
Completed

Yes:

Completion
+ 10 years

Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§34090
Sept. 27, 2022
Item #2 Page 205 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 206 of 260
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?

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

GC §34090.7
Sept. 27, 2022
Item #2 Page 207 of 260
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?

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
Sept. 27, 2022
Item #2 Page 208 of 260
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?

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

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))
Sept. 27, 2022
Item #2 Page 209 of 260
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?

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

Sept. 27, 2022
Item #2 Page 210 of 260
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?

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

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

Sept. 27, 2022
Item #2 Page 211 of 260
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?

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

Sept. 27, 2022
Item #2 Page 212 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 213 of 260
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?

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

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, non-
preventable traffic collisions)

Final
Disposition +
5 years
SB 16 - Section 832.5 (b), Department preference; State requires for at least
5 years for Citizen's complaints; other State & Federal laws require retention until final disposition of formal complaint; State requires 2 years after action is taken; Statute of Limitations is 4 years for misconduct; EVC § 1045(b)(1), GC §§12946, 34090; VC §2547
Police / PSU PD-131 Internal Affairs Investigations - Individual Officers / Complaints Against Officers -
Sustained
(May include criminal acts, moral turpitude,
complaints generated from a citizen,
preventable traffic collisions)

Final
Disposition +
15 years
SB 16 - Section 832.5 (b); EVC § 1045(b)(1), GC
§§12946, 34090; VC §2547
Sept. 27, 2022
Item #2 Page 214 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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.

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
Sept. 27, 2022
Item #2 Page 215 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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

RECORDS
Police /
Records PD-195 ALPR Photos (Automated License Plate
Reader)
1 year GC §34090.6(a)
Police /
Records PD-200 Citations & Notice to Appear - Parking,
Marijuana, & Moving
Minimum 2
years
Department preference; GC §34090 et seq.

Police /
Records

PD-205

CRIME REPORTS / INCIDENT REPORTS:

ALL, Except for those Specifically
Mentioned Elsewhere (mandated purges or
retention)

10 years
7 years

Yes

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)
Sept. 27, 2022
Item #2 Page 216 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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

Police /
Records

PD-220
CRIME REPORTS / INCIDENT REPORTS:

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)
Sept. 27, 2022
Item #2 Page 217 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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)
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

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.

Sept. 27, 2022
Item #2 Page 218 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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.

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)

Yes

Police /
Records

PD-295

Registrants: Arson - Adults

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)
Sept. 27, 2022
Item #2 Page 219 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Police /
Records PD-310 Registrants: Sex Offenders - Adults P Yes: After Upload and
QC
Department Preference; Pursuant to PC §290 et
seq.

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

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)
Sept. 27, 2022
Item #2 Page 220 of 260
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?

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

Sept. 27, 2022
Item #2 Page 221 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

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

Completion
+ 10 years or
After
Funding
Agency
Audit, if
required,
whichever is
longer

Yes: Until
Completed

Department preference; Some grant funding agencies
require audits; Statute of Limitations for Errors &
Omissions is 10 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide guidelines
propose termination + 5 years; CCP §337 et. seq., GC
§§34090, 60201 Public Works/
Construction
Management &
Inspection

PW-010
Capital Improvement Projects (CIP) & Land
Development Projects (LDE) - where
Construction Management & Inspection is
the Lead: Completion + 2 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
Sept. 27, 2022
Item #2 Page 222 of 260
Ver. 2022.3 Page PW-2 RECORDS RETENTION SCHEDULE: PUBLIC WORKS

Office of
Record Retention No. Records Description Comments / Reference Destroy

(OFR)
Total
Retention

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Completion +
3 years or
After Funding
Agency Audit,
if required,
whichever is
longer
Yes: Until
Completed

Department Preference; Monitoring records required
for 3 years; 40 CFR §§122.21, 122.41, 122.44; CCP
§337 et seq.

