CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
A. General
Proper retention of personnel records is essential to the City's legal compliance, operational efficiency, and risk management. All personnel records must be retained according to the Retention Schedule below and destroyed securely when eligible.
B. Litigation Hold Override
No record may be destroyed if subject to a litigation hold, audit, PRA request, investigation, or claim, regardless of the retention period.
C. Records Destruction Documentation
Departments shall complete a Records Destruction Log identifying the records destroyed, retention authority, date, and method of destruction.
D. Retention Schedule Review Cycle
The Human Resources Manager shall review this schedule at least every five years or sooner if laws or operational needs change.
E. Confidential Destruction of Records
Records containing personal, confidential, or sensitive information must be destroyed in a secure manner that prevents unauthorized access or reconstruction.
Personnel records requiring confidential destruction include medical information, accommodation records, payroll and financial information identifying an employee, complaint and investigation files, performance and disciplinary records, background investigations, leave records, and any other record exempt from disclosure under Government Code section 6254(c) or protected by state or federal privacy laws.
Confidential destruction must be accomplished through secure shredding, pulping, incineration, or certified digital deletion.
F. Duplicate and Convenience Copies
Duplicate or convenience copies of personnel records that are maintained only for reference, informational, or administrative purposes are not official records and may be destroyed at any time when no longer needed, provided they are not subject to a litigation CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
hold, investigation, audit, or Public Records Act request. Only the designated official record copy must be retained according to the Retention Schedule.
G. Departmental Responsibility and Record Storage Standards
1. Each department is responsible for maintaining its personnel-related records in accordance with this policy and ensuring that the official record copy is transferred to Human Resources when required.
2. Records containing confidential or personally identifiable information must be stored in secured physical or electronic locations with access limited to authorized staff.
3. Electronic records must be maintained in a manner that ensures accessibility, reliability, and prevention of unauthorized alteration.
4. Departments must not create parallel personnel files except as expressly permitted (e.g., supervisor working files), and such files must be purged annually to remove duplicate or outdated materials.
5. HR shall provide guidance to departments on the proper classification, storage, and retention of personnel-related records.
H. Prohibited Records Practices
1. Departments and supervisors shall not maintain unofficial or undisclosed personnel files on employees. All performance-related documents intended to be part of the employment record must be forwarded to Human Resources for inclusion in the official personnel file.
2. Medical information, including workers’ compensation medical documents, shall not be stored in personnel files and must be maintained only in designated confidential medical files in compliance with the CMIA, ADA, and FEHA.
3. Personnel records shall not be destroyed, altered, or removed outside the requirements of this policy.
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
Comprehensive Personnel Records Retention Schedule
This document contains the final, fully compliant personnel records retention schedule based on the California Secretary of State Local Government Records Management Guidelines, applicable state and federal laws, and the City’s operational needs. All records must be retained for the periods listed unless subject to a litigation hold, audit, investigation, Public Records Act request, or other legal requirement.
Notes:
• Active means retained until the triggering event occurs (e.g., employee separation, policy revision, program completion).
• Official Record Copy. Only the official version of a record must be retained for the full retention period. Duplicate or convenience copies may be destroyed at any time when no longer needed, unless subject to a legal hold. • Confidential Destruction. Records containing personal, confidential, or medical information must be destroyed through secure confidential destruction methods consistent with Section 14.4.F.
• Retention Codes. “AU” means the retention period begins after completion of required audits. “T” means the retention period begins upon employee termination.
• Litigation Hold Reminder. No record may be destroyed if subject to a litigation hold, investigation, audit, or Public Records Act request, regardless of retention period.
• Format Neutrality. Records may be retained in electronic or paper format as long as the format preserves integrity, accessibility, and confidentiality. • All personnel records are subject to a 4-year minimum retention under Gov. Code § 12946.
Record Type Retention
Period
Triggering
Event
Legal Authority
A. Recruitment & Hiring Records
Job postings / recruitment
notices
2 years Close of
recruitment
29 CFR 1602;
FEHA
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
Applications (hired / not
hired)
4 years Close of
recruitment
SOS; EEOC
Interview documents 4 years Close of
recruitment
SOS
Eligibility lists, scoring,
ranking
4 years Expiration of
eligibility list
SOS
Background investigations
(non-medical)
4 years Final candidate
disposition
(hired, not hired,
or withdrawal).
EEOC
Pre-employment testing
records
2 years Final candidate
disposition
(hired, not hired,
or withdrawal).
