03 - Amendments to the Records Retention Schedule — Newport Beach City Council, April 11, 2023

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TO:

FROM:

CITY OF

NEWPORT BEACH
City Council Staff Report
April 11, 2023
Agenda Item No. 3

HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
Leilani I. Brown, City Clerk - 949-644-3005,
([email protected]
PREPARED BY: Cassandra Hawks, Records Specialist
[email protected]
PHONE: 949-644-3005
TITLE: Resolution No. 2023-17: Amendments to the Records Retention Schedule
ABSTRACT:

The City of Newport Beach (City) continues to improve its records management program, including updating the Records Retention Schedule (RRS) to incorporate new laws and business practices. At its August 24, 2021 meeting, the City Council approved Resolution No. 2021-75, which amended sections of the RRS, authorized destruction of certain City records, and indicated that major or substantive revisions to the RRS are required to be considered by the City Council for review and approval. A list of proposed amendments, resulting from a recent review of the RRS, is attached for the City Council's review and approval.

RECOMMENDATIONS:
a) Determine this action is exempt from the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the CEQA Guidelines because this action will not result in a physical change to the environment, directly or indirectly; and
b) Adopt Resolution No. 2023-17, A Resolution of the City Council of the City of Newport Beach, California, Amending Certain Sections of the Records Retention Schedule and Authorizing Destruction of Certain Records Accordingly.

DISCUSSION:

In August 2003, the City adopted the RRS, which provided records descriptions and applied retention periods to City records. Since then, the City Council has approved revisions to the RRS in 2006, 2016, 2018, 2019, and 2021 to keep the RRS as up-to-date as possible. The City's consultant, Diane Gladwell of Gladwell Governmental Services, Inc., who specializes in local government records, periodically reviews the City's RRS and provides recommended updates based on new laws and business practices. 3-1

Resolution No. 2023-17: Amendments to the Records Retention Schedule April 11, 2023

Page 2 ends

On an as -needed basis, the City Clerk's Office meets with records staff from each department to review their specific records. This collaboration, along with changing records management laws and practices, has brought about the need to make additional changes to the RRS. The changes include consolidating retention codes, creating new codes to remain compliant with legal requirements, deleting retention codes, and moving documents to the department that now maintains those records.

The City Clerk's Office, City Attorney's Office, and Diane Gladwell have reviewed staff's requested revisions to the RRS and, based on best practices, all agree that the recommended changes are acceptable.

FISCAL IMPACT:

There is no fiscal impact related to this item.

ENVIRONMENTAL REVIEW:

Staff recommends the City Council find this action is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly.

NOTICING:

The agenda item has been noticed according to the Brown Act (72 hours in advance of the meeting at which the City Council considers the item).

ATTACHMENT:

Attachment A — Resolution No. 2023-17
3-2

ATTACHMENT A
RESOLUTION NO. 2023-17

A RESOLUTION OF THE CITY COUNCIL OF THE CITY

OF NEWPORT BEACH, CALIFORNIA, AMENDING

CERTAIN SECTIONS OF THE RECORDS RETENTION

SCHEDULE AND AUTHORIZING DESTRUCTION OF

CERTAIN RECORDS ACCORDINGLY
WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Newport Beach ("City"); WHEREAS, California Government Code Section 34090 et seq. provides a procedure whereby any City record that has served its purpose and is no longer required may be destroyed;
WHEREAS, the State of California has adopted guidelines for retention periods for various government records;
WHEREAS, on August 12, 2003, the City Council adopted Resolution No. 2003- 39, approving the initial records retention schedule ("First Records Retention Schedule"); WHEREAS, on December 12, 2006, the City Council adopted Resolution No. 2006-104, amending the First Records Retention Schedule; WHEREAS, on February 8, 2011, the City Council adopted Resolution No. 2011- 18, adopting a new records retention schedule and rescinding Resolutions Nos. 2003-39 and 2006-104 ("Second Records Retention Schedule");
WHEREAS, on May 13, 2014, the City Council adopted Resolution No. 2014-35, adopting a new records retention schedule and rescinding Resolution No. 2011-18 ("Third Records Retention Schedule");
WHEREAS, the City Council has adopted Resolution Nos. 2016-48, 2018-18, 2019-24, and 2021-75 amending the Third Records Retention Schedule ("Records Retention Schedule"); and
WHEREAS, the City is continuing to improve its Records Management program, including updating the City's Records Retention Schedule to incorporate new laws and business practices.

NOW, THEREFORE, the City Council of the City of Newport Beach resolves as follows..
3-3

Resolution No. 2023-

Page 3 of 3 ends

Section 8: The City Council finds the adoption of this resolution is not subject to the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Division 6, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly.

Section 9: This resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall certify the vote adopting the resolution.

ADOPTED this 11'h day of April, 2023.

Noah Blom
Mayor
ATTEST:

Leilani I. Brown
City Clerk
APPROVED AS TO FORM:

CITY ATTORNEY'S OFFICE
Aaron C. Harp
City Attorney
Attachment(s):

Exhibit 1 — 2023 Records Retention Schedule Update — Individual Proposed Changes Exhibit 2 — 2023 Records Retention Schedule — Redline Draft 3-4

Exhibit 1
2023 Records Retention Schedule Update —
Individual Proposed Changes
3-5

MEN,
rrk's 0�fflc.(CCCI)
Wrdicates
Amended text - no need for CC approval
Official Records / Recorded
Documents: Abandonments,
City Clerk's Office
City Clerk
CC-045
Covenants, Deeds, Deed
Amended Text
Restrictions Easements,
Entitlements, Vacations, etc.

UNALTERABLE MEDIA/

IMMUTABLE CLOUD BACKUP,
For legal compliance for Trustworthy Electronic Records City Clerk's Office
City Clerk
CC-066
WORM / DVD-r/ CD-r / Blue Ray-
(when the electronic record serves as the official record); R or other unalterable media that
must be stored in a "safe and separate location"; GC
does not permit additions,
34090, 12168.7, EVC 1550, OCR 22620 et seq.
deletions, or changes
3-6

Action Requested
Department/Division
Current OFR
Current
Classification
Records Description
Specific Request /Comments /Reference /
No.

Information/Reasoning /Clarification Needed
Report to the State Commission on
Peace Officer Standards and Training
(POST Commission) of peace officer
olice
Police
PD-097
employment, compliant, finding,
New Code Added
disposition, or judgement pursuant to
§PC 13510.9. Does not include the
records any such report is based on.

AN
Amended Text: `
Incident Reports (DR#)/Sealed Cases
^ajWit 18 f9F-••• •--9%A'- - and -`
yea-Se-"ng
j
••; CCP §§340.1, GC
Police
Police
PD-053
(Juveniles &Adults)
A1
§34090; GC §68152(g)(1), `"'°..�.a{o,
,lice
Police
PD-053.1
Incident Reports (DR#); Sealed Cases
New Code Added
A
(childhood sexual assault)
3-7

Action Requested
Department/Division
Current OFR
Current
Classification
No.

Records Description
Specific Request /Comments /Reference /
Information/Reasoning /Clarification Needed
�
Application for Temporary
Permit to Operate Fire
Department, candles, (e.g.
weddings) candle program (e.g.

Amended Text: Records moved from Building to Fire as
Fire(FR)
Fire
FR-000
restaurants), pyrotechnic display,
open flame, tents, LPG, etc.) /
Fire maintains these permits
Provisional State regulated
occupancies / temporary use
permits
A
Indicates New Code
�:

Action Requested
Department/Division
Current OFR
Current
Classification
No.

Records Description
Specific Request /Comments /Reference /
Information/Reasoning /Clarification Needed
Administrative Citations
relating to Harbor
Operations / Harbor
MP
Harbor
Harbor Dept
HBR-002
Amended Text; Moved from Code Enforcement CE-003
Code Enforcement Cases
/ Harbor Warnings,
Citations, and Violations
A
Indicates New Code
WX

Action Requested
Department/Division
Current OFR
Current
Classification
No.

Records Description
Specific Request/ Comments / Reference /
Information/Reasoning /Clarification Needed
Indicates Deleted Code
Indicates AmendeclText
1O99's, 1O96's, DE542
(California Report ofAmended
Finance
Finance
FIN-030
Independent
Text
Indicates New Code
A
Contractors)
3-10

Current
ecific Request / Comments / Reference
Sp /
Action Requested Department/Division
Current CFR
Classification
Records Description
No.

Information/Reasoning /Clarification Needed
r
Code Enforcement Case Files:

Amended Text; CDD requested to keep
Code Enforcement or
Code Enforcement
CE-001
Violations / Warnings /
violations/warnings/citations permantly to match case
A
Fire
or Fire
CodeEnforcement / Citations
files kept permanently -
rF
F^cyn
Cr Ogg
..VCgta"^^„'^^•:

Deleted Code: this code was moved to Harbor;
lice
ec-F+Fe
.../Vessel i
violations/warnings/citations moved to CE-001
D
3-11

Current
Specific Request / Comments / Reference /
Action Requested
Department/Division
Current OFR
Classification
Records Description
No.

Information/Reasoning /Clarification Needed
�
n,feffated Waste Reports /
CalRecycle Reports / Daily Records /
Public Works /
Public Works
PW-076
Weight Records/ Hazardous
Amended Text
Refuse
Material Screening (Becomes part of
A
Waste Stream)
Project Files: City Infrastructure and
Facilities Projects - Administration
File: Project Administration, Project
Amended Text: Certified payroll is covered under PW-
Public Works
Public Works
PW-007
Schedules, Invoices, Logs, Work
031
Reports (Inspector Reports) GeFt f Ad
AayceR etc
A
3-12

Action Requested
Department/Division
Current OFR
Current
Classification
Records Description
Specific Request /Comments /Reference /
No.

Information/Reasoning /Clarification Needed
r
W 01
PeFffl ts� Exp Fed by Time Limitations
(Abandoned) Building
Deleted: This code was combined with BL-011 (see
Building
Building
below)
D
PERMITS: Expired by Time Limitations
Amended Text: Department Preference to cover the
(Abandoned) Building Permits -
Projects that have NOT been Started
period of time for reduced fees; Content is NOT
Building
Building
BL-011
��„�m;µ,� � „T - � Plans
substantive: Permits expire if work is not commenced
within 180 days, and may be extended for 180 days if
requested; GC §34090
A
PLANS: Approved Construction
Documents and Plans -ALL
(COMMERCIAL & RESIDENTIAL)
(includes soils reports, energy
calculations, commercial structural
Building
Building
BL-012
plans, commercial structural
Amended: Retention changed to Permanent to match
calculations, Private NPDES permits,
current practices
Hazardous Materials Questionnaire,
applications, Flame Retardancy
Certificates, Floor Plan Drawings, fire
lanes, fuel modification, business for
occupancy load, etc.)
A
Building
Building
W Oil
rF Permits,
Deleted Code: This code was combined with BL-013
D
Sta#ed
Building
Building
BL-013
PLANS: CANCELLED or EXPIRED
Amended Text
A
Permits, No Work Started
Requests & Permissions to Receive
Amended Text: Added Mfr, OD to Media Options;
Building
Building
BL-022
Copies of Plans (Correspondence to
Added S/I to Image; Added Yes: After QC & OD to
and from architects)
Destroy Paper
A
Deleted Code: Moved from Building to Fire as Fire
✓ uildin
Building
3L 024
maintains these permits
D
3-13

Current
Specific Request /Comments /Reference /
Action Requested
Department/Division
Current OFR
Classification
Records Description
No.

Information/Reasoning /Clarification Needed
Wig-
p a:,:.:R
Deleted Code: Moved to CC-045
D
Environmental Determinations: Environmental
Amended Text: Final EIRs are kept permanently with PIL
Impact Reports (EIRs), Negative Declarations,
023; Not all internal communications and notes are
etc.) / CEQA / NEPAAII written evidence or
required to be saved; "E-mails that do not provide
correspondence submitted to, or transferred
insight into the project or the agencys CEQA
Planning
Planning
PL-030
from, the City and all internal agency
compliance with respect to the project — are not within communications, including staff notes and
the scope of section 21167.6, subdivision (e) and need
memoranda related to a project or related to
not be retained. PRC 21167,6; GC §34090; Golden Door
the City's compliance with
v Sup. Ct., 53 Cal. App. 5th 733 (2020).

A
3-14

Exhibit 2
2023 Records Retention Schedule — Redline Draft
3-15

HOW TO USE RETENTION SCHEDULES
01995-2023 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided.

The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed.

Copies or duplicates of records should never be retained longer than the prescribed period for the original record.

STRUCTURE: CITYWIDE. DEPARTMENTS & DIVISIONS
The City-wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining the original record for the prescribed length of time.

Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference.

BENEFITS
This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits:
• Reduce administrative expenses, expedite procedures
• Free filing cabinet and office space
• Reduce the cost of records storage
• Eliminate duplication of effort within the City
• Find records faster
• Easier purging of file folders
• Determine what media should be used to store records
For questions, please contact the City Clerk.

AUTHORIZATION TO DESTROY RECORDS:

Destruction of an original record that has exceeded its retention period must be authorized according to City Policies & Procedures rior to destroying it.
• If there is a minimum retention ("Minimum 2 years"), destruction of the document must be authorized before it is destroyed, as it is an original record.

Copies, drafts, notes and non -records do NOT require authorization, and can be destroyed "When No Longer Required."
• If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy.

On every page of the schedules (near the top, just under the column headings) are important instructions, including instructions regarding holds on destroying records. "Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion)."
3-16

RECORDS RETENTION SCHEDULE LEGEND
01995 — 2023 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or "record copy." Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.)
Records Description: The record series (a group of like records).

Transitory Records not retained in the ordinary course of business, that do NOT have substantive content: Preliminary drafts, notes, or interagency or intra- agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a "trusted system", etc.

Non -Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business.

Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off -site storage, stored on Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time.

P = Permanent
Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated.

Vital? = Those records that are needed for basic operations in the event of a disaster.

Media Options (guideline) — the form of the record: Mag = Electronic Computer Magnetic Media (Hard drives, Networks, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper
OD = Optical Disk, CD-r, DVD-r, WORM, or other media which does not allow changes Scan / Import (guideline): "S" indicates the record should be scanned into the document imaging system, "I" indicates the record should be electronically imported into the document imaging system; "M" indicates the record should be microfilmed
Destroy Paper after Imaged & QC'd / Trustworthy Electronic Record: "Yes" indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed, or the record may be electronically generated and never exist in paper format;) IF (legal requirements) the document has been imaged (electronically generated, scanned or imported and placed on Unalterable Media, Immutable Cloud Media, DVD-R, CD- R, Blue-ray-R, or WORM — Write Once Read Many Media, or microfilmed) which is stored in a safe & separate location, and both the images and indexing Quality Checked ("Wd"). The electronic record or image must contain all significant details from the original and be an adequate substitute for the original document for all purposes, and other legal mandates apply. Includes all electronic records which are to serve as the Official Record.

Legend for legal citations (§: Section)
CC: Civil Code (CA)
CFC: California Fire Code
EVC: Evidence Code (CA)
FTB: Franchise Tax Board (CA)
HUD: Housing & Urban Develop. (US)
PC: Penal Code (CA)
UFC: Uniform Fire Code
W&I: Welfare & Institutions Code (CA)
B&P: Business & Professions Code (CA)
CCP: Code of Civil Procedure (CA)
CFR: Code of Federal Regulations (US)
FA: Food & Agriculture Code
GC: Government Code (CA)
LC: Labor Code (CA)
PRC Public Resources Code
USC: United States Code (US)
CBC: California Building Code
CCR: California Code of Regulations (CA)
EC: Elections Code (CA)
FC: Family Code (CA)
H&S: Health & Safety Code (CA)
Ops. Cal. Atty. Gen..: Attorney General Opinions (CA)
R&T: Revenue & Taxation Code (CA)
VC: Vehicle Code (CA)
3-17

Ver, 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of
Classification
Records Description
Retention 1 Disposition
Comments 1 Reference
Record
OR
File Number
Inactive
Active
Total
Media
I Destroy
Image: Paper
I=Import
(OFR)
(Off -site,
(in office)
Vital?
Retention
Options
after
M=Mfr
OD or Mfr)
Imaged &
S=S ca n
Warnings! If "Lead Dept. " is indicated as the OFR, and au are the Lead, then the retention indicated applies (they are originals).

If vou are the OFR, refer to your department schedule
If vouarp NOT the "Lead Dent
; the documents only need to be retained until no longer reuired (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records re nests, and/or investigations suspend normal retention periods retention resumes after settlement).

CITY-WIDE (Applies to ALL De artments
Human
Accident, incident, injury
Copies -
Copies -
Resources I
CW-001
reports: EMPLOYEES and
When No
When No
Mag,
Copies retained for reference,
Risk Manag.