Public Works/
Construction
Management &
Inspection

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
Sept. 27, 2022
Item #2 Page 223 of 260
Ver. 2022.3 Page PW-3 RECORDS RETENTION SCHEDULE: PUBLIC WORKS

Office of
Record Retention No. Records Description Comments / Reference Destroy

(OFR)
Total
Retention

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)

Yes: After
Upload and
QC

Department Preference; GC §34090

Public Works/
Construction
Management &
Inspection

PW-040

Preliminary Studies / Project Assessments

Yes: After
Upload and
QC

Department Preference; GC §34090
Sept. 27, 2022
Item #2 Page 224 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

ENVIRONMENTAL MANAGEMENT SUSTAINABILITY
Public Works/
Environmental
Management
Sustainability

PW-045 California Integrated Waste Management Act
(AB 939) Annual Report Compliance

10 years

Department preference; GC §34090 et seq.

Public Works/
Environmental
Management
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
Management
Sustainability

PW-060

Habitat Management Plan / Annual Reports

P
Yes: After
Upload and
QC

Department Preference; GC §34090
Public Works/
Environmental
Management
Sustainability

PW-065 Household Hazardous Waste (HHW) / Manifests
for Annual Event

3 years

14 CCR 18812.4; GC §34090
Public Works/
Environmental
Management
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
Management
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
Management
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
Sept. 27, 2022
Item #2 Page 225 of 260
Ver. 2022.3 Page PW-5 RECORDS RETENTION SCHEDULE: PUBLIC WORKS

Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference
Office of
Record Retention No. Records Description

Total
Retention
Comments / Reference

(OFR)

Vital?
Destroy
Paper after
Imaged &
QC'd?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Public Works/
Environmental
Management
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
Management
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
Management
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
Management
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
Management
Sustainability

PW-105

Stormwater: TMDL Plan (Total Maximum
Daily Load) Plan

PW-110 Water Quality Improvement Plans
(Commercial, Private Development)
Superseded
+ 5 years

Department preference; GC §34090 et seq.

Sept. 27, 2022
Item #2 Page 226 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

GENERAL SERVICES/MAINTENANCE FACILITIES &
FLEET
Lead Department

PW-115 AQMD Permits (Generators, etc.) 5 years 40 CFR 70.6; GC §34090 Public Works/
General
Services/
Maintenance
Facilities and
Fleet

PW-120

Facility Inspections

2 years

GC §34090
Public Works/
General
Services/
Maintenance
Facilities and
Fleet

PW-125 Generator Operation Logs & Inspections -
Fixed / Stationary Generators

3 years

AQMD Rule 1470; GC §34090
Public Works/
General
Services/
Maintenance
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/
General
Services/
Maintenance
Facilities and
Fleet

PW-135

GIS / Sidewalk Maintenance Database

Indefinite

Data is interrelated; GC §34090
Sept. 27, 2022
Item #2 Page 227 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Public Works/
General
Services/
Maintenance
Facilities and
Fleet OR Fire

PW-140

Hazardous Waste Manifests / Certificates of
Disposal

Lead Department

PW-150

Pesticide Use Permits & Applications

2 years
Department Preference (agricultural pesticide
records are required for 2 years); GC §34090; 3 CCR
6623, 40 CFR 171.11 et seq.

Lead Department

PW-155
Pre-Trip Inspections / DOT Program / CHP
Inspections / Vehicle Safety Checks / Daily
Vehicle Inspections / Daily Equipment Checks

2 years

GC §34090; 3 CCR 1234(3)
Public Works/
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/
General
Services/
Maintenance
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/
General
Services/
Maintenance
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)
Sept. 27, 2022
Item #2 Page 228 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Public Works/
General
Services/
Maintenance
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/
General
Services/
Maintenance
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.

Public Works/
General
Services/
Maintenance
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

Sept. 27, 2022
Item #2 Page 229 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

TRAFFIC & MOBILITY
Public Works /
Traffic & Mobility

PW-210

Master Plans: Traffic & Mobility

10 years
Yes: After
Upload and
QC

Department preference; GC §34090
Public Works /
Traffic & Mobility

PW-215

Signal Maintenance Logs

10 years

Department preference; GC §34090

Police

PW-220

Traffic Collision Reports
Copies -
When No
Longer
Required

copies; GC §34090.7
Public Works /
Traffic & Mobility

PW-225 Traffic Congestion Management Plans /
Transportation Plans

10 years

Department preference; GC §34090
Public Works /
Traffic & Mobility

PW-230

Traffic Counts

10 years

Department preference; GC §34090
Public Works /
Traffic & Mobility

PW-235

Traffic Investigation Reports

5 years

GC §34090
Public Works /
Traffic & Mobility
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)
Sept. 27, 2022
Item #2 Page 230 of 260
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?