EEOC
I-9 forms 3 years after hire
or 1 year after
termination
(later)
Hire + 3 OR
termination + 1
8 CFR 274a.2
B. Personnel File – Core Records
Personnel file – general
contents
Active + 4 years Employee
separation
Gov. Code
§12946
Duty statements / job
descriptions
Active Superseded by
new version
SOS
Performance evaluations Active + 4 years Employee
separation
Best Practice
Probationary records Active + 4 years Completion of
probation
SOS
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
Disciplinary records Active + 5 years Employee
separation or
MOU expiration
Gov. Code 12946
Employee
acknowledgments
Active + 3 years Employee
separation or
supersession
Best Practice
Supervisor working files Active Integration into
personnel file or
separation
Best Practice
Commendations /
recognition
Active + 4 years Employee
separation
SOS
C. Payroll, Finance & Attendance Records (SOS Finance)
Employee time sheets AU + 6 years Payroll cycle
AND audit
completion
SOS Finance
Payroll checks / warrants AU + 5 years Payment cycle
AND audit
completion
SOS Finance
Payroll adjustments AU + 4 years Payroll
adjustment cycle
AND audit
completion
SOS Finance
Labor distribution reports AU + 2 years Fiscal period end AND audit
completion
SOS Finance
Salary records T + 3 years Employee
separation
(record remains
active while
SOS Finance
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
employee is
employed).
Tax reporting records AU + 4 years Tax year end
AND audit
completion
SOS Finance
CalPERS deduction
reports
T + 4 years Employee
separation
SOS Finance
Payroll register Permanent Never triggers GC 34090
D. Training & Certification Records
General training records 4 years (unless
safety-certified
record with
longer period)
Completion of
training
Gov. Code
§12950.1; SB
807; SOS
Harassment prevention
training
5 years Completion of
training
Gov. Code
12950.1
Ethics training 5 years Completion of
training
Gov. Code
53235.2
Safety training (OSHA) 5+ years Completion of
training cycle
OSHA
Licenses & certifications Active + 2 years Employee
separation or
expiration
Best Practice
E. Leave, Benefits & Accommodation Records
FMLA/CFRA leave
records
3 years Case closure 29 CFR 825.500
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
ADA/FEHA
accommodation records
Active + 4 years Separation or
resolution
ADA; FEHA
Medical leave
documentation
Active + 2 years Employee
separation
CMIA
Workers’ compensation
claims
5 years after
closure (longer if
claims involve
medical
exposure)
Case closure WCAB
COBRA notices 6 years End of eligibility
period
IRS/ERISA
Benefits enrollment
records
Active + 5 Employee
separation
IRS
Beneficiary designations Active + 5 Employee
separation
Best Practice
F. Medical & Safety Records (Separate Confidential Files) Medical records (nonexposure)Active + 2 Employee
separation
ADA; CMIA
Toxic exposure medical
records
30 years Employee
separation
8 CCR 3204
OSHA 300/300A/301 logs 5 years after the
end of the year
the log covers.
End of the year
the log covers.
OSHA
Drug/alcohol test results
(DOT)
1–5 years Completion of
testing cycle
49 CFR Part 40
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
Drug/Alcohol Testing
(non-DOT personnel)
4 years Completion of
testing process
OR final
employment
action, whichever
is later.
Gov. Code
§12946; FEHA;
Best Practice
G. Labor Relations & Grievances
Grievances / action
requests
Active + 4 years Resolution of
grievance
SOS
Labor relations files Active + 4 years Close of
negotiations
SOS
MOUs / labor agreements Active Superseded by
next agreement
Best Practice
H. Risk Management, Legal & Compliance Records
Harassment/discrimination
complaint files
4 years after the
later of (a) case
closure, (b)
separation of
accused, or (c)
final
administrative
action.
Gov. Code 12946
Whistleblower
investigations
5 years Case closure Gov. Code
Workplace violence /
threat assessments
Active + 5 or 4
years after
separation,
whichever is
longer
Case closure (or
employee
separation if
later).
Best Practice
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
Litigation hold notices Hold + 3 years Release of hold Legal Requirement
Subpoena responses 5 years Completion of
response
Best Practice
I. Separation Records
Resignation letters Permanent Never triggers Best Practice Exit interviews 4 years Employee
separation
Best Practice
Final pay documentation 4 years Employee
separation
Labor Code 1174
Unemployment insurance
claims
3 years Case closure EDD
Retirement / CalPERS
enrollment
Permanent Never triggers Audit
Requirement
J. Miscellaneous Personnel Records
Emergency contact
information
Active Employee
separation
Best Practice
Employee ID / badge
records
Active + 1 Employee
separation
Security
DMV pull-notice program
files
3 years Completion of
annual pullnotice cycle OR
employee
separation,
whichever later.
DMV
Regulations
CITY OF FORTUNA Personnel Files
Personnel Files and Comprehensive Personnel
Records Retention Policy
Adopted:
Revised:
Initiating Department:
12/XX/2025
Human Resources
Telecommuting
agreements
Active + 2 Employee
separation or
agreement
superseded
Best Practice