MEMBERS OF THE PUBLIC
Longer
Longer
Ppr
GC §34090.7
Required
Required
Copies -
Copies -
-
-
Police
CW-002
Accident reports: CITY
When No
When No
Mag,
Copies retained for reference;

VEHICLES
Longer
Longer
Ppr
GC §34090.7
Required
Required
Copies
Copies -
Finance
CW-003
Accounts Payable, Invoices,
When No
When NYes:

Before
Mag,
Finance Maintains Originals;
Travel Reimbursement, etc.

Longer
Longer]Payment
Ppr
GC §34090.7
Required
Required
'Signature on invoice serves as
Accounts Payable, Invoices:

Yes: Before
Mag,
authorization to pay; detail
Yes: After
Lead Dept,
CW-004
Confidential Backup and/or
2 years 3 years
5 years
Mfr, OD,'
S maintained in Lead Department
Details NOT sent to Finance
Payment
Ppr
QC OD Ito protect confidentiality, meets
auditing standards; GC §34090
Brown Act challenges must be
filed within 30 or 90 days of
Lead Dept.

CW-005
Advertising (Legal) I Advertising
2 years
2 years
Mag,
action, Statute of Limitations on
Log
Ppr
Municipal Government actions
is 3 - 6 months; GC §§34090,
- - — - -
54960.1(c)(1)
Fallow$
Follows
Agenda Staff Reports (City
I I
Mag,
City Clerk maintains a complete
Lead Dept.

CW-D06
Council) prior to October, 1998
retention for
retention for
OD, �
Yes: After agenda packet for 5 years -
S
(City Council)
(City
subject i
subject
Ppr
Completion packet is separated and filed by
matter
matter
subject matter; GC §34090
CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-18

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of Classification
� Records Description
Retention i Disposition
Comments !Reference
Record OR
File Number
Destroy
Image:Paper
Inactive
Active
Total
Media
1=Import
(OFR)
(Off -site
(in office)
-Mfr)
Vital?
Retention
Options
after
M=Mfr
OD
Imaged &S=Scan
Wamin s! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals).

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Agenda Staff Reports (City
Copies -
Copies -
Mag,
City Clerk maintains a complete
City Clerk CW-007 Council) after to October, 1998
When No
When No
Mfr, OD,
S Yes agenda packet permanently on
(City Council)
Lon g er
Lon er
9 Ppr
the imaging system; GC §34090
(
Required
Required
!Agreements & Contracts
(ORIGINALS SENT TO CITY
All agreements and contracts
CLERK) Agreement or
Copies -
Copies -
�
are sent to the City Clerk;
Contract, Notices of
When No
When No
Yes: Before
Mag,
Yes: After Insurance Certificates and
City Clerk CW-008 Completion, etc. Agreement
Longer
Longer
Completion
Mfr, OD,
S renewals are the responsibility
OC & OD 'of
or Contract includes all
Required
Required
Ppr
the Lead Department - see
contractual obligations (e.g.

CW-040, Insurance Certificates;
Specifications and Successful
GC §34090.7
Proposal / Scope of Work)
Agreements & Contracts -
iNFRASTRUCTURE All
All infrastructure, JPAs, &
Change orders,
Mutual Aid contracts are
RFPs -
permanent for emergency
riginals NOT sent to City
ilerk
preparedness; Statute of
(examples ofontracts/Agreements
Mag,
I Limitations is 4 years, 10 years
Lead Dept. CW-009 Infrastructure: Architects,
Completion P
P
Yes: Before
Mfr, OD,'
Yes: After'
S for Errors &Omissions; land
Buildings, bridges, covenants,
Completion
P
Ppr

QC & OD
records are permanent by law;
development, park
CCP §§337, 337.1(a), 337.15,
�343-
improvements, property
GC §34090, Contractor
restrictions, reservoirs, sewers,
has retention requirements in
sidewalks, street &alley
48 CFR 4,703
improvements, utilities, water,
etc.

CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-19

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of Classification i
Records Description Retention I Disposition Comments l Reference Record OR
File Number Image: Destroy
Active Inactive Total Media 1=Import Paper
(OFR) i (Off -site, Vital? after
(in office) , OD or Mfr) Retention Options M=Mfr Imaged & S=Scan
Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). If vou are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement .

Covers E&O Statute of
Agreements & Contracts - NON -
Limitations (insurance
INFRASTRUCTURE All
certificates are filed with
Change orders,
agreement); Published Audit
Contracts/Agreements, RFPs -'
Standards=4-7 years; Statute of
Originals NOT sent to City
Completion
YesBefore After Mag, Yes: Limitations: Contracts &
:

Lead Dept. CW-010 .Clerk (examples of Non- Completion 10 years + 10 years
Completion Mfr, OD, S!I QC & OD Spec's=4 years, Wrongful Infrastructure: Consultants,
Ppr Death=comp. + 5 years,
Landscaping, Painting, Slurry
Developers=comp. + 10 years;
Seals (Paving), Tree Trimming,
Statewide guidelines propose
Leases, Personnel,
termination + 5 years, CCP
Professional Services, etc.)
§§336(a), 337 et. seq., GC
§34090
Covers E&O Statute of
Limitations (insurance
certificates are filed with
Agreements & Contracts:
agreement); Published Audit

ADMINISTRATIVE FILES -
Standards=4-7 years; Statute of
NOT funded by a grant
Completion
Mag, Limitations: Contracts &
Yes: Before � Yes: After
Lead Dept. CW-011
p (Correspondence, Project Completion 10 years
+ 10 years
Completion Mfr, OD, Sll QC & OD Spec's=4 years, Wrongful Administration, Project
Ppr Death=comp. + 5 years,
Schedules, Certified Payrolls,
Developers=comp. + 10 years;
Invoices, Logs, etc.)
Statewide guidelines propose
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§34090
CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-20

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of (Classification, Records Description
Retention l Disposition
Comments J Reference
Record OR
File Number
FImage: Destroy
Active
Inactive
Total
Media
i Paper
1=Import ;
(OFR)
(in office)
(Off -site
Retention
Vital?
Options
after
M=Mfr
OD or Mfr)
Imaged &
S=Scan
Warnin s? If "Lead Dept, " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals .

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Some grant funding agencies
require audits, Statute of
10 years or
Completion
I
Limitations for Errors &
Agreements & Contracts:

After
+ 10 years
Omissions is 10 years,
.ADMINISTRATIVE FILES -
Funding
or After
Published Audit Standards=4-7
WITH grant funding
Funding
Mag,
years; Statute of Limitations:
t. CW-012 Lead Dep
t. (Correspondence, Project
Completion
Audit, if
Agency
Mfr, OD,
Completion
S/1

QC & OD
Contracts & Spec's=4 years,
Administration, Project
required,
Audit, if
Ppr
;Wrongful Death=comp. + 5
'years,
Schedules, Certified Payrolls,
whichever is
required,
Developers=comp. + 10
(Invoices, Logs, etc.)
longer
whichever is
iyears; Statewide guidelines
longer
'propose termination + 5 years;
CCP §§336(a), 337 et. seq., GC
§34090; GC §8546.7
Agreements & Contracts

UNSUCCESSFUL BIDS,
Mag'

UNSUCCESSFUL
Lead Dept. CW-013 !
2 years
2 years
Mfr,P D,
Yes: After
S/ I
GC §34090
PROPOSALS, and RFQs
r,

QC & OD
(Request for Qualifications) that
don't result in -a contract
_
Copies -
Copies -
Audits I Comprehensive Annual
Finance CW-014
When No
When No
Mag,
Copies; GC §34090.7
Financial Reports
Longer
Longer
Ppr
Required
Required
CW-015 Bids: See Agreements &
Contracts
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-21

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of !Classification Records Description
i
Retention I Disposition
Comments I Reference
Record OR
File Number
_
Image: Destroy
Active
Inactive
Total
Media
Paper
1=Import
(OFR)
(in office)
(Off -site, Vital?
Retention
Options
after
M=Mfr
OD or Mfr)
Imaged &
S=Scan
Warnin s? If "Lead Dept " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals .

If you are the OFR, refer to your department schedule.

If vou are NOT the "Lead Dent " the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Committees: AUDIO
RECORDINGS of Meetings
Copies -
Copies -
City Clerk CW-016 (except Council and Planning
Send to City
Send to City
Mag
Copies; GC §34090.7
Commission - see City Clerk's
Clerk
Clerk
and Planning's schedule)
Boards and Commissions:

AUDIO RECORDINGS of
Copies -
Copies -
City Clerk CW-017 !Meetings (except Council and
Send to City
Send to City
Mag
Copies; GC §34090.7
Planning Commission - see City
Clerk
Clerk
Clerk's and Planning's schedule)
Boards, Commissions, &
--
- f
Committees: Citizens
Advisory Formed by CITY

COUNCIL (AGENDA

PACKETS, NOTICES,
Brown Act challenges must be

AFFIDAVITS OF POSTINGS
Minimum 2
Minimum 2
Mag,
Yes: After filed within 30 or 90 days of
Staffing Dept. CW-018 PROOF OF PUBLICATIONS,
years
years
MfrPO D,
S! I QC & OD action; GC §§34090,
etc.)
54960.1(c) (1)
�(i.e.. Civil Service Board, Board of
!Library Trustees, and Building and
Fire Board of Appeals)
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-22

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of Classification I
Records Description
Retention If Disposition
Comments 1 Reference
Record OR
File Number
i
Image: Destroy
Inactive
Active
Total
Media
Paper
I=Import
(OFR)
(Off -site,
(in office)
Retention
Vital? Options
after
M=Mfr
OD or Mfr)
S=Scan Imaged &
Warnin sl If "Lead De t."is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals).

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept " the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Boards, Commissions, &
,Committees: Citizens
Advisory Formed by CITY

COUNCIL (MINUTES &
Notes taken to facilitate the

BYLAWS)
Staffing Dept. CW-019
P
P
Mag'
Yes Mfr, OD,
Yes: After writing of the minutes can be
S
Ppr
2 years destroyed after minutes have
(i.e., Civil Service Board, Board of
been adopted; GC §34090
Library Trustees, and Building and
Fire Board of appeals. For Council
and Planning Commission - see City
Clerk's and Planning's schedule)
Subcommittees can not take
Boards, Commissions, &
action — all recommendations
Staffing Dept. CW-020 Committees: City Council
2 years
2 years
Mag,
go to the full Council; Brown Act
Subcommittees (All records)
Ppr
challenges must be filed within
30 or 90 days of action; GC
I§§34090, 54960.1(c)(1)
When No
Boards, Commissions, &
When No
CW-021 Committees: External
Longer
Longer
Mag'
Non -records
Organizations (e.g. County
Required
Required
Ppr
Board of Supervisors)
l
CW-022 'Brochures: See Reference
Manuals
Copies - —
p
Copies -
p
Ma 9
- -
Final must be filed with County
Finance CW-023 Budgets - Finals
g
When No
Longer
When No
Longer
Yes: Current
Fiscal Year Mfr, OD,
Yes: After
S/1 5 years Auditor; GC §34090.7, 40802,
Ppr
53901
Required
Required
CITY OF NEWPORT BEACH, CA 02003-06 Gladweli Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-23

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of Classification
Records Description
Retention / Disposition
Comments / Reference
Record OR
File Number'
Image: Destroy
Active
Inactive
Total
Media
Paper
1=Import
(OFR)
(in office)
(Off -site, Vital?
Retention
Options
after
M=Mfr
OD or Mfr)
Imaged &
S=Scan
Wamin sl If "Lead Dent "is indicated as the OFR, and you are the Lead, then the retention indicated a plies the are originals). if you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept.
", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Cash Receipts Detail I Backup /
Retained in originating
Lead Dept. CW-024
Credit Card Receipts / Accounts
2 years
3 years
5 years
Ppr'
department for auditing
Receivable
. -
- _
--
purposes; GC §34090
- --
Copies -
Copies -
Mag
City Attorney CW-025
(City Attorney: Opinions
I When No
When No
I Mfr, OD,
S No GC §34090.7
Longer
Longer
Ppr
Required
Re uired
Class and Camp Registrations,
Yes: During
Mag,
Lead Dept. CW-076
Waivers, & Rosters - ALL
2 years
2 years
Class or
Ppr
GC §34090
Program
Department preference to
Collection Agencies: Unpaid
1 Mag,
match the length of time an
Lead Dept. CW-026
debts assigned to a collection
7 years
7 years
P r
p
unpaid debt remains on a credit
agency
report; meets auditing
standards; GC §34090
Committees. Internal attended
employees (e.g. Records
Mag,
Lead Dept. CW-027
�by
Management Committee, In-
2 Years
2 years
Ppr
GC §34090
House Task Forces, etc.)
Statute of Limitations for public
official misconduct is discovery
jComplaints (against Personnel -
iof offense + 4 years ; State and
Lead
e.g. misconduct, etc.)
Final
Final
Yes: Before
Mag
Fed laws is until final disposition
(Responding)' CW-028
'Does not include complaints
Disposition +
Disposition +of
Disposition
p
Ppr'
formal complaint; State
Dept.
against peace officers
CCP §§340 et seq., 342; EVC
§ 1045(b)(1), GC §§12946,
12960, 34090; VC §2547
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-24

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of
Classification Records Description
Retention 1 Disposition
Comments I Reference
Record
OR
File Number
Image:

Destroy
Inactive
Active
Total
Media
' 1=Import
Paper
(OFR)
(in office) (Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s! If "Lead Dept, " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals .
if you are the OFR, refer to your department schedule.

If you are NOT the 'Lead Dept ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, Pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

City preference to be consistent
'Complaints / Service Orders
with correspondence; Statute of
(operational) received in writing,
Yes: After'
Limitations for personal
Lead Dept.

CW-029 including via e-mail, Council
2 years
2 years
i Mag Ppr
S/I

QC & OD
property, fraud, etc. is 3 years;
Appeal Forms, where the
Claims must be filed in 6
Appeal did not go to Council
months; CCP §§338 et seq.,
340 et seq., 342, GC §34090
Lead Dept.

CW-080 Complaints / Service Request
Indefinite
Mag Ppr
Department preference (data is
Indefinite
Database
interrelated); GC §34090
CW-030 Contracts: See Agreements
Copies -
Copies -
Copies or duplicates of any
CW-031
When No
When No
Mag Ppr
GC §34090.7
record
Longer
Longer
Required
Re uired
Correspondence - ROUTINE
(Content relates in a
Dept. that
substantive way to the
Authors
conduct of the public's
Document
business)
or
(e.g. Administrative,
Mag,
Yes: After
Receives the
CW-032 Chronological, General Files,
2 years
2 years
Mfr, OD,
S/I

QC & OD
GC §34090
City's Original
Letters, Memorandums,
Ppr
Document
Miscellaneous Reports, Press
Releases, Public Records
Requests, PRAR Completion
forms, Reading, Working Files,
etc.

CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-25

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of 1 Classification • Records Description Retention I Disposition Comments I Reference Record OR
File Number Image: Destroy
Active Inactive Total Media I=Import Paper
(OFR) (Off -site, Vital? after
(in office) Retention Options M=Mfr
OD or Mfr) Imaged &
S=Scan ' C)C,
Warnin s! if "Lead Dent- "is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals . If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, com Taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). orrespon ence -
TRANSITORY 1 PRELIMINARY
Electronic and paper records
DRAFTS, Interagency and
are categorized, filed and
Intraagency Memoranda not
retained based upon the
retained in the ordinary course
CONTENT of the record.
of business
Records where either the
Content NOT Substantive, or
Content relates in a
!NOT made or retained for the
substantive way to the
;purpose of preserving the
conduct of the public's
informational content for
business, or ARE made or
Dept. that
retained for the purpose of
Authors future reference
preserving the informational
Document When No
(e.g. calendars, checklists, e-
When No
Mag, content for future reference;
or CW-033 Longer
Lon
mail or social media posting, g
Receives the Required
Longer
g
Required
Ppr are saved outside the e-mail
Ci s Original invitations, instant messaging,
� g
system printing them out and
'placing them in a file folder, or
Document logs, mailing lists, meeting room
saving them electronically; If not
registrations, posters, staff
videoconference chats, notes
mentioned here, consult the City
and recordings, supply
Clerk to determine if a record is
inventories, telephone
considered transitory
messages, text messages.
preliminary drafts. GC §34090,
transmittal letters, thank yous,
GC §6252; 64 Ops. Cal. Atty.
requests from other cities,
Gen. 317 (1981)); City of San
;undeliverable envelopes /
I Jose v. Superior Court (Smith).
!Undeliverable Public Hearing
S218066. Supreme Court of
!Notices, visitors logs, voice
mails, weboacies. etc.)
California, 2017
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-26

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of Classification
Records Description
Retention 1 Disposition
Comments 1 Reference
Record OR
File Number _ .
i._.

Image'
Destroy
---
Active
Inactive
Total
Media
I=Import
Paper
(OFR)
(in office)
(Off -site
Retention
Vital?
Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnings! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals).