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Public Works /
Traffic & Mobility
City Clerk

PW-250 Traffic Safety Commission

MINUTES, BYLAWS & RESOLUTIONS

Yes

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.

Yes: Until
Completed

Yes:

Completio
n.
+ 10 years

Department preference; retained for disaster
preparedness purposes; Statewide guidelines propose
Permanent for Infrastructure plans; GC
§§34090, 60201
Sept. 27, 2022
Item #2 Page 231 of 260
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?

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

Yes (all)
Yes: Until
Completed

No
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)

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.

Yes: After
Upload and
QC

Department preference; Drafts should be
destroyed; GC §34090
Sept. 27, 2022
Item #2 Page 232 of 260
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?

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

Yes (all)

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
Sept. 27, 2022
Item #2 Page 233 of 260
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?

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
Sept. 27, 2022
Item #2 Page 234 of 260
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?

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

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.

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

Yes (all)

No
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
Sept. 27, 2022
Item #2 Page 235 of 260
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?

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

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.

Department preference; GC §34090
Sept. 27, 2022
Item #2 Page 236 of 260
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?

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

Department preference; GC §34090
Sept. 27, 2022
Item #2 Page 237 of 260
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?

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

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
Sept. 27, 2022
Item #2 Page 238 of 260
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?

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
Sept. 27, 2022
Item #2 Page 239 of 260
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?

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
Sept. 27, 2022
Item #2 Page 240 of 260
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?

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

Department preference; GC §60201

Public Works/
Utilities / Water
& Recycled
Water

PW-550

Reservoirs, Reservoir Maintenance

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

Department preference; GC §60201
Sept. 27, 2022
Item #2 Page 241 of 260
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?

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)

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

Yes: After 3
months

Department preference; GC §60201
Sept. 27, 2022
Item #2 Page 242 of 260
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?

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)

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)

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

Sept. 27, 2022
Item #2 Page 243 of 260

Exhibit 3

RECORDS MANAGEMENT PROGRAM

Sept. 27, 2022
Item #2 Page 244 of 260

CITY OF CARLSBAD

RECORDS MANAGEMENT PROGRAM

TABLE OF CONTENTS

Section 1. Statement of policy

Section 13. Withholding records from inspection

Section 14. Records Protection and Disaster Recovery Planning Program Sept. 27, 2022
Item #2 Page 245 of 260

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 Department 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 creat ion to their ultimate disposition, consistent with the requirements in accordance with the state and federal regulations.

C. The declared purpose of the Records Management Program is to provide for the proper and efficient administration of the City of Carlsbad records.

SECTION 2. CITY OF CARLSBAD RECORDS MANAGEMENT PROGRAM

All City records must be created, maintained, and disposed accordingly and all requirements, policies and procedures established pursuant to the Records Management Program.

SECTION 3. RECORDS DEFINITIONS

Active: Records that are required for day -to-day business and are subject to frequent use; generally referred to more than once per month per file drawer.

Administrative Value: A record that assists in the operation of government, and ei ns ures 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.

A
doption: Final action by a legislative body.

AIIM: Association for Information and Image Management.

Sept. 27, 2022
Item #2 Page 246 of 260

Alphanumeric: A filing system combining alphabetic and numeric symbols.

ANSI: American National Standards Institute.

Archival Record: A record with permanent retention because of its historical, legal or fiscal value.

Archives: A repository for housing permanent or historic records, whether in hard copy, electronic, microfilm or imaging form, which must be preserved and protected from destruction.

ARMA: Association of Records Managers and Administrators, Inc.

Audit: Review for acceptance of records relating to operations, policies and procedures, financial documentation and historical documents by regulating agencies.

CD-ROM: A storage medium that uses lasers to encode images or information in digital form and to read the image data from the disk.

Closed/Completed: A file or record on which action has been completed and to which an audit or further action is not likely to occur.

Coding: Marking the indexing units on the document to be filed.