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies), Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints. audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement).

Dedications: Benches, Bricks
Mag'
Yes: After
Lead Dept. CW-077
and Trees
P
P
Mfr, OD,
S

QC & OD
I GC §34090
Ppr
As long as the drafts and notes
are not retained in the "Regular
Drafts &Notes: Drafts that are
When No
When No
Mag,
Course of Business". Consult
Lead Dept. CW-034 revised (retain final version)
Longer
Longer
Ppr
the City Attorney to determine if
Required
Required
a record is considered a draft.

GC §34090, GC §6252,
16254(a)
Meets auditing standards,
Grants covered by a
Consolidated Action Plan are
required for 5 years; Uniform
Grants / CDBG / FEMA Claims /
After
After
Admin. Requirements for Grants
OES Claims I Reimbursable
Funding
Funding
jto Local Governments is 3 years
Claims (SUCCESSFUL
Agency
Agency
Mag,
Yes:
from expenditure report or final
Lead Dept. CW-035
Reports, other records required
�to
2 years
Audit, if
Audit, if
; Mfr, OD,
S / I
When
payment of grantee or
�subgrantee:
pass the funding agency's
Required -
required -
Ppr
Inactive
statewide
.audit, if required)
Minimum 5
Minimum 5
guidelines propose 4 years; 2
years
years
CFR 200.334; 24 CFR

91.105(h), 92.505, 570.490, &
570.502(a), 29 CFR 97,42;
OMB Circular A-110 & A-133;
_
GC §34090; GC §8546.7
2 years
Lead Dept. CW-036 Grants (UNSUCCESSFUL f
2 years
_
Mag
GC §34090
Applications, Corres ondence
Ppr
CITY OF NEWPORT BEACH, CA 9)2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-2 7

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of
Classification Records Description
Retention 1 Disposition
Comments 1 Reference
Record
OR
File Number
Image:
_
Destroy
Active Inactive
Total
Media
I=Import
Paper
(OFR)
(in office) (Off -site,
OD or Mfr)
Retention
Vital?
Options
M=Mfr
after
Imaged &
S=Scan
Wamin s? !f "Lead De t. " is indicated as the OFR, and you are the Lead, then the retention indicated aDDlies (they are originals).
if you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained anti! no !on er re uired the are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

City Preference; All State and
Grievances Escalated to Human
Final
Final
Federal laws require retention
Human
CW-037 Resources or Above for
Disposition +
Disposition +
Yes: Before
Mag,
until final disposition of formal
Resources
Resolution
5 years
5 years
Disposition
Ppr
complaint; State requires 2
years after action is taken; GC
§§12946, 12960, 34090
City's Preference; All State and
Final
Final
Federal laws require retention
Lead Dept.

Grievances Resolved at
CW-038
Disposition +
Disposition +
Yes: Before
Mag,
until final disposition of formal
Department Level
5 years
5 years
Disposition
Ppr
complaint; State requires 2
years after action is taken; GC
§§12946, 12960, 34090
Copies -
Copies -
Human
CW-039 Injury reports: EMPLOYEES
When No
When No
Mag,
Copies retained for reference;
Resources
Longer
Longer
Ppr
GC §34090.7
Required
Required
Copies -
Copies -
Mag'
Finance 1 OMB
Insurance Certificates (for
CW-040
When No
When No
Yes: Before
�
Mfr, OD,
S/l
Yes. After
i Copies; GC §34090.7
.Contracts, etc.)
Longer
Longer
Completion
Ppr
Inactive
Required
Required
When No
City Attorney is OFR for
When No
Lawsuits, Litigation, Pending
Longer
Longer
Yes: Before
Mag'
Yes: After lawsuits; Risk Management
City Attorney
CW-041 Litigation
Required
Required
Settlement
Mfr, OD,
Sll
Settlement administrates claim; GC
(Upon
(Upon
Ppr
§§34090.7, 34090.E
Settlement)
Settlement
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-28

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of ;Classification Records Description Retention 1 Disposition Comments I Reference Record OR
File Number Destroy
Inactive Image: Paper
Active Total Media I=Import
(OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged &
Warnin s! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated ap ties (they are on inals . If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed. and imply a full file folder (e.a. last document + 2 vears). since destruction is normally performed by file folder.

Human Copies -
Resources / CW-042 Liability Claims When No
Risk Manag. Longer
Required
CW-043 Minutes: See Commissions,
Committees and Boards
Copies -
When No Yes: Before Mag,
Longer Settlement Mfr, OD, S/l
Required Ppr
MSDS (Material Safety Data
Sheets) / Safety Data Sheets
Mag,
Lead Dept.
(SDS) 1 Chemical Use Report
CW-072
30 years
y
30ears
y
Mfr, OD,
Form (or records of the
Ppr
chemical / substance / agent,
iwhere & when it was used)
Municipal Code these are
p (
Copies -
When No
Mag,
Yes: Current I
Copies -
When No
City Clerk
CW-044 copies)
Longer
Longer
Original I Mfr, OD,
Required
Required.

Ppr
When No
When No
Newspaper Clippings /Media
Lead Dept.

CW-045 Excerpts
Longer
Longer
Ppr
p
i
Required
Required
2 years
Staffing Dept. CW-046 :Notices: Public Hearing Notices 2 years Mag,
Ppr
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 E
Copies retained in department
for 1 year; Risk Management
Yes: After administrates claim; City
Settlement Attorney maintains copies of
lawsuits; GC §§34090.7,
34090.E
Previous MSDS may be
obtained from a service; MSDS
may be destroyed as long as
a record of the chemical
Yes (after substance / agent, where &
inactive) when it was used is
maintained for 30 years;
Applies to qualified employers;
8 CCR 3204(d)(1)(B)(2 and 3),
29 CFR 1910.1020(d)(1)(ii)(B),
GC 434090
Return any whole unused codes
No to the City Clerk; Originals
maintained by City Clerk
Permanently; GC §34090
Non -records - may be obtained
from the newspaper company;
;GC §34090
Statute of Limitations on
Municipal Government actions
is 3 - 6 months; GC §34090
Revision Adopted: 3/16/2022
3-29

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13 Office of
Classification,
Records Description
Retention I Disposition
Comments I Reference
Record
OR
File Number
Image: Destroy
Active
Inactive Total
Media
I=Import Paper
(OFR)
(in office)
(Off -site, Retention
Vital?
Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Warnings! If "Lead Dept " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals).

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept.
", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or invesfi ations suspend normal retention periods retention resumes after settlement).

Copies -
Copies -
Mag'
City Clerk
CW-047
Ordinances (these are copies)
When No
When No
Yes (all)
Mfr, D,
Originals maintained by City
S No
Longer
Longer
Pp
Clerk Permanently; GC §34090
Required
Required
U.S. State Department,
Passport Transmittal Forms
Passport Agency requires 24
Lead Dept.

CW-078
(Copies); Miscellaneous
2 years
2 years
Ppr
months (OFR is U.S.

Passport Information
Department of State); GC
.§34090 -
Ensure records kept in
Upon
Upon
Department files comply with
Separation,
Separation,
City policy; Originals are
Human
CW-048
Personnel Files (Except for
Send All
Send All
Before
Mag,
maintained by Human
Resources
Police and Fire Training Files)
Originals to
Originals to
Separation
Ppr
Resources Personnel; State &
Human
Human
Federal laws require 2 -3 years;
Resources
Resources
29 CFR 1602.31 & 1627.3(b)(2),
GC §§12946, 12960, 34090
Personnel Files (Supervisors
Before
Notes maintained in a separate
Human
CW-049
File of notes - incorporated into
1 year
1 year
Annual
Mag,
folder to be incorporated into
Resources
Annual Performance
Performance
Ppr
performance evaluation; GC
Evaluations)
Evaluation
§34090 et seq.

Lead Dept.

CW-050
Personnel Work Schedules
2 years
Mag,
,
GC §34090
-
Copies -
Purchasing is OFR; Financial
Purchasing
CW-051
Purchase Orders, Purchase
When No I
E
Yes: Before
Mag,
records are audited annually;
Requisitions
Longer
Payment
Ppr
GC §34090.7
Required
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-30

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14 Office of
Classification
Records Description
II
Retention I Disposition
Comments I Reference
Record
OR
File Number !
!
I Destroy
Image:

Inactive
Active
Total
Media
Paper
1=Import '
(OFR)
(in office) (Off -site,
Retention Vital? Options
M=Mfr ' after
OD or Mfr)
S=Scan Imaged &
Warnin s? If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on finals .

If you are the OFR, refer to your department schedule.

If voti are NOT the "Lead Dent " the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Real Estate Appraisal Reports:

Not accessible to the public;
Lead Dept.

CW-074 Property NOT purchased or
2 years
2 years
Pa9'
!Statewide Guidelines show 2
sold
p
,years; GC §§34090, 6254(h)
Department Preference to
Lead Dept.

Real Estate Appraisal Reports:

CW-075
2 Years 5 years
7 years
Mag,
establish tax increment and
Purchased and Sold Property
Ppr
meet auditing standards; GC
---
. §34090
Copies -
Copies -
Records Destruction Lists /
City Clerk
CW-053 !Certificate of Records
When No
When No
Mag
'
UGC §34090.7
;Destruction
Longer
Longer
Ppr
Required
Required
Lead Dept.

CW-052 Records Management Audit
2 years
2 years
Mag'
GC §34090
Forms
Ppr
Reference Materials:

Administrative Procedures or
Policies, Procedures,
When No
When No
Drafting department is
Lead Dept.

CW-054 Brochures, Manuals,
Longer
Longer
Mag,
! responsible for maintaining,
Newsletters &Reports:

Required
Required
Ppr
updating, and retention
Produced by OTHER
(Copies); GC §34090.7
Departments
I
Reference Materials: Policies,
Procedures, Brochures,
Manuals, Newsletters &
When No
When No
CW-055 Reports: Produced by
Longer
Longer
Mag
Ppr'
Non -Records

OUTSIDE ORGANIZATIONS
Required
Required
(League of California Cities,
Chamber of Commerce, etc.

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-15 Office of Classification
ii Records Description
Retention I Disposition
Comments !Reference
Record OR
File Number
Image: Destroy
Active Inactive
Total
Media
1=Import Paper
(OFR)
(in office) (Off -site,
Retention Vital?
Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Warnin s! If "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals .

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept.
", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2years),since destruction is normally performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Reference Materials:

Administrative Procedures or
Drafting department is
Policies, Procedures,
When No
When No
,responsible for maintaining,
Lead Dept. CW-056
Brochures, Manuals,
Longer
Longer
Mag,
updating, and retention-,
Newsletters & Reports:

Required + 2
Required + 2
Ppr
'Statewide guidelines propose
Produced by YOUR
years
years
superseded + 2 or 5 years; GC
Department
§34090
Reports and Studies
Mag,
Yes: After
Administratively and Historically
Lead Dept. CW-058
(Historically significant)
10 years P
P
Mfr, OD,
S/I 10 years
significant, therefore retained
Ppr
permanently-, GC §34090
Information is outdated after 10
Reports and Studies (other than
ag
years, statewide guidelines
Lead Dept. CW-059
Historically significant reports -
10 years
10 years
Pprr'
propose 2 years, If historically
e.g. Annual Reports)
significant, retain permanently-,
GC §34090
Copies -
Copies -
Mag,
Originals maintained by City
City Clerk CW-060
Resolutions (these are copies)
When No
When No
Yes (all)
Mfr, OD,
S No
!Clerk Permanently-, GC
Longer
LongerRequiree
Ppr
i§34090.7
uired
When
I Certificates provided by the
When
Dept. with
CW-061
Safety Certifications (Elevators,
Superseded,
Superseded,
Mag,
'State, who may not perform
Equipment
Fire Systems, etc.)
Minimum 2
Minimum 2
Ppr
;inspections every year, GC
years
years
§34090
Transitory records not retained
When No
When No
in the ordinary course of
Lead Dept. CW-062
Speaker Cards (submitted at
Longer
Longer
Ppr j
business (used to accurately
public meetings)
Required
Required
produce minutes), GC §34090
et seq.

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-16 Office of I Classification
Records Description
Retention I Disposition
Comments 1 Reference
Record OR
File Number
Image: Destroy
Active Inactive
Total
Media
' I=Import Paper
(OFR)
(in office) (Off -site,
Retention Vital?
Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Warnings! If "Lead Dept. "is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are on inals .

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dept.
", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full Me folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

Copies -
Copies -
Mag,
Recreation CW-063
Special Event Permits
When No
When No
Yes (all)
Mfr, OD,
S No GC §34090.7
Longer
Longer
Ppr
Required
Required
Lead Dept. CW-073
Subpoenas
2 years
2 years
Ppr'
GC §34090
Surveys I Questionnaires (that
.the City issues). If a summary
of the data is compiled, the
Lead Dept. CW-064
survey forms are considered a
2 years
2 years
Ppr'
GC §34090
draft or transitory record, and
can be destroyed when no
longer required.

CW-065 Tapes: See Boards &
Commissions
As long as they are not retained
When No
When No
in the 'Regular Course of
Lead Dept. CW-066
'Telephone Messages
Longer
Longer
Ppr
Business". Consult the City
Required
Required
Attorney to determine if a record
is considered a draft. GC
§34090, GC §6252
CITY OF NEWPORT BEACH, CA ©2003-05 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-33

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-17 Office of Classification! Records Description Retention l Disposition Comments l Reference Record OR
File Number Destroy
Image:

Inactive paper
Active Total Media I=Import
(OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged &
Wamin s! if "Lead Dept. " is indicated as the OFR, and you are the Lead, then the retention indicated applies (they are originals). ff you are the OFR, refer to your department schedule.

If vou are NOT the "Lead Dent. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder e. g. last document + 2years),since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records rA uests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

Department preference; Meets
auditing standards (audit + 4
years); IRS requires 4 years;
Time Sheets I Time Cards I
Mag, Ca. requires 2 yr min., FTB
Yes: Aker
Lead Dept. CW-067 Payroll Exception Reports WITH 2 years 3 years 5 years
Mfr, OD, S
QC & OD keeps 3 years; Published
employee signatures
Ppr articles show 4 -10 years, IRS
Reg §31.6001-1(e)(2), R&T
LC § 1174(d); 29 CFR
f
�§19530-1
516.5 & 516.6(c); GC §34090
I Department preference-, Ethics
Training is 5 years, Statewide
Training - ALL COURSE
guidelines propose 7 years;

RECORDS
Calif. Labor Division is required
to keep their OSHA records 7
(Attendance Rosters, Outlines 1
Ma years; EEOC/FLSA/ADEA (Age)
g'
and Materials; includes Ethics
Lead Dept. CW-068 2 years 5 years
7 years
Yes: When requires 3 years for promotion,
Mfr, OD, S
Training, Harassment
P r Inactive demotion, transfer, selection, or
p
Prevention Training, Safety
discharge; State Law requires 2
Training & Tailgate Training
3 years for personnel actions; 8
Meetings)
CCR §3203 et seq., 29 CFR
1627.3(b)(ii), LC §6429(c), GC
§§12946, 12960, 34090,
53235.2(b); 53237.2(b)
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-34

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1s Office of Classification i Records Description Retention l Disposition Comments 1 Reference Record OR
File Number _ - - - Image: Destroy- ---
Inactive Paper
Active Total Media I=Import
Vital?
(OFR) (in office) (Off -site, Retention Options M=Mfr after OD or Mfr) S=Scan Imaged &
Warnings! If "Lead Dept. "is indicated as the OFR, and you are the Lead, then the retention indicated applies the are on finals . !f ou are the OFR refer to your department schedule.

If you are NOT the "Lead Dept. ", the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention pefiods retention resumes after settlement).

Only 1 year is required); In the
event that the recordings are
evidence in any claim filed or
any pending litigation, they shall
Videos !Drone Videos that
be preserved until pending
Lead Dept. CW-079 record Regular, Ongoing 1 year
1 year
litigation is resolved; Exception:

Mag
Operations of the City
destruction of video after 90
,days if there is a duplicate in the
form of "written minutes" ...of
the event that is recorded and
the video is "no longer required"
GC §34090.6 , 34090.7
Department preference (Courts
treat volunteers as employees);
Volunteer I Unpaid Intern
EEOC/FLSAlADEA (Age)
Lead Dept. CW-069 Applications & Agreements - 3 years
3 years
Ppr requires 3 years for promotion,
Unsuccessful Applicants
demotion, transfer, selection, or
discharge; 29 CFR 1602.31 &
1627.3(b)(1)(i)&(ii), GC
§§12946, 12960, 34090
Department preference (Courts
Volunteer I Unpaid Intern
treat volunteers as employees);
Applications & Agreements Inactive I
Inactive I
Mag, EEOC/FLSA/ADEA (Age)
Lead Dept. CW-070 (includes emergency contact Separation + Separation +
Mfr, OD, S Yes: 1 year requires 3 years for promotion,
information) - Successful 3 years
3 years
demotion, transfer, selection, or
Ppr
Applicants
discharge; 29 CFR 1602.31 &
1627.3(b)(1)(i)&(ii), GC
§12946, 12960, 34090
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-35

Ver. 55.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-19 Office of Classification, Records Description Retention I Disposition Comments I Reference
Record OR
File Number
Image: Destroy
Active Inactive Total Media
1=Import Paper
(OFR) (in office) (Off -site, Retention Vital? Options
M=Mfr after
OD or Mfr)
Imaged &
S=Scan
i
Warnings! If "Lead Dept " is indicated as the OFR, and you are the Lead, then the retention indicated applies (thev are on inals .

If you are the OFR, refer to your department schedule.

If you are NOT the "Lead Dent " the documents only need to be retained until no longer required (they are copies).

Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement).

Work Orders / Work Requests
Dept. (Department requesting
Consistent with operational
Requesting CW-071 service retains originals; 3 years
3 years
Mag Ppr
complaints; CCP §§338 et seq.,
Service / Work department providing service is
340 et seq., 342, GC §34090
considered a copy)
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-36

ver.25,0 RECORDS RETENTION SCHEDULE: BUILDING
Page B-1
Office of Classification Records Description
Retention I Disposition Comments I Reference
Record OR
File Number
Image: i Destroy
Active Inactive Total Media I=Import Paper
(OFR)
(in office) (Off -site, Retention vital? Options M=Mfr after OD or Mfr) S=Scan Imaged &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement .

BUILDING
pullding
OpeFate Fire nr paFt., ent candles,
ffL 024
R
R
$efefe Mag R.pF
S-1 i
eF
n�F
DepartmentPreference;rG
e flE LPG, tentet, i r
Event
& BD
�i4E18B
PFeViSler�al-State-regulated-
Mag,
Yes:

Department Preference; GC
Building
BL-001 Board of Appeals Agendas, Minutes
P
P
Yes (all) Mfr, OD,
S I I
After QC
§34090 et seq.

Ppr
& OD
Building
Building Code Modifications /
BL-002
P
P
Mag,
Yes (all) Mfr, OD,
S I I
Yes:

After QC
Department Preference; GC
Alternate Materials and Methods
Ppr
& OD
§34090 et seq.

Department Preference - Data is
Building
BL-003 Building Permit Database
P
P
Yes (all) Mag
interrelated; GC §34090, H&S
_
§19850
California Building Codes (CBC,
While
While
Building
BL-021
CPC, GEC, etc.)
Ordinance is
Ordinance is
Mag, Ppr
GC §500226
in Force_
in Force
Building
BL-004
(Certificates of Occupancy
P
_
Statewide guidelines propose life
P
Yes (all)
MfraOD,
S I I
After QC
Ppr
& OD
of building; GC §34090
City Owned Property Files (except
Mag,
Yes:

Building
BL-023 Leases and heeds - seen CC-013):

P
P
Mfr, OD,
S I I
After QC
GC §34090
Correspondence, Title Reports, etc.

Ppr
& OD
CITY OF NEWPORT BEACH, CA. 92003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-37

Ver.25.0 RECORDS RETENTION SCHEDULE: BUILDING
Page B-2
Office of
(Classification Records Description
Retention I Disposition
Comments I Reference
Record
OR
_
File Number I
Image:

Destroy
Active Inactive
Total
Media
I=Import
Paper
(OFR)
(Off -site,
(in office) (Off
Retention
Vital?
Options
M=Mfr
after
or Mfr)
S=Scan
Imaged &
,
Warnincisl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed
by
file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation sus end normal retention periods retention resumes after settlement).

When No
When No
Longer
Longer
Yes (before
Department Preference; GC
Building
BL-018 Complaints, Investigations
Required
Required
Mag, Ppr
resolution)
§34090 et seq.
(minimum 2
(minimum 2
years)
ears
Building
BL-005 Correction Lists, Plan Checks
P
Mag.

Mfr, OD,
Ppr
S r 11
Yes: Department Preference; GC
After QC §34090
& OD
P
_
When No
Yes (until
_
_
Entered into Building Permit
When No
Building
BL-007 Inspection Correction Notices
Longer
Longer
Mag, Ppr
corrected)
Database — Transitory records;
Required
Required
GC §34090
PERMITS: Building Permits &
Mag,
Yes: Statewide guidelines propose
Building
BL-008 Building Permit Applications (except
P
P
Yes (all) Mfr, OD,
S 1 1
After OC permanent; GC §34090, H&S
cancelled permits where no work
Ppr
& OD §19850
was started)
PERMITS: Cancelled Building
Permit Applications - Projects that
Building
BL-009 have NOT been Started (Submittal
2 years
2 years
Mag, Ppr
Cancelled by applicant; GC
Documents I Plans belonging to
§34090
applicant - both residential and
commercial)_
PERMITS. r!*p!Fed by Time
owned documents bet^'h {essidepfiaf
apd-sep4FRe
CITY OF NEWPORT BEACH, CA. i)2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute wthout prior written permission from GGS (Dog) 337-3516 Revision Adopted: 3/16/2022 3-38

Ver. 25.0 RECORDS RETENTION SCHEDULE: BUILDING
Page B-3
Office of
__Record
Classification Records Description Retention 1 Disposition Comments 1 Reference OR I
_
File Number Image: Destroy
(OFR)
Inactive Paper
Active Total Media 1=Import
(Off -site, Vital? after
(in office) Retention Options M=Mfr
OD or Mfr) Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normall performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement .

PERMITS: Expired by Time
to Gov e
Limitations (Abandoned) Building
}tie „ „a �++,m� +�~roe
��a„��
Permits - Projects that have NOT
feesi
Building BL-011 been Started (Submittal
Z years
- years
Magp P r
.
ell i+�ff to
�F
a ---Year
We* is net eemme„eed witi
�al)
§34090
Department Preference; Law
PLANS: Approved Construction
requires for the life of the
Documents and Plans - ALL
building for commercial and
(COMMERCIAL & RESIDENTIAL)
common interest dwellings; If
(includes soils reports, energy
the administrative provisions of
calculations, commercial structural
p
Ma g'
Yes:
the CBC are adopted, these
Building BL-012 plans, commercial structural
, f�+,, e
—
Life of the
Yes (all)
Mfr, OD,
Sit
After QC
plans are required to be retained
calculations, Private NPDES permits,
�
Structure
P r
p
—
& Qp
for at least completion + 180
Hazardous Materials Questionnaire,
days; Statewide guidelines
applications, Flame Retardancy
propose 2 years for blueprints &
Certificates, Floor Plan Drawings, fire
specifications; CBC §§101.2.1,
lanes, fuel modification, business for
106.5, 108.4.3.1; H&S§19850,
occupancy load, etc.)
CFC §§ 104.6 — 104.6.4, GC
CANCELLED POIFIThilts, No
Ruilding I3L-014 warted
lea-Ne
=eageF
§34090
kre a �Je-
der
_
Building BL-013 PLANS: CANCELLED or EXPIRED
Rebuffed
2 ears
W
2 ears
Mag, Ppr
r.OPall'tMent �, PFefeFenrse
ElFaft^ , +�.,.,^,+^^,
Permits, No Work Started
1 yea F
4-yeaF
fesafds , GC §34090
CITY OF NEWPORT BEACH, CA. @2003-06 Giadwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-39

Ver. 25.0 RECORDS RETENTION SCHEDULE: BUILDING
Page B-4
Office of
Classification Records Description
Retention I Disposition
Comments t Reference
Record
OR
File Number
Destroy
Inactive
Image:

Paper
(OFR)
Active
(Off -site,
Total Media
Vital?
I=Import
after
(in office)
OD or Mfr)
Retention Options
M=Mfr
Imaged &
5=5can
Warnings! If
the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y
performed by file folder.
!-!OLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods fretention resumes after settlement).

Requests & Permissions to Receive
Mag,
Yes
Building BL-022 Copies of Plans (Correspondence to
2 years
2 years
Mtr. OD.

S i I
After QC
GC §34090
_ P_pr
& OD
— and from architects)
Underground Storage Tanks (e.g.

Mag,
Department Preference for soils
Building BL-025 removal 1 repair)
P
P
Mfr, OD,
SII
No
contamination; GC §34090;
Ppr
H&S §2528424(i)
CITY OF NEWPORT BEACH, CA. d2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adapted: 3/16/2022 01/

Ver. 22,0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-1 Office of Classification Records Description
Retention I Disposition
Comments I Reference
Record OR
File Number
Destroy
Image:

Paper
(OFR)
Active -, Total Media 1=Import
(Off -site,
(OffinacstiiveteVital? after
(in office) Retention Options M=Mfr or Mfr) Imaged
OD
S=Scan
C'd?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pendingrecords re nests, and/orinvestigations suspend normal retention periods retention resumes after settlement).

CITY ATTORNEY
Follows
Follows
Yes:

Retention for
City CA-001 City
i
Retention for
Yes
Mag, Mfr,
S After
Department Preference; GC
Attorney Associated
Associated
OD, Ppr
QC,d
§34090
Case
Case
Department preference; City
Clerk maintains original staff
reports and resolutions that are
City Resolution 1
Resolution 1
Yes: Until
Mag, Mfr
Yes: �
presented to Council: Some
CA-002 Code Enforcement 10 years
Attorney Payment
Payment + 10
Resolution
,
OD, Ppr
S
year
cases may have grant funding; `=
years
CFR 2U0 .�. 1; 24 CFR 91.105(h),
& 570.502(a), 29 CFR 97.42,
OMB Circular A-110 & A-133; GC
§34090
Department Preference; Claim
must be filed within 1 year,
City Lawsuits 1 Litigation (Civil -
Resolution +
Yes: Until
Mag, Mfr,
Yes:
lawsuit within 2 years; complaints
Attorney CA-003 Contracted) Resolution 10 years
10 years
Resolution
OD, Ppr
S After
against peace officers within 5
QC'd
years; CCP §§ 337 et seq.; GC
§§ 911.2, 34090, 34090.6; PC
§832.5(b)
Department Preference; Claim
must be filed within 1 year,
City Lawsuits 1 Litigation (Civil - In-
Resolution +
Yes: Until
Mag, Mfr,
Yes:
lawsuit within 2 years; complaints
Attorney CA-010 House) Resolution 10 years
10 years
Resolution
OD, Ppr
S After
against peace officers within 5
Settled
years; C C P §§ 337 et seq.; GC
§§ 911.2, 34090, 34090.6; PC
§832.5(b)
CITY OF NEWPORT BEACH, CA, ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-41

Ver. 22.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-2 Office of
Record
; Classification
OR
Records Description
Retention 1 Disposition
! Comments 1 Reference
File Number
- - -- -Image:

Destroy
Inactive
Active
Total
Paper
(OFR)
(Off -site,
Vital? Media
I=Import
after
(in office)
OD or Mfr)
Retention
Options
M=Mfr
Imaged
S=Scan
& C'd?
Warnings! if the record is not listed here, refer to the Retention for Cif -ode Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Liti tion, claims, complaints, audits, pending records requests, and/or invest! ations suspend normal retention periods retention resumes after settlement).

Department Preference;
City
j Lawsuits / Litigation
Resolution +
Yes: Until iMag, Mfr,
Yes:
complaints against peace officers
Attorney
CA-011
iPitchess Motions
Resolution 5 years
5 years
Resolution OD, Ppr
S
After
within 5 years; CCP §§ 337 et
(Criminal - Contracted)
Settled
seq.; GC §§ 911.2, 34090,
34090.6; PC §832.5(b)
Department Preference;
City
CA-012
Lawsuits / Litigation (Criminal -
Resolution ! 5 years
Resolution +
Yes: Until Mag, Mfr,
S
Yes:

After
complaints against peace officers
within 5 years; CCP §§ 337 et
Attorney
In -House)
5 years
Resolution OD, Ppr
Settled
seq.; GC §§ 911.2;-34090,
-
34090.6; PC §832.5(b)
Department Preference; Always
City
CA-004
Legal Documents: Settlement
P
P
Mag, Mfr,
Yes
S
No
retain original, hard copies of all
Attorney
!Agreements
OD, Ppr
settlement agreements; GC
§34090
When No
When No
City
CA-005
Legislative Advocacies, Amicus
Longer
Required
Longer
Required
Mag, Ppr
GC §34090
Attorney
j
griefs, Miscellaneous, etc.
(minimum 2
(minimum 2
years)
ears
-
HR / Risk
_
-- --
Resolution /
Yes: Until Mag, Mfr,
!
Yes:

Department Preference (copies);
Resolution /
Manag.

CA-006
Liability Claims
Settlement 2 Years
Settlement +
Settlement OD, Ppr
S
After
GC §34090.7
2 ears
Settled
Attorney
CA-007
Potential Claim Files
2 years
I Mag, Ppr
GC §34090
2 years
When No
When No
City
CA-008
Subject / Project Files (Cable TV,
Longer
I
Longer
jSome material may be required
Attorney
I Required j
Required
Mag, Ppr;
Ifor reference, depending upon
/etc.)
1 (minimum 21
(minimum 2
(subject; GC §34090
years)
ears)j
CITY OF NEWPORT BEACH, CA. ©2003 Gladwetl Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-42

Ver. 22.0 RECORDS RETENTION SCHEDULE: CITY ATTORNEY Page CA-3 Office of j Classification Records Description
Retention l Disposition
Comments I Reference
Record OR
File Number
_
Image:

Destroy
Active Inactive
Total Media
1=Import
Paper
(OFR)
(Off -site,
(in office)
Vital?
Retention Options
M=Mfr
after
OD or Mfr )
Imaged
S=Scan
C'd?
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. . last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi afions suspend normal retention periods retention resumes after settlement .

City CA-013 Summons and Complaints or
2 years
2 years
Mag, Ppr
GC §34090
Attorney Petition
Follows
Follows
Yes:

City
009 Work Product (Notes, etc.)
etc)
Retention for
Retention for
Yes: Until Mag, Mfr,
S
Department Preference; GC
After
AttorneyCA
As
Associated
Settlement OD, P p r
34090 et se
Settled § q'
Case
Case
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-43

Ver, 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-1
Office of
Classification'' Records Description
Retention I Disposition
Comments I Reference
Record
OR
File Number
Image:

Destroy
(OFR)
Active
Inactive 1
Total
Vital?
Media
1=Import
Paper after
(in office)
CD or Mfr
Retention
Options
M=Mfr
Imaged &
= a
QC' ?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

CITY CLERK
Brown Act challenges must be
Fled within 30 or 90 days of action;
Advertising for Boards and
City Clerk CC-001 2 Years
2 years
Mag,
Statute of Limitations on Municipal
Commission (vacancies)
Ppr
Government actions is 3 - 6
months; CCP§337 et seq; GC
§§34090, 54960.1(c)(1)
Statute of Limitations for mailings
Affidavits of Postings 1 Special
Mag,
Yes: After
for annexations, special districts,
City Clerk CC-002 2 years
Meeting Notices
2 years
Mfr, OD, S/ I

QC & OD
bonds is 60 days; Municipal
Ppr
Government actions is 3 - 6
months; GC §34090
Yes: 2 years
after QC &
Agendas and Agenda Packets -
City Clerk CC-004 Images on Document Imaging P
P
Mag,
Mfr, OD, S
Department Preference; GC
I System (City Council 100 Packet)
Ppr
OD
§34090 et seq.

CITY OF NEWPORT BEACH, CA. @2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-44

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-2
Office of
Record
Classification;
Records Description
OR p
Retention l Disposition
P on Comments i Reference
File Number
_ }
image: Destroy
Active Inactive i Total Media I I=Import Paper after !
(OFR)
Vital?
(in office) CD or Mfr Retention (Options! M=Mfr Imaged & i = C'
Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Agreements & Contracts (ALL,
Including Leases) Agreement or
Contract, Notices of Completion, 1
etc. Agreement or Contract
i !Department Preference; All
includes all contractual obligations
!infrastructure, Memorandas of
(e.g. Specifications and Successful
!Understanding, JPAs, & Mutual
Proposal / Scope of Work)
! Aid contracts should be
'permanent for emergency
Yes: Mag,
City Clerk CC-005 Mutual Aid Agreements, Automatic Completion P P
Yes: After !preparedness, ; Statute of
Before Mfr, OD, S
Aid, Joint Power Authorities,
Completion Ppr QC & OD limitations is 4 years, 10 years for 'Errors
Apartment Rental/Lease
& Omissions; land records
Agreements, Memorandas of
are permanent by law, CCP
Understanding
§§337. 337.1(a), 337.15, 343; GC
§34090, Contractor has retention
'Insurance Certificates and renewals are
j requirements in 48 CFR 4.703
the responsibility of the Lead
Department - see CW-040, Insurance
Certificates
Covers E&O Statute of Limitations
(insurance certificates are filed
Agreements &Contracts
City Clerk CC-067 Completion 10 years
Completion
Yes: Mag, with agreement); Published Audit
Yes: After
Before Mfr, OD, S/I es
(Standards=4-7 years; Statute of
(Franchises)
+ 10 years
& OD
Completion. Ppr (Limitations: Contracts & Spec's=4
)years; CCP §§336(a), 337 et. seq.,
GC §34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-45

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-3
Office of (Classification
Records Description
Retention I Disposition
Comments I Reference
Record
OR
File Number
Ima e•
Destroy
(OFR)
Active Inactive I
Total
Media I=Im ort
Vital?
Paper after,
(in office) CD or Mfr
Retention
Options M Mfr
Imaged &
S=Scan
C.

Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Assessment District Formation
City Clerk
CC-061 (Diagrams of District Boundaries,
P
P
Yes Mf ,, OD, S / I
No Department Preference; GC
Recorded Documents, Copies of
Ppr
§34090
Resolutions, etc.)
Mag'
Yes: After
City Clerk
CC-006 Annexations / LAFCO
P
P
Yes Mfr, OD, S / I
QC Land Records; GC §34090
Ppr
Audio Recordings of All Boards and
Department Preference; State law
City Clerk
CC-007 Commission and Committees
1 year
1 year
Mag
only requires for 30 days: Council
,Except Planning Commission and
Policy A-1 allows destruction after
(City Council
1 year; GC §54953.5(b)
-
Department Preference; State law
City Clerk
Audio & Video Recordings of
CC-060
P
P
Mag
only requires for 30 days; Council
Planning Commission ONLY
Policy A-2 required record be kept
as permanent; GC §54953.5(b)
Statute of Limitations: Public
Boards, Commissions &
Duration of
Duration of
official misconduct is discovery of
City Clerk
CC-008 Committees - APPLICATIONS:

Office + 4
Office + 4
Mag,
joffense + 4 years, Statewide
APPOINTED includes Oaths of
Ppr
guidelines propose Appointment +
Office
years
years
5 years;,GC §34090; PC §§801.5,
1 803c
Commissions &
_ -
City Clerk
,Boards,
CC-009 'Committees - APPLICATIONS:
2 years
2 years
Mag
Ppr'
GC §34090 et seq.

UNSUCCESSFUL
City preference (City staff do not
Duration of
Duration of
Iopen all correspondence,
Office
Office
Mag,
therefore Council Members and
City Clerk
CC-062 City Council Correspondence
Minimum 2
Minimum 2
Ppr
Mayor may have the City's
originals); Return all originals to
years
years
the City Clerk for disposal; GC
§34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-46

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-4
Office of iClassification,
Records Description
Retention ! Disposition
Comments ! Reference
Record
OR
File Number
_
Image: ' Destroy
Active Inactive !
Total
Media
I=Import 1 Paper after
(OFR)
(in office) CD or Mfr
Retention
Vital? Options
M=Mfr •. Imaged &
_ C,
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by Me folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement).

City Clerk
CC-011
Chronological History of Mayor and
2 years
P
P
Mag'
Historical Value; GC §34090
Council
Ppr
City Clerk determines historical
significance; records can address
City Clerk
CC-012
City History, Historical Records
P
P
i Mag,
Mfr, OD,
a variety of subjects and media.

S No Some media (e.g. audio and video
(e.g. Incorporation, City Seal, etc.)
Ppr
tape) may be limited because of
ithe media's life expectancy; GC
§34090
(City Land and Property (Recorded
! Mag,
City Clerk
CC-013
Documents)
2 years
P
P
Yes Mfr, OD,
S ! I No GC §34090
I
Ppr
City Clerk
CC-015
Claims Log ! Database
Indefinite
Ppr'
GC §34090 et seq.
-
Indefinite
-- —
When
'
Mag'
Yes: After Department preference; GC
City Clerk
CC-016
Committee Rosters
Superseded
P
P
Mfr, OD,
S ! I i �
QC
Ppr
I§34090
Department Preference; Video
City Clerk
CC-017
Council Meetings; Video
P
P
Mag,
tapes of meetings are only
Streaming
OD
required for 90 days; GC
34090.7, 60201
Economic Interest Filings (FPPC
Mag,
,Statements filed electronically are
j required for 10 years; City
City Clerk
CC-069
700 Series Forms -Statement of
10 years
10 years
Mfr, OD,
Yes After ,
S ! I :& ( copies only; original
Economic Interests):

Ppr
,maintains
QC OD
statements are filed with FPPC;

ELECTRONICALLY FILED
jGC §81009(f)( ); GC §84615
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-4 7

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-5
Office of 'Classification Records Description
Retention 1 Disposition
Comments 1 Reference
Record OR
File Number
Image: iDestroy
(OFR)
Active
Inactive 1
Total
Vital?
Media 1=Import Paper after
(in office)
CD or Mfr
Retention
Options M=Mfr Imaged &
— C,
Warnin s! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement .

Economic Interest Filings (FPPC
700 Series Forms - Statement of
Mag'
Economic Interests):

City Clerk CC-018
2 years 5 years
7 years
Mfr, O D,:

S
After 2 City maintains original statements;

DESIGNATED EMPLOYEES
pr
years GC §81009(e)&(g)
(specified in the City's Conflict of
Interest code)_
Economic Interest Filings FPPC
700 Series Forms - Statement of
Economic Interests): PUBLIC
Department Preference; City
OFFICIALS 187200 Filers (elected
City Clerk CC-019 & not elected. Includes City
Term + 4
Term + 4
Mfr, OD,
S
After 2 maintains copies only; original
Council Members, Planning
years
years
Ppr
years statements are filed with FPPC;
GC §81009(f)&(g); GC §87200
Commission Members, City
Manager, City Treasurer & City
Attorney)
Minimum 2
Enterprise System Catalogue
City Clerk CC-068
Minimum 2
Mag
Department preference; GC
(posted on line)
years
ears
Mag,
§34090
Yes: After
Ethics Training Certificates for City
City Clerk
CC-053 Council, Commissions and
Department Heads
2 years 3 years
5 years
Mfr, OD,
Ppr
S
OC GC §§34090, 53235.2(b)
City Clerk
CC-054 FPPC Form 801 (Gift to Agency
7 years
7 years
Mfr, OD,
S
Yes: After 2 Must post on website; GC
Report)
Ppr
years §81009(e)
FPPC Form 802 (Tickets Provided
r
Yes: After 2 Must post on website for 4 years;
City Clerk
CC-055
by Agency Report)
7 years
7 years
Mf OD,
S
years ;GC §81009(e)
Ppr
CC-063 FPPC Form 803 (Behested
7 years
City Clerk
7 ears
y
I Mf r OD,
S
Yes: After 2 FPPC Regulation 18734(c); GC
Payment Report)
Ppr
years §81009e
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-48

Ver.43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-6
Office of
Classification
Records Description
Retention I Disposition
Comments Reference
Record
OR
File Number
Image:

Destroy
_
(OFR)
Active Inactive I
Total Vital?
Media
1=Import
Paper after
(in office) CD or Mfr
Retention
Options
M=Mfr
Imaged &
S=S a
C'
Warnin s? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints,_ audits, gending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

City Clerk
CC-064
FPPC Form 804 (Agency Report of
P
P
Mag
Mfr. OD,
S
Yes: After 2 FPPC Regulation 18734(c); GC
New Positions)
—Ppr
years
§81009e
P
FPPC Form 805 (Agency Report of
City Clerk CC-065 P
Mag'
Mfr, OD,
S
Yes: After 2
t
1 FPPC Regulation 18734; GC
Consultants)
Ppr
years
§34090; GC §81009(e)
FPPC Form 806 (Agency Report of
Mag,
Yes: After 2
Must post on website-, 2 CCR
City Clerk
CC-057
Public Official Appointments)
7 years
7 years
Mfr, OD,
S
years
8702.5(b)(3); GC §34090; GC
Ppr
81009 e

ELECTIONS - CONSOLIDATED
Campaign Filings (FPPC 400
Candidates without committees
Series Farms, Form 501}:
are not required to file their

UNSUCCESSFUL CANDIDATES
Mfr, OD,
After 2
statements ,reports or copies
City Clerk
CC-021
Includes Unsuccessful Candidates
10 years
P
P
Ppr
S
years
online or electronically; Paper
Without Committees that Don't File
must be retained for at least 2years;
!Electronically
GC §81009(b)&(g); GC
§84615
—
lLampaign uisciosore 5raremenis
i(FPPC 400 Series Forms, 501
Form): UNSUCCESSFUL.

Mag,
Yes: After
Statements filed electronically are
City Clerk
CC 071

CANDIDATES,
10 years
10 years
Mfr, OD
S J I
QC
e
required for 10 years; GC

ELECTRONICALLY FILED - WITH
Ppr
§81009(b)&(g); GC §84615
or WITHOUT Committees
Campaign Filings (FPPC 400
Series Forms): OTHER
Mfr 00,
After
'Department preference; Paper
City Clerk
CC-022
COMMITTEES (PAC$ - not
10 years
P
P
Ppr
S
years
must be retained for at least 2
ieandidate-controlied)
-
years; GC §§81009(c)&(g); 84615
Campaign Filings (FPPC 400
Series Forms): THOSE NOT
Mfr, OD,
After 2
Department preference; Paper
City Clerk �
CC-023

REQUIRED TO FILE ORIGINAL
10 years
P
P
Ppr
S
years
must be retained for at least 2
WITH CITY CLERK co ies
years; GC §§81009{f}&(g); 84615
CITY OF NEWPORT BEACH, CA. M003-06 Gladwell Governmental Services, Inc. - all rights reserved Do no[ duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-49

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-7
Office of Classification Records Description Retention 1 Disposition Comments ! Reference
Record OR
File Number I Image: Destroy
Active Inactive ! Total Media 1=Import Paper after
(OFR) (in office) CD or Mfr Retention Vital? iOptions! M=Mfr Imaged & $=Scan C,
Warnln s! !f fhe record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, com Taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Campaign Disclosure Statements
I Data that has been maintained for
(FPPC 400 Series Forms, 501
at least 10 years may then be
City Clerk CC-024
Form): SUCCESSFUL
10 years
P
P
Mfr, OD,; Yes: After 2 archived in a secure format; Paper S
CANDIDATES (Elected Officials)
Ppr years must be retained for at least 2
All Successful, whether filed
years; GC §81009(b)&(g); GC
electronically or not
----- - - --- - §84615(i)
-
KING Elections - GENERAL WORj
or ADMINISTRATION Files
(Correspondence, Applications for
Mag, Used for a model for the next
City Clerk CC-025
ivacancies on the Council, Precinct 2 years
2 years
Ppr election, GC §34090
Maps, County Election Services,
Candidate Statements to be printed'(
':in the Sample Ballot, etc.) -
-
Elections - HISTORICAL File
(Sample ballot, Oaths of Office,
Mag,
City Clerk CC-026
Certificate of Elections, copies of 4 years
P
P
Retained for Historical Value, GC
(Mfr, OD, S No
Resolutions - calling the election,
§34090
Ppr
canvass, etc., election summary)
Department Preference; Statewide
guidelines proposes 4 years for
Candidate File: Nomination Papers, Term of
Term of
successful candidates, 2 years for
Mag,
City Clerk CC-027
Candidate Statements, etc. - Office + 4
Office + 4
Mfr, OD, ;unsuccessful; CA law states term
SUCCESSFUL CANDIDATES years
years
Ppr of office and 4 years after the
expiration of term and does not
delineate between the two; EC
§17100
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-50

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-8
Office of
Classification Records Description Retention I Disposition Comments I Reference Record
OR
File Number
Image Destroy
Active
Inactive 1
Total
Media
1=Import Paper after
(OFR)
(in office)
CD or Mfr
Retention
Vital?
Options
M=Mfr Imaged &
5=5 n QC' ?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Statewide guidelines proposes 4
years for successful candidates, 2
Candidate File: Nomination Papers,
Mag,
years for unsuccessful; CA law
Election + 4
City Clerk CC-028 Candidate Statements, etc. -
Election + 4
Mfr, OD,
states term of office and 4 years
UNSUCCESSFUL CANDIDATES Years
years
Ppr
after the expiration of term and
does not delineate between the
_
two_;EC §17100
Results + 8
Results + 8
months or
months or
Final
Final
Not accessible to the public; The 8
Examination
Examination
month retention applies after
Elections - Petitions (Initiative, if No
if Na
election results, or final
City Clerk CC-029 Recall or Referendum) Election + 1
Election + 1
Ppr
examination if no election, unless
year after
year after
there is a legal or FPPC
petition
petition
proceeding. EC §§17200(b)(3),
examination
examination
17400
if petition is
if petition is
insufficient
insufficient
ELECTIONS - STAND-ALONE use in conjunction with Consolidated elections ... records series are not repeated)
Elections - Vote -by -Mail
City Clerk CC-030
Applications, Roster of Absentee
6 mo.
6 mo.

Ppr
EC §17505
Applications
6 mo.
6 ma.

Ppr
City Clerk CC-031
Elections - Vote -by -Mail
EC §17302
Identification Envelopes
_
2 years
Ppr
City Clerk CC-032
Elections - Assessment District
2 years
GC §53753(e)(2)
Ballots - Prop. 218 proceedings_
Elections - Ballots - After Election
6 mo,
6 mo.

Ppr
City Clerk CC-033
EC §17302
Elections - Ballots - After Recount
6 mo.
6 mo.

Ppr
City Clerk CC_-034
EC §17306
City Clerk CC-035 Elections - Challenged & Assisted
6 ma.
6 mo.

Ppr
If uncontested, EC §17304
Voters List
CITY OF NEWPORT BEACH, CA. p2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-51

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-9
Office of ClassificationRecords Description Retention I Disposition Comments l Reference
Record ! OR
File Number Image: Destroy
_
Active Inactive I Total ? Media I=Import Paper after
(OFR) vital?
(in office] CD or Mfr Retention Options M=Mfr Imaged &
$=Scan QC'd?
Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g, last document t 2 years), since destruction is normal! performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records re oasts, and/or investi ations suspend normal retention periods retention resumes after settlement).

City Clerk
CC-036 I Elections - inspector Receipts for
Ballots
6 mo,
6 mo.

Ppr
EC 17302, 17306
_
CC-037
Elections -Precinct Officer
6 mo.

Ppr
City Clerk
6 mo.

EC §17503
Appointments
Mag,
City Clerk
CC-038
Elections - Roster of Voters
5 years
5 years
Mfr, OD,
EC §17300
Ppr
EC §17304
City Clerk
CC-039
Elections - Tally Sheets
6 mo.
6 mo.

Ppr
Elections - Voter Index Copies
City Clerk
CC-040
used as the Voting Record at
6 ma.
6 mo.

Ppr
EC §17304
Polling Places
CC-041
Elections - Voter Index Original
5 ears
Ppr
City Clerk
5 Vears
EC §17001
End of Elections Section
Mag,
f
City Clerk
CC-042 Minutes: City Council
10 years
P
P
Yes (all)
Mfr, OD,
S
No
GC §34090
Ppr
Municipal Code Administration,
When No
Mag'
Preliminary drafts not retained in
When No
City Clerk
CC-043
Distribution, etc.

Longer
Longer
Ppr
the ordinary course of business;
Required
Re aired
GC § 34090
P
No
City Clerk
Municipal Code and History File
CC-044
P
Mag,
Mfr, OD,
S
GC §34090
(always retain 1 supplement)
Official Records / Recorded
Ppr
Documents: Abandonments,
Mag,
City Clerk
CC-045 Covenants Deeds Deed
10 years
P
P
Yes (all)
Mfr, OD,
S
No
GC §34090
Restrictions Easements,
Ppr
Entitlements, Vacations, etc.

CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, tnc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-52

Ver. 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-10
Office of
Classification
Records Description
Retention I Disposition
Comments I Reference
Record
OR
File Number
Image: Destroy
(OFR)
Active Inactive I
Total
Media I=Import Paper after
Vital?
(in office) CD or Mfr
Retention
Options
M=Mfr Imaged &
— C'
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or invest! ations suspend normal retention periods retention resumes after settlement).

Mag,
City Clerk
CC-046
Ordinances
P
P
Yes (all) Mfr, OD,
S No GC §34090 et. seq.

Ppr
Petitions (submitted to Council on
any subject - Dog Parks, Speed
City Clerk
CC-048
Humps, etc.)
1 year
1 year
Ppr
Law requires 1 year for petitions;
GC §50115
Also see Elections for Initiative,
Recall or Referendum)
City Clerk
CC-059
Proclamations (City -issued)
2 years
2 years
Ppr'
GC §34090
Statute of Limitations for mailings
Proof of Publication (City Clerk)
Mag,
for annexations, special districts,
City Clerk
CC-049
(Affidavits of Publication and
2 years
2 years
Mfr, OD,
S / I Yes: After ;!bonds is 60 days; Municipal
QC & OD ;Government actions is 3 - 6
Posting, Ordinance Summaries)
Ppr
,months; CCP §§337 et seq, 349.4;
--- -- --- UGC §34090 —
P
Records Destruction Lists I
City Clerk CC-050 10 years
P
Mag'
IMfrP,P D,
Yes: After !Department Preference; GC
S
Certificates of Records Destruction
QC j§34090 et. seq.