Commercial Records Center: A records center, operated by a private company, housing the records of many different companies on a fee basis.

Confidential Records: Those records to which access by unauthorized City personnel and/or the public are not permitted, for example: personnel records.

Copy: A reproduction of the contents of an original document, which is not the official file copy of the agency. Copies are usually identified by their function, i.e., action copy, reading file copy, tickler file copy, etc. In mo st 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.

Sept. 27, 2022
Item #2 Page 247 of 260

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.

Fiscal Value: Documents a nd accounts for receipt of or expenditure of public funds such as budget, ledgers or accounts receivable and payable, payrolls, and vouchers.

Documents availability of funds for operational purposes. In appraisal, records required until a financial audit is completed or financial obligations are fulfilled.

Hard Copy: Original paper document.

Historical Value: Refers to the retention of records which have enduring value because they reflect significant historical events or document the history and development of the City.

Holdings: Total volume of records stored in a records center.

Inventory: pProcess 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 Sept. 27, 2022
Item #2 Page 248 of 260

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 determine d by assessment of administrative, legal, fiscal and historical values.

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.

Sept. 27, 2022
Item #2 Page 249 of 260

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.

Reader: Machine that magnifies the microfilm for viewing.

Reader/Printer: Machine that magnifies the microfilm for viewing and can reproduce the enlarged microfilm images.

Record: Recorded information of any kind and in any form.

Record Copy: The original or official copy of a record maintained by an agency, sometimes referred to as the designated original, or blue -ribbon copy.

Records Center: Central repository for housing inactive records until they have met their retention requirements and may be destroyed.

Records Retrieval: Locating documents and delivering them for use.

Sept. 27, 2022
Item #2 Page 250 of 260

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.

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, videotap es, 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.

Sept. 27, 2022
Item #2 Page 251 of 260

SECTION 4. RECORDS MANAGEMENT DEPARTMENT

The Records Management division Department manages the official files for the City of Carlsbad and is responsible for maintaining and updating the Records Retention Schedule; Records Management Guidelines and Procedures; and Records Destruction Request for the City of Carlsbad.

The Records Management d ivision Department provides a service function to the community as well as a service-oriented support function to other departments within the City of Carlsbad structure. The Goal of the department is to anticipate and meet the changing needs of both the citizens and internal departments of the City.

SECTION 5. OWNERSHIP AND CUSTODY OF CITY RECORDS

A. Every city record is the property of the City of Carlsbad. No City officer or employee has, by virtue of the position of the position any personal or property right to a City record even though the City officer or employee may have developed or compiled the record.

The unauthorized alteration, destruction, deletion, removal from files, or use of a cC ity 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 b y 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 main tenance 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.

Sept. 27, 2022
Item #2 Page 252 of 260

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:

D. Records Management Program Manager:

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;

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.

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:

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.

Sept. 27, 2022
Item #2 Page 254 of 260

SECTION 7. RECORDS INVOLVED IN PUBLIC RECORDS REQUESTS, PENDING

LITIGATION, OR AUDITING

SECTION 8. RECORDS MANAGEMENT PROGRAM TO BE DEVELOPED AND

APPROVED

I) Adequately protect the essential records of the City;

2) Properly preserve City records that are of historical value;

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 to reading, processing, or preserving City records until disposition of the records is authorized;

9) Provide for the creation of adequate audit trails;

10) Incorporate electronic records management objectives, responsibilities, and authorities in pertinent City directives, policies and procedures;

11) Ensure the ability to access City records regardless of form or medium.

SECTION 9. RECORDS RETENTION SCHEDULE

Sept. 27, 2022
Item #2 Page 256 of 260

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.

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

A City record whose retention period has expired on an approved Recor ds 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;
Sept. 27, 2022
Item #2 Page 257 of 260

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.

SECTION 11. CONDITIONS OF DESTRUCTION

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.

Sept. 27, 2022
Item #2 Page 258 of 260

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

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.

E. Certain measures and provisions have been implemented for the protec tion and preservation of City records and are as follows:

Sept. 27, 2022
Item #2 Page 259 of 260

Sept. 27, 2022
Item #2 Page 260 of 260

Carlsbad City CouncilSeptember 27, 2022

Carlsbad City Council
September 27, 2022