I
P
City Clerk CC-051 Records Retention Schedules 10 years
P
Mag,
!Mfr, OD,
Yes: After 1
S §34090 et. seq.

Ppr
QC iGC
Redistricting Web Page I Council
City Clerk
CC-072
District Boundary Web Page (Map,
10 years
10 years
Mag'
!EC §21608(g); GC §34090
Redistricting Process, Agendas,
Ppr
,Calendars, Notice, etc.)
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-53

Ver• 43.0 RECORDS RETENTION SCHEDULE: CITY CLERK
Page CC-11
Office of
Classification Records Description
Retention I Disposition
Comments I Reference
Record
OR
_
File Number
Image: '
Destroy
(OFR)
Active
Inactive 1
Vital? Media 1=Import
Paper after
(in office)
GD or Mfr[E]
Optlons� M=Mfr
Imaged &
—
C'd
Warnings! If the record is not listed here, refer to the Retention for Cit -14<de Standards Retentions begin when the act is com toted, and im I a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

Magi
City Cierk
CC-052 Resolutions - City Council P
P
Yes (all) Mfr, OD, S
No
GC §34090 et. seq.

Ppr
2 years
Secretary of State Statement of
City Clerk CC-070 2 years
Mag.

GC §34090
Facts 1 Registry of Public Agencies
Ppr
UNALTERABLE MEDIA.

Refer to
Refer to
For legal compliance for

IMMUTABLE CLOUD BACKUP
Retention
Retention
Trustworthy Electronic Records
WORM 1 DVD-r 1 CD-r 1 Blue Ray-R dAther
Period of
(when the electronic record serves
Period of
City Clerk
CC 466
or other unalterable media that &up
Original
OD
the official record); must o
Original
does not permit additions,
Record
Record
stored
stored in a "safe and separate
deletions, or changes
p
R
location"; GC 34090, 12168.7,
EVC 1550, CCR 22620 et seq.

CITY OF NEWPORT BEACH, CA. D2003-06 Gladwell Governmental Services, Inc, -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 6/2022 3-54

Ver. 16.1 RECORDS RETENTION SCHEDULE: CITY MANAGER
Page CM-1
Office of
Classification
Records Description Retention I Disposition Comments ! Reference Record
OR
File Number
Image: Destroy
Inactive
Active Total Media i=Import Paper afters
(OFR)
Vital?
(in office) (Off -site, Retention Options M=Mfr Imaged & 1 OD or Mfr) S=Scan QC'd?
I
Warnings! If the record is not listed here, refer to the Retention for City- ' Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).

CITY MANAGER I ADMINISTRATION
CM-001 (See
Mfr, OD,
S 1 I
Yes
Department Preference; GC
City Clerk
CC-006)
Annexations P
P
§34090,7
Ppr
When No
When No
Mag,
Preliminary Drafts, or the Content
City
When No
CM-002
Manager
Annexations: Working Files Longer
Longer
Longer
Mfr, OD,
S 1 I
Yes
is not substantive; GC §34090
Required
Required
Required
ppr
Department preference to cover
statute of limitations for errors &
omissions; Published Audit
City
When No
Business Improvement Districts
Completion +
Mag,
Yes: After
Standards=4-7 years; Statute of
Manager CM-016
(BIDS) Project Files Longer
10 years
10 years
Mfr. OD,
S l I
QC
Limitations: Contracts & Spec's=4
Required
Ppr
years, Statewide guidelines
propose termination + 5 years;
CCP §§336(a), 337 et. seq., GC
§34090
When No
When No
City
Economic Incentives 1 Business Longer
Longer
Department Preference; GC
Manager CM-015
Development (Auto Dealer Sales Required -
Required -
Mag, Ppr
§34090: NBMC secs.

Tax Incentives, etc.) Minimum 2
Minimum 2

14.17.005(F) and 21.48.025(C)(5)
years
years
Lobbyist Reporting 1 Authorization
2 years
7 years
Mag'
Mfrr,,pOD,
S
Yes: After
City
CM-004
5 years
GC §81009(e) and (g)
Manager
(FPPC Form 6351602)
2 years
When No
When No
City
Longer
Longer
Mag,
Department preference; GC
Manager CM-005
Media Releases 1 Mailers
Required -
Required -
Mfr, OD,
§34090
Minimum 2
Minimum 2
Ppr
years
years
CITY OF NEWPORT BEACH, CA ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted3/16/2022
3-55

Ver. 16.1 RECORDS RETENTION SCHEDULE: CITY MANAGER
Page CM-2
Office of
iClassification
Records Description
Retention I Disposition
Comments l Reference
Record
OR
File Number
- -- i
Inactive
Image: Destroy
(OFR)
Active
(Off -site,
Total
Media
Vital?
I=Import Paper after
(in office)
OD or Mfr)
Retention
Options
M=Mfr Imaged &
S=Scan QC'd?
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a lull file folder (e.g. last document + 2 years), since destruction is normal!y performed
by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).

When No
City
Longer
Yes: While
Manager
CM-007
Projects & Issues
Required -
ERequired
Active Mag, Ppr
GC §34090
Minimum 2
Issues
years
Prospects !Business Retention !
When No
When No
City
CM-017
Recruitment Files that do not result
Longer
Required -
Longer
Required -
Mag, Ppr
GC §34090
Manager
in a project (Issues and/or projects
Minimum 2
Minimum 2
will vary over time - e.g. Hotels, etc.)
years
ears
{
City
CM-018
Redevelopment Statement of
2 years P
P
Mag'
Mfr, D,
Yes: After
S ! I
Department Preference; meets
Manager
Indebtedness
Pp
1 year
auditing standards; GC §34090
When No
Longer
City CM-008 Speeches (Historically Significant, When No Longer
Mag,
Mfr, OD,
Notes, drafts, or transitory
Manager
see LS-001)
Required
Required
Ppr
records; GC §34090 et seq.

When No
When No
Video Recordings - Government
Longer
Longer
Department preference; Not city
City
CM-009
Programming (e.g. City Scenes,
Required -
Required -
Mag
I records (Video tapes of meetings
Manager
POG, etc.)
Minimum 2
Minimum 2
are only required for 90 days); GC
§34090 et seq.
years
years
City
Video Recordings - Non -City
When No t
When No
Manager
CM-011
Business, community programming.

Longer
Longer
Mag
Non -records; GC §34090 et seq.

Required
Required
When No
When No
Video Recordings - Not Historic !
Longer
Longer
Department Preference; Video
City
CM-010
Special Events (Historically
Required -
Required -
Mag
tapes of meetings are only
Manager
!Significant, see LS-001)
Minimum 2
Minimum 2
required for 90 days; GC
§34090.7
years
years
CITY OF NEWPORT BEACH, CA 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-56

Ver. 13.0 RECORDS RETENTION SCHEDULE: CODE ENFORCEMENT Page CE-1 Office of j Classification
Records Description
Record OR
Retention 1 Disposition
Comments 1 Reference
Fite Number
1 Inactive
Image:

Destroy
(OFR)
Active
(Off -site,
Total
Vita!?
Media
1=lrnport Paper after
(in office) OD or Mfr)
Retention
Options
M=Mfr
Imaged &
S=Scan
QC'd?
Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder fe,g. last document + 2 years), since destruction is normally performed
by
file folder.

I
HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement).

CODE ENFORCEMENT
Case is open until satisfactorily
Code Code Enforcement Case Files:
2 years after
Mag,
resolved (some cases are not
Enforce. CE-001 V. olations r VVarnings , Coue
Satisfactorily P
P
Yes: Until
Mfr, OD,
S
Yes: 1
resolved); City Clerk maintains
Or Fire Enforcement / Citations
Resolved
Resolution
Ppr
year
original staff reports and
resolutions that are presented to
Council; GC §34090
Code
Resolution 1
Mag'
Code Enforcement Case Files -
Enforce. CE-002
Payment + 3 P
P
Yes: Until
Mfr, OD,
5 Yes: 1
1DepartmenI Preference; CFC
Illegal Units or Liens
Or Fire g
- — - -
years
f
Resolution
--
Ppr
year§104.3.4,
GC §34090
bade
E-Rfoprp GF= 09
to HaFbO
6 �
Depa!41i+eF r- 11G 5C;-G `
felat
9a Fare
GAS
year6
s
§34()9
CITY OF NEWPORT BEACH, CA Q2003 Gladwell Governmental Services Inc. - all rights reserved Do not duplicate or dstnbute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-57

Ver.35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-1
Office of
Classification
Records Description
Retention 1 Disposition
Comments I Reference
Record
OR
File Number
_ _
T Destroy
In
Image:

Paper
(OFR)
Active
(Off site,
(O
Total
Vital? Media
1=Import after
(in office]
or Mfr)
Retention
Options
M=Mfr Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years). since destruction is normal!y performed by file folder.

MOLDS. Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement .

ACCOUNTING
FTC Reg's rely on "self -
enforcement"; IRS is 4 years after
Fin. 1
Arbitrage Rebate Calculation
((related
tax is due or paid; Supporting
Accounting
FIN-002
to bonds and tax exempt
2 years
3 years
5 vears
Mag, Ppr
documentation for Investments of
(Operating
debt)
Funds; meets auditing
standards; IRS Reg §31.6001-
1(e)(2), R&T §19530, GC §3409G
Department Preference; IRS is 4
years after tax is due or paid;
Fin. 1
Assessment District I Special
Termination
Termination
Supporting documentation for
Accounting
FIN-033
District Payments & Reports
2 years
of District +
of District +
Mag, Ppr
Investments of Operating Funds;
5 years
5 years
meets auditing standards; IRS
Reg §31.6001-1(e)(2), R&T
§19530, GC §34090
Audit Management Letters and
Fin. 1
Mag, Mfr,
Yes'
Department Preference; GC
Accounting
FIN-003
other formal letters related to
10 years
10 years
OD, Ppr
S 1 I After 1
§34090
audit communication _
year _
Fin. 1
Yes Until
Department Preference (meets
Revenue
FIN-076
Audit Work Papers
5 years
5 years
Paid Mag. Ppr
municipal government auditing
standards) GC §34090
CITY OF NEWPORT BEACH, CA. 92003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-58

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2 Office of Classification Records Description Retention I Disposition Comments I Reference Record OR
File Number 1 Destroy
Image:

Inactive Paper
Active Total Media 1=Import
(OFR) (in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods Bond Transcripts (issuing Fully
Fin. ! documents) See Bank Fully Yes: Until
Accounting FIN-005 Statements for statement Defeased 10 years IDefeased+10year Maturity Ppr 1 retention. 10 years
;Comprehensive Annual Financial
Accounting ng
FIN-007 Reports and related Audit
P
Opinions
Fin. !
Accounting
FIN-010 Compliance Reports
2 years 3 years
Fin. !
Developer Trust Accounts !
Close + 5
Accounting
FIN-077 Deposit Accounts / Demolition
years
Deposit Accounts
Fin. ! FIN-011
Escheat (Unclaimed money /
2 years 3 years
Accounting
uncashed checks)
Fin. /
Financial Services Database
Indefinite
Accounting FIN-012
.(Accounts Payable and Payroll
(minimum
Check Registers)
10 years)
Mag, Mfr,
P
Sit
OD, Ppr
5 years
Mag, Mfr, Sit
OD, Ppr
Close + 5
Yes: Until Mag, Ppr
years
Paid
5 years
Mag, Ppr
(minimum Yes Mag
10 ears
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 resumes after settlement).
7 Department Preference; Statute of
Limitations for bonds, mortgages,
trust deeds, notes or debentures is
6 years; 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 §43900 et seq.

Yes:

After 1
Copies; GC §34090.7
year
Yes:

After 1
Meets auditing standards; GC
§34090
year
Department Preference (meets
municipal government auditing
standards) GC §34090
Department preference; All
tangible property held by
government agencies escheats
after 3 years; Statute of Limitations
is 1 year for seized property;
Meets auditing requirements; CCP
§§340(d), 1519; GC §34090
Data Fields ! Records are
interrelated; GC §34090
Revision Adopted: 3/16/2022
3-59

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-3
Office of
Classification
Records Description
Retention l Disposition
Comments I Reference
Record
OR
File Number
Image:

Destroy
Active
Inactive
Total
Media
I=Import
Paper
(OFR)
(in office)
(Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Fixed Assets - Annual Listing
Fin. /
Additions & Deletions / Working
Department Preference
Accounting
FIN-013
Drafts & Notes for Land and
2 years
3 years
5 years
Mag, Ppr
(preliminary drafts); Meets auditing
Structures, Infrastructure and
standards; GC §34090
iCapital
Fin. / Fixed Ass is -- Annual Listing
Mag, Mfr
Yes:

Includes permanent assets; GC
Accounting
FIN-014
Source Documents for Land and
P
P
OD, Ppr
,
S / I
After 1
§34090
Structures _
year
I General Ledger: Final year-end
Fin. / Includes Balance Sheets,
Mag, Mfr,
Yes:

Published articles show 3 -10
Accounting'
FIN-015
Revenue Ledger and Expenditure
2 years
8 years
10 years
OD, Ppr
S / I
After 1
years; Other Cities have adopted 2
Ledger
year
years - 20 years; GC §34090
Meets auditing standards;
Published articles show disposal +
Fin. /
FIN-063
Investment Advisor Reports 1
5 years
5 years
Yes: Until Mag, Mfr,
S / I
Yes:

After 1
7 years for security brokerage
'slips: statewide guidelines
Accounting
Trade Tickets
Paid OD, Ppr
year
propose permanent; FTC Reg's
rely on "self -enforcement";
GC§§ 34090, 43900
Department Preference; Statute of
Fin. /
FIN-017
Journal Entries (Binders)
3 years
7 years
10 years
Mag, Mfr,
Sit
Yes:

After 1
Limitations is 4 years; statewide
Accounting
OD, Ppr
guidelines propose Audit + 5
year
years; GC §34090, CCP § 337
Indefinite
Indefinite fini
Yes:

Department Preference; Statute of
Fin. /
FIN-080
Journal Entries (Tyler Munis)
(minimum
(minimum
, MagMfr,
S / I
After QC
Limitations is 4 years; statewide
Accountin g
10 years)
10 years)
OD, Ppr
& OD
guidelines propose Audit + 5
i
years; GC §34090, CCP § 337
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-60

Ver.35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-4
Office of Classification•
Records Description
Retention I Disposition
Comments I Reference
Record OR
File Number
Image:

Destroy
Active Inactive
Total Media
I=Import
Paper
(OFR)
(in office ) (Off -site,
Retention Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
'Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Fin. I
When No
Whe:No
Accounting FIN-048
Property Tax Files
Longer
Lon
Mag, Ppr
Non -records; GC §34090
Required
Re u
State Reports: State Controllers
Report / Local Government
Compensation Report, Property
Management Plan, Obligation
Payment Schedules, Due
Diligence Reviews, Gas Tax,
MOE (Maintenance of Effort)
Yes:

Fin. /
Report, Fixed Charge Special
Mag, Mfr,
Meets auditing standards; GC
Accounting FIN-020
Assessment Report, Public Self
2 years 3 years
5 years
OD, Ppr
S / I
Ay
§34090
Insurer Report (SIP Report);
art
Housing Successor Agency
Housing Assets Fund Report (SB
341), Street Report, AQMD
Annual Report, Maintenance of
Effort (MOE) Calculations, Audits,
and other compliance reports
Final
Final
Fin. / FIN-082
State -Mandated Cost Claims / SB
Disposition
Disposition
Mag, Ppr
Department preference; GC
Accounting
90 Claims / Reimbursable Claims
of Claim + 2
of Claim+ 2
§34090
ears
years
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-61

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-5
Office of Classification
Records Description
Retention l Disposition
Comments l Reference
Record OR
File Number
Image:

Destroy
Active Inactive
Total Media
1=Import
Paper
(OFR) (in office) (Off -site,
Retention Vital? Options j
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &:

Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention eriods retention resumes after settlement). 'Meets auditing standards;
Published articles show disposal +
Fin. / Yellow Book Data (downloaded
Yes: Until Mag, Mfr,
Yes:
7 years for security brokerage
FIN-064 5 years
iI
Accounting bank information)
5 years
Paid OD, Ppr
S / I
After 1
slips; statewide guidelines
i
year
propose permanent; FTC Reg's
rely on "self -enforcement";
GC§§ 34090, 43900
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-62

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-6
Office of
IC lass ification Records Description
Retention t Disposition
Comments l Reference
L-
OR I
.—Record
_ _ _
File Number I
Image:

Destroy
Active
Inactive
Total
Media
Wmport
Paper
(OFR)
(in office)
(Off -site,
OD Mfr)
Vital?
Retention
Options
M=Mfr
after
Imaged &I
or
S=Scan
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS. Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations sus and normal retention periods retention resumes after settlement).

ACCOUNTING
t PAYROLL
Employee Benefit Plans, DE-6,
IRS: 4 years after tax is due or
DE-7, DE-9 DE-43, W-3. & DE-
paid (longer for auditing &
Fin. 1
166, 941 Forms, IRS 5500
Mag, Mfr,
Yes:
contractor delinquency); Ca. FTB:

Payroll
FIN-022 Forms PERS 1 FICA &Medicare
2 Years
3 years
5years
OD Ppr
S l I
After 1
3 years; Published articles show
Adjustments - Quarterly Payroll
year
permanent; ; IRS Reg §31.6001-
Tax Returns 1 OASDI
' 1(e)(2), 26 CFR §1.6001-1, R&T
119530, GC §34090
Fay. 1
Deduction Registers, Leave
F3
Department Preference; GC
Payroll
FIN-023 Balances, Organization Charge
years
3 years
Mag, Ppr
Summaries
Fin. 1
Indefinite
_
Data is interrelated; GC §34090 et
Indefinite
Payroll
FIN-024 Payroll Database
(minimum
(minimum
Yes
Mag
5eq'
10 years)
10 ears
Retained to match other auditing
periods; IRS Regulation 31-6001-1
Fin. 1
Payroll File (Changes to W-4,
Separation +
separation +
four years after the due date of
Payroll
FIN-025 garnishments, deduction forms,
5 years
5 years
Mag, Ppr
such tax for the return period to
!etc.)
which the records relate, or the
date such tax is paid, whichever is
the later; GC §34090
Yes:

Department Preference to facilitate
Payroll Journal 1 Register (Detail
Fin./
IMag,
FIN-026 Year-end, or periodic if no detail
2 years
28 years
30 years
Mfr,
S l I
After 1
PERS buy-back for past
Payroll
y
OD, Ppr
employees; consistent with
,year-end)
year
auditing standards; GC §34090
Fin 1
Payroll Journal 1 Registers
When No
I
Considered a draft or transitory
When No
Yes:

Payroll
FIN-027 (Periodic reports, when a detail
Longer
Longer
Ma OD,
g'
Mfr, Ppr
S 1 I
After 1
record (detail year-end is
ear -end report is retained
y p J
Required
q
Re wired
i
year
(retained); GC §34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-63

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-7
Office of
Classification Records Description
Retention ! Disposition
Comments l Reference
Record
OR
_
File Number
Image:

Destroy
Active Inactive
Total Media
I=Import
Paper
(OFR)
(in office) (Off -site,
Retention Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement .

PERS Reports / Annual Valuation
Yes:

Fin. /
Reports, Actuarial Valuation
FIN-028 3 years
3 years
Mag, OD,
S / I
After
Department Preference (Non -
Payroll
,Reports, Annual Employer
Mfr, Ppr
records); GC §34090
Statements
yearl
IRS: 4 yrs after tax is due or paid;
Fin. /
W-2's (includes Performers State
Ca. FTB: 3 years; Articles show 7
FIN-029 5 years
5 years
Mag, Ppr
,years; IRS Reg §31.6001-1(e)(2),
Payroll
Withholding)
R&T §19530; 29CFR 516.5 -
516.6, 29USC 436, GC 534090
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-64

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-8
Office of IClassification
Records Description
Retention !Disposition
Comments I Reference
Record
OR
File Number
Image:

Destroy
Active
Inactive
Total
Media
I=import Paper
(OFR)
(in office)
(Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods retention resumes after settlement).

OFFICE OF MANAGEMENT
✓ii BUDGET
OMB
Department Preference; IRS: 4
years after tax is due or paid
1099's, 1096's DE542 (California
Yes:
(longer for auditing & contractor
Fin. 1 OMB �
FIN-030 Report of Independent
2 years
3 years
5 years
Mag, Mfr,
5 1 I
After 1
delinquency); Ca. FTB: 3 years;
Contractors �
OD, Ppr
year
Published articles show
permanent; ; IRS Reg §31.6001-
1(e)(2), R&T §19530. GC §34090;
Accounts Payable I Vendor Files
j
29 USC 436
(All Records and Reports -
Department Preference to cover
Includes Invoices. Copy of
Yes; Until Mag, Mfr,
Yes.
grant auditing requirements;
Fin. I OMB
FIN-031 Checks 1 Warrants, Travel
2 years
8 years
10 years
Paid OD, Ppr
S / I
After 1
Statewide guidelines propose
Expense Reimbursements,
Postage, etc.)
year
audit + 4 years; Published articles
show 3 - 7 years; GC §34090 —
—
5 years
Fin. !OMB FIN-006 Budget Amendments 2 years 3 years
Mag, Mfr,
S / I
Yes'
After 1
Meets auditing standards: GC
OD, Ppr
p
§34090
i
year
When No
When No
Budget Hearing and/or Review
Longer
Longer
Fin. I OMB
FIN-059 (Development Documents &
Required
Required
Mag, Ppr
Drafts - Department Preference:

Preliminary Budget)
(minimum 2
(minimum 2
GC §34090.7
years)
ears
Fin. 1 OMB
Budget Transfer Requests &
FIN-060
2 years
3 years
5 years
Yes' Mag, Mfr,
Current
S 11
Yes
After 24-1auditing
Department Preference; Meets
Journals
OD, Ppr
Fiscal Yearyears
standards; GC §34090
Yes-
Yes:
'
Fin. 1 OMB
FIN-051 Budgets - Adopted
P
P
Mag, Mfr,
Current
$1 I
After 1
Must be filed with County Auditor;
OD, Ppr
Fiscal Year
year
GC §34090, 40802, 53901
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-65

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-9
Office of Classifications
Records Description
'
Retention f Disposition
Comments 1 Reference
Record OR
File Number
Image:

Destroy
Active
Inactive
Total
Media
1=Import
Paper
(OFR)
(in office)
(Off -site,
Retention
Vita11 Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Wi Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or invests gations suspend normal retention periods retention resumes after settlement).

Yes:

Department Preference; Statute of
Checks / Warrants - Canceled
Mag, Mfr,
Limitations is 4 years; statewide
Fin. / OMB FIN-008 (Cashed)
2 years
8 years
10 years
OD Ppr
S / I
After 1
guidelines propose Audit + 5
year
years; GC §34090, CCP § 337
Yes:

Meets auditing standards; Statute
Fin. I OMB FIN-009 Checks /Warrants -Voided
2 years
3 years
5 years
Mag, Mfr,
S / I
After 1
of Limitations is 4 years; statewide
OD, Ppr
guidelines propose Audit + 5
year
years; GC §34090, CCP § 337
Department Preference; Grants
covered by a Consolidated Action
Plan are required for 5 years;
Uniform Admin. Requirements for
Grants to Local Governments is 3
Expiration of
Expiration of
Mag, Mfr,
Yes:
years from expenditure report or
Fin. / OMB FIN-016 Grant Reports
Grant + 2
8 years
Grant + 10
ODPpr
,
S / I
After 1
final payment of grantee or
years
years
year
subgrantee; HUD requires 3 years;
statewide guidelines propose 4
years; 2 CFR 200.334: 24 CFR

91.105(h), & 570.502(a), 29 CFR

97.42; ;OMB Circular A-110 & A-
133; GC §34090
Department preference; Longest
Statute of Limitations is 10 years;
Insurance Certificates (for
Yes: Before Mag, Mfr,'
Yes:

Conforms with Agreement
Fin. ! OMB FIN-078 Contracts, etc.)
2 years
9 years
11 years
Completion OD, Ppr
S/I
After 1
Retention (usually filed with
year
agreement); statewide guidelines
ipropose permanent; CCP §337 et
seq.; GC §34090
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-66

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-10
Office of
Record
Classification,
OR
Records Description
Retention l Disposition
I Comments 1 Reference
File Number
Image: Destroy
Inactive
Active
Total
Media
Paper
I=Import
(OFR)
(Off -site,
(in office)
Retention
Vital?
Options I
after
M=Mfr
OD or Mfr )
S=Scan I Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Fin. /OMB
FIN-041
Inventory and Warehouse
2 years
2 years
Mag, Ppr,
GC §34090
Consistent with City-wide
guidelines for contracts and
agreements; Statewide guidelines
Purchase Orders, Procurement &
propose completion + 5 years for
Contracting Records - Formal and
Yes:
non -capital improvement contracts
Fin. !OMB
FIN-049
Informal (RFPs, Specifications,
Completion
years
Completion
Yes: Before Mag, Mfr,
S After
& completion + 4 years for
Contracts, Amendments,
+ 2 years
+ 10 years
Completion OD, Ppr
Inactive
transportation and concessionaire
Successful Bids, Notice of Award,
agreements. Statute of
RFQs, etc.) I
Limitations is 4 years; 10 years for
Errors & Omissions; CCP §§337.
337.1(a), 337.15, 343: GC §34090
Fin. I OMB
FIN-050
Purchasing - Bidder I Vendor List
(Companies that want to receive
Superseded
Mag, Ppr,
Transitory Record used to mail out
Superseded
RFPs /RFQs) '
requests; GC §34090 et seq.
5 years
_
Purchasing Card Backup 2 years 3 years
Fin. !OMB FIN-051
Mag, Ppr
Meets auditing standards; GC
Receipts and Statements
§34090
Minimum 7
Fin. I OMB FIN-091 IW-9s Minimum 7
Mag, Ppr
City preference; GC §34090
years
years
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-67

Ver.35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-11
Office of
Classification
Records Description,
Retention l Disposition
Comments 1 Reference
Record
OR
File Number
Active
Inactive Total
Image:

Media I=Import
_
Destroy
Paper
(OFR)
(Off -site,
Vital?
after
(in office)
Retention
Options M=Mfr
OD or Mfr)
S-Scan
mago
Id &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations sus end normal retention periods retention resumes after settlement).

REVENUE
'Accounts Receivable I Revenue
Includes Taxes - Transient
The financial services database is
Occupancy Tax (TOT), Marine I
maintained for a minimum of 10
Lead
FIN-065
iCharter Tax, Solid Waste �
5 years
5 years
Yes: Until
Mag, Ppr
years; the lead department
Depart.
iFranchise Statements, etc. (All
Paid
maintains records for the audit
source documents are
trail; GC §34090 et seq.
maintained by the Lead Dept: see
City-wide schedule.)
2 years
_ _
Fin.1 FIN-066 (Adjudications - Reviews, 2 years
Mag, Ppr
GC §34090
Revenue
Hearings (e.g. Parking Citations)
Adjustment Sheets: Customer
When No
When No
Considered transitory records I
Fin. !
FIN-067
Issues 1 Concerns l Adjustment
Longer
Longer
Mag, Ppr
source records (entered into the
Revenue
Requests l Adjustments 1
Required
!
Required
Financial Services database); GC
-
-
§34090 et seq.
2 years
Fin, 1 RevenueFIN-032 Armored Truck Manifests 2 years
Mag, Ppr f
1GC §34090
Automatic Payment
When No
_
Preliminary drafts destroyed in
When No
Fin. 1
FIN-034
Authorizations from Checking !
Longer
longer
Mag, Ppr I
accordance with bank regulations;
Revenue
Credit Cards (e.g. water
Required
Required
GC §34090 et seq.
payments) _
When No
Automatic Payment Transmittals When No !
Fin. !
(originals in Daily Cash
Revenue
FIN-035
from Checking ! Credit Cards
Longer
Longer
Mag, Ppr
,Copies
Summaries); GC §34090.7
(e.g. water payments)
Required
Required
CITY OF NEWPORT BEACH, CA. D2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Office of Classification
Record OR
File Number
(OFR)
'ecord is not list
whenwhenthe
Records Description Retention 1 Disposition
To
Active Inactive Total
(in office) (Off -site, Retention
; OD or Mfr)
Vital?
Destroy '
Image:

Paper
Media I=Import
after
Options M=Mfr
Imaged 8
S=Scan
Page FIN-12
Comments 1 Reference
HOLDS: Liti ation, claims, com faints, audits, endina records requests, and/or investiaations suspend normal retention veriods (retention resumes after settlement).

Bank Reconciliations, Bank
Statements, Trustee Statements,
Fin. /
Fiscal Agent Statements,
Revenue �
FIN-004
Investment Account Statements,
2 years
Outstanding Check Lists, Credit
Card Statements, and Deposit
Slips
Fin. /
Revenue
FIN-036
Building Permit Deposits
2 years
_
Fin. /
FIN-069
Business License Applications -
5 years
Revenue
Cancelled
Fin. /
Revenue
FIN-070
Business License Applications
P
'
Fin.. /
I
Indefinite '
Revenue
FIN-071
Business Licenses (Database)
(minimum
_ 10 years)
Fin. /
Revenue
FIN-037
Cash Receipt Books
2 years
Checks deposited to Bank (City
Fin. /
FIN-079
scans them for the Bank, rather
Follow Bank
Revenue
than physically taking the checks
Instructions
to the bank to deposit them.)
Fin. /
FIN-072
Collection Agency (e.g., returned
Assignment
Revenue
checks assigned to collection)
+ 7 years
3 years 1 5 years
Mag, Ppr
3 years
5 years
Mag, Ppr
5 years
Ppr
P
Yes (before Mag, Mfr, S
termination) OD, Ppr
I
Indefinite
Yes (before
(minimum
termination) Mag, Ppr
10 ears
5 years
3 years
Mag, Mfr, S / I
OD, Ppr
Follow Bank
Mag, Ppr
Instructions
Assignment I Yes Mag, Ppr
+ 7 years
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Meets auditing standards; GC
§34090
Meets auditing standards; GC
§34090
1Meets auditing standards; GC
§34090 et seq.

Yes:

After 1
Department Preference; GC
§34090 et seq.
year
Department preference to match
financial services; Data fields are
inter -related; GC §34090 et seq.

Yes:

After 1
Meets auditing standards; GC
§34090
year
These are bank instruments, and
not City records; per bank
agreement.

Department preference to match
the length of time negative credit
information remains on a
consumer's credit report; GC
§34090
Revision Adopted: 3/16/2022
3-69

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-13
Office of
Classification:

Records Description
Retention 1 Disposition
Comments l Reference
Record
OR
File Number
Image:

Destroy
Active
Inactive
Total
Media
I=Import
Paper
OFR
( )
(in office)
(Off -site,
Retention
Vital?
Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Fin. /
(Meets auditing standards; GC
Revenue
FIN-038
Daily Cash Summaries
2 years
3 years
5 years
Mag, Ppr
§34090
Fin. /
Department Preference (Lead
Revenue
FIN-039
Developer Deposit Summaries
2 years
2 years
Mag, Ppr
Department is OFR for backup);
- —
GC §34090.7
Closed + 5
Fin. I FIN-040 Imressed Account Los Closed + 5
pgs
Mag, Mfr,
S / I
Meets auditing standards; GC
Revenue
years
years
OD, Ppr
§34090
Fin. /
FIN-042
Logs: Parking Permits, Zone 1,
2 years
Mag, Ppr
GC §34090
2 years
Revenue
Zone 2, etc.

Medical Necessity Customers
_
Fin. /
(Emergencies / Shut -offs -
No Longer in
No Longer in
Mag,
Yes:

Confidential; Department
Revenue
FIN-083
Customers who must have
Effect
2 years
Effect + 2
Ppr, Mfr,
S
After QC
preference; GC §60201
!electricityor water for critical
years
OD
I & OD
medical equipment)
5 years
Fin. /
FIN-043 Misc. Receipts - County / State 2 years 3 years Mag, Mfr,
S / I
Yes:

After 1
Meets auditing standards; GC
Revenue
OD, Ppr
§34090
year
When No
Longer
j When No
Fin. / I
FIN-044 Municipal Services Bill Stubs Longer
Ppr
Transitory Record; GC §34090 et
Revenue
_
Required
Re uired
se q.
1 year
Fin. / FIN-045 Parking Citation Payments 1 year
Revenue
Mag, Ppr
Transitory Records; GC §34090.7
Fin. /
Revenue
FIN-046
Parking Meter Summaries
2 years
Mag, Ppr
�GC §34090
2 years
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-70

Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-14
Office of
Record
Classification
OR
Records Description
Retention 1 Disposition
Comments 1 Reference
File Number
Destroy
Inactive
Image:Paper
(OFR)
Active (Off -site,
Total
Vital? Media
1=Import
after
(in office) OD or Mfr)
Retention
Options
M=Mfr
Imaed &
g
S=Scan
Warnin s! If the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti afions suspend normal retention periods retention resumes after settlement).

Permits: Second Hand
Fin. /
Dealer/Pawnbroker, Going out of
Mag, Mfr,
Yes:

Department Preference; GC
Revenue
FIN-073
Business, Adult -Oriented, Public
4 years
4 years
' OD, pr
P
S / I
After 1
§34090 et seq.

Convenience, Live Entertainment,'
year
Sound Amplification, Film
Fin. /
Statewide guidelines propose
Revenue
FIN-074
Receipt Books (turn-offs)
2 years 3 years
5 years
Mag, Ppr
audit + 4 years; Published articles
show 3 - 7 years; 90
Fin. /
FIN-075
Returned Check Processing
?
2 years 3 years
5 years
- �
Mag, Ppr
f
stan§34dards:

Meets auditing standnd ards; GC
Revenue
§34090
Minimum 4
Fin. / Minimum 4
m
FIN-084 Short Term Lod Permits
g g
Mag, Mfr,
S / 1
Yes:

After QC
Department Preference; GC
Revenue
i
years �
years
Ppr'
OD, P
& OD
§34090
Fin. ! I
Water Billing: Appeals -Payment
—
Account -
Account
—
Mag,
I Yes:

Documented or attached to
Revenue
FIN-085
Delinquency & Impending
Expiration +
Expiration +
Ppr, Mfr,
S
After QC
Customer Record in database GC
Discontinuation
2 years
2 vears
OD
& OD
§34090; H&S §116908
Water Billing: Non-payment
Fin. I
FIN-086
Notices I Notice of Payment
Minimum 2
Minimum 2
Mag,
Ppr, Mfr,
S
Yes:

After QC
Documented or attached to
Customer Record in database GC
Revenue
.Delinquency
&Impending
years
years
Discontinuation (Initial, Final)
OD
& OD
§34090; H&S §116908
Minimum 2
Water Billing: NSF Checks / Minimum 2
Fin. !
Mag,
Yes:

Documented or attached to
Revenue
FIN-087
Adjustments to Customer
Ppr, Mfr,
S
After QC
Customer Record in database GC
,accounts
years
years
OD
& OD
§34090; H&S §116908
Expiration on_
Expiration or
Fin. /
Water Billing: Payment Plans:

Completion
Completion
Mag,
Yes:

Documented or attached to
Revenue
FIN-088
Amortization, Alternative Payment,
of Payment
of Payment
Ppr, Mfr,
S
After QC
Customer Record in database GC
Plans, Deferrals, etc.

Plan + 2
Plan + 2
OD
& OD
§34090; H&S §116910
years
years
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Ver. 35.0 RECORDS RETENTION SCHEDULE: FINANCE
Page FIN-15
Office of
(Classification Records Description
Retention 1 Disposition
Comments 1 Reference
Record
OR
File Number
Image:Paper
Destroy
Inactive
Active
Total
Media
I=Import
(OFR)
(Off -site,
(in office)
Vital?
Retention
Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s? if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement .

Fin. /
Water Billing: Policy on
When
�
When
Mag,
Yes:

Must post to Website; H&S
Revenue
FIN-089 Discontinuation of Residential
Superseded ;
Superseded;
Ppr, Mfr,
S
After OC 116906; GC 34090
§ §
Service for Nonpayment-
+ 2 years
+ 2 ears
OD
& OD
Fin. /
Water Billing: Report of Annual
Minimum 2
Minimum 2
Mag,
Yes: Must post to Website; H&S
Revenue
FIN-090 Discontinuations of Residential
years
years
Ppr, Mfr,
S
After QC §116918-, GC §34090
Service
OD
& OD
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-72

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-1
Office of Classification
Record OR
Records Description
Retention I Disposition
Comments 1 Reference
File Number
Destroy
Inactive
Image:

Paper
(OFR)
Active
(Off -site,
Total
Vital?
Media
1=Impart
after
(in office] I OD or Mfr)
Retention
Options
i M=Mfr
$=Scan
imaged
& C'd
Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

FIRE
Application for Temporary
Permit to Operate Fire
Department, candles, (e.g.

FR-000
weddings) candle program (e.g.

Yes: Before
Yes:

Department Preference;
&�A BI= 024
restaurants), pyrotechnic
P
P
Event
Mag, Ppr
S 11
After QC GC §34090
display, open flame, tents, LPG,
& OD
etc.) / Provisional State
regulated occupancies I
temporary use permits
Department Preference
Authorization to Release
(HIPAA allows patients to
Fire FR-016
Medical Records, Disclosure
2 years 5 years
7 years
Mag' Mfr'
S 1 I
Yes: see who has requested
Log, and Required Personal
OD. Ppr
After QC copies of the medical
Appearances
records for 6 years); GC
§34090; 45 CFR 164.528
Statistical Reports - Dispatch,
Fire FR-001
Incidents, and Other Operational,
2 years
2 years
Mag, Mfr,
S/I
Yes, After
GC §34090
Data (All Divisions)
OD, Ppr
p
QC
Apparatus & Equipment Records
Department preference to
& Testing - Safety Checks,
be in compliance with
Tests, Inspections, and
Surplus t Sale
Surplus !Sale
Mag, Mfr,
NFPA Standards for in -
Fire FR-020
Certifications (excludes
1 Disposal + 2 1
1 Disposal +-2
OD, Ppr
SII
No service automotive fire
maintenance records maintained
years
years
apparatus ; NFPA
by MOD)
1911.4.7.3 & Annex C.5 ,
GC §34090
CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-73

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-2
Office of
Record
Classification Records Description
OR
Retention I Disposition
Comments I Reference
File Number
Image:

Destroy
(OFR)
Inactive
Active (Off -site
Total Vital?
Media
I=Import
Paper
after
(in office) OD or Mfr)
Retention
Options
M=Mfr
;Imaged
S=Scan
& C,d
Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by
file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).
'Billing — Paramedic Services —
Billing Database Payments /
Bank Deposits / Check Images
HIPAA allows patients to
Emergency Medical Services
Mag, Mfr,
Yes:
see who has requested
Fire
FR-044 (EMS) Billing and Fire Medic
6 years
6 years
Yes
OD, Ppr
S/I
After QC
copies of the medical
Subscription Service (billing
& OD
records for 6 years; GC
activity, receivables, waivers,
§34090; 45 CFR 164.528
refunds, etc.
'Department Preference (no
statute of limitations on
Cause & Origin Reports / Fire
these incidents/crimes);
i Incident Reports If Arson,
p (
Mag, Mfr,
Yes: 1
California Fire Code
Police
FR-026 Homicide, Capital Crimes is
3 years P
P
OD, Ppr
S/I
year
requires 3 years; Police
Involved) (Also see PD-049)
also retains their reports
under PD-048 and PD-049;
CFC §§ 104.6—104.6.4,
GC §34090
Cause & Origin Reports / Fire
California Fire Code
Fire
FR-027 Incident Reports (If Arson,
5 years
5 years
Mag, Mir,
S/I
Yes: 1
requires 5 years; CFC §§
Homicide, Capital Crimes is
OD, Ppr
year
104.6 — 104.6.4, GC
NOT involved)
§34090
!Community Emergency
Response Team (CERT)
Applications Disaster Service
Fire
FR-039 Worker Registration
Separation +
Separation + 2
Mag, Ppr
Department Preference
authorizations, LiveScan record,
2 years
years
(copies); GC §34090.7
Liability Contract
Equipment Distribution Form,
etc.)
CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-74

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-3
Office of ; Classification
Records Description
Retention I Disposition
Comments I Reference
Record OR
File Number
_
Image:

Destroy
Inactive
Active
Total
Media
I=Import
Paper
(OFR)
i (in office) (Off -site,
Retention Vital?
Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged
& C'd
Wamin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by
file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement .

Community Emergency
Response Team (CERT)
When
When
Mag, Ppr,
Yes: After Department Preference;
Fire FR-046
Training Documentation
Superseded
Superseded
Mfr, OD
S/l
OC & OD GC §34090
(Manuals, rosters, outlines and
materials)
Department Preference -
required for 2 years after
inventory or transaction;
Fire FR-051
(Controlled Substance Logs
5 years
5 years
Mag, Ppr
Suppliers of Hemodialysis
,drugs & devices are
required to keep their
records 3 years: 21 CFR
§1304.04, 1310.04
( Daily Logs - Lifeguards (CAD-
Pr
_
- Data is Inter -related;
Fire FR-006
database effective January1,
Indefinite
Indefinite
Yes
Mag P
Department Preference;
2015)
GC §34090 et seq.

Yes:

Fire FR-012
Daily Logs - Lifeguards (CAD
Indefinite
Indefinite
Mag, Mfr,
S ! I
When Department Preference;
Database)
OD Ppr
Supersed GC §34090
ed
Fire FR-047
Daily Roster (Tele staff
Indefinite
Mag, Ppr
Department preference;
Indefinite
Database)
GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-75

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-4
Office of
Classification Records Description
Retention 1 Disposition
Comments 1 Reference
Record
OR
File Number
_
Destroy
Inactive
Image:

Paper
(OFR)
Active
(Off -site,
Total I
Vital?
Media
1=Import ;
after
(in office)
OD or Mfr)
Retention
Options
M=Mfr
Imaged
S=Scan
C'd
Warnings! If the record is not listed here, refer to the Retention for Cit -Wde Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by
file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Employee Medical File !
Employee Confidential
Toxic/Non-Toxic Substance
Send to HR
Human
Exposures, Fit Testing
(H
Send to HR
Department Preference;
Resources
FR-041 (Breathing Apparatus
upon
upon
(HR-024) upon
Mag, Ppr
GC §34090.7
Clearance); Immunization
Separation
Separation
Records (e.g. TB, Hepatitis),
Communicable Disease
exposure, etc.
j
IDepartment preference;
Employee Training
Paramedic recertification
(Includes Certificates,
Mag, Mfr,
Yes:
required every 2 years,
Fire
FR-038 Certifications; EMS, EMT, and
5 years
5 years
OD, Ppr
S
After 1
ICEMA Protocol requires 4
Paramedic Training
year
years; Department
documentation)
preference (copies), GC
' §34090 et seq.

Department preference for
Facility Records - Hazardous
Until
Until
Yes:
some records; AQMD
Materials, AQMD, EPA,
Superseded,
Superseded,
Mag, Mfr,
Permits and generator
Fire
FR-052 Warranties, Maintenance
Minimum 5
Minimum 5
OD, Ppr
S
After
operation logs are required
Records, etc.
years
years
OD
D
for 5 years; 40 CFR 70.6;
GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-76

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-5
Office of Classification
Record OR Records Description
Retention 1 Disposition
Comments 1 Reference
File Number -
-Destroy
- --
Inactive
Image:

Paper
Active
(OFR) (Off -site,
Total
Vital?
Media
1=Import
after
(in office) OD or Mfr)
Retention
Options
M=Mfr Imaged
S=Scan
& QC1d
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. g, last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi afions suspend normal retention periods retention resumes after settlement).
'Department preference
(Courts treat volunteers as
employees);
EEOC/FLSA/ADEA (Age)
requires 3 years for
Fire Explorer Program - Separation +
Fire FR-053
Separation + 31
Mag, Ppr
promotion, demotion,
Applications, etc. 3 years
years
transfer, selection, or
discharge; 29 CFR
1602.31 &
1627.3(b)(1)(i)&(ii), GC
§§12946,12960 34090
Department Preference;
Fire Code requires for the
Life of the Structure or
Incident Database ALL includes
Activity, or Minimum 5
incident reports; cause and
years for Approvals,
Fire FR-008 origin reports; property releases; Indefinite Indefinite
MagMfr,
, ,
Yes: 1
S/I
iInspections, Fires,
inspection reports; violation
OD, Ppr
year
iI Modification / Alternative
Methods or Materials;Crime
notices; vehicle checks; etc.
reports are retained
by Police (PD-048 & PD-
049) CFC §§ 104.6 -
104.6.4. GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-77

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-6
Office of
I Classification Records Description
Retention l Disposition
Comments 1 Reference
Record
OR
_
File Number
Image:

Destroy
Inactive
Active
Total
Media
I=Import
Paper
(OFR)
(Off -site,
(in office)
Vital?
Retention
Options
M=Mfr
after
OD or Mfr)
Imaged
S=Scan
C'd
Wamin s! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by
file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Fire Inspections (Routine),
Life of the
Life of the
Required for the Life of the
Notice of Re -Inspection, High
Structure or
Structure or
I Structure or Activity, or
Rise, Notice of Violations,
Activity, or
Activity, or
'
Minimum 5 years for
Fire
inspection/fire clearance
FR-025
Minimum 5
Minimum 5
Mag, Mfr,
S/I
Yes: 1
',Approvals, Inspections,
(certificates, Non -Compliance,
OD, Ppr
year
Fires, Modification /
Property Release, (Most files are
Years,
years,
Alternative Methods or
maintained in Incident
Whichever is
Whichever is
Materials; CFC §§ 104.6 —
Database),
Longer
Longer
104.6.4, GC §34090
Copies of Building Plans
for Places of Public
Fire Station Plans, Fire Pre-
Until
Until
Accommodation (to be
Fire
FR-029 Plans (Hospitals, etc.)
Superseded
Superseded
Mag, Ppr
used for Life Safety
Operations in the event of
a Disaster or Emergency)
GC §34090.7
Ground Emergency Medical
Yes:

Department preference;
Fire
FR-054 Transport, Intergovernmental
5 years
5 years
Mag, Mfr,
S
After OC
meets municipal
Transfer Program
OD, Ppr
�
& OD
government auditing
!
standards; GC §34090
'HIPAA (Health Insurance
Fire
Portability and Accountability
FR-055
Separation +
Separation + 6
Mag, Mfr,
S
Yes: After
45 CFR 164; GC §34090
Act) Confidentiality and
6 years
years
OD, Ppr
1 year
Nondisclosure Agreement
Superseded +
HIPAA Policies and Procedures Superseded +
Mag, Mfr,
{
Yes:
�45
Fire
FR-036 (Health Insurance Portability and
6 years
6 years
OD, Ppr
S
After 1
CFR 164.5300)
Accountability Act)
year
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-78

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-7
Office of
Classification
Records Description
Retention 1 Disposition
Comments !Reference
Record
OR
File Number
Image:

Destroy
Active Inactive
Total
Media
I=Import
Paper
(OFR)
(in office) (Off -site,
OD Mfr)
Retention Vital?
Options
M=Mfr
after
or
S=Scan
IImaged
i & C'd
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed. and imply a full file folder (e.g. last document + 2 ears , since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Department preference;
Paramedic recertification
Incident Database - Employee
required every 2 years;
Fire
FR-056
Training - Operations
Separation +
Separation + 5
Mag, Mfr,
S
Yes: After ICEMA Protocol requires 4
Includes Certificates;
5 years
years
OD, Ppr
1 year years; 8 CCR §3203 et
Certifications
seq., 29 CFR 1627.3(b)(ii),
LC §6429(c); GC §§12946,
12960, 34090
Mag, Mfr,
Yes: Department Preference
Fire
FR-010
ISO Insurance Ratings
15 years
15 years
OD, Ppr
S / I
After QC (rated every 10 years); GC
§34090
Department Preference to
be in compliance with
Ladder Certifications &
Surplus + 2
Surplus + 2
NFPA Standards for in-
Fire
FR-048
Inspections
years
years
Mag, Ppr
service automotive fire
apparatus ; NFPA
1911.4.7.3 & Annex C.5;
GC §34090
Copies -
Mutual Aid Agreements, Copies -
City Clerk
FR-013
Automatic Aid, Joint Power
When No
When No
Mag, Mfr,
',Originals Maintained by
City Clerk Permanently;
Authorities (see City Clerk CC-
Longer
Longer
OD, Ppr
GC §34090
005)
Required
Required
OES / Mutual Aide
(
Department preference to
Fire
FR-014
Reimbursements (Strike Team
10 years I
10 years
Mag, Ppr
meet auditing standards;
Incidents)
GC §34090 et seq.

CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-79

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-8
Office of Classification Records Description Retention 1 Disposition Comments l Reference Record OR
File Number Image: Destroy
Inactive Paper
Active Total Media I=Import
(OFR ) (in office) (Off -site, Retention Options M=Mfr after Vital?
OD or Mfr) Imaged
S=Scan & C'd
Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

Department Preference;
adults required for 7 years;
minors until 1 year after
age 18, but not less than 7
years; 10 years is
recommended by AHIMA
Indefinite
for "healthcare providers":
(minimum
Indefinite
Statute of Limitations for
Adults 7
(minimum
health providers is 3 years;
Pre -hospital Patient Care
years,
Adults 7 years,
CCP §340.5, GC §34090;
Fire FR-019 Records: ALL (ePCR) (Image Minors 19
Minors 19
Mag, Mfr, S Yes: After H&S §§1797.98(e)
Trend/Elite web base medical
years of age
years of age
OD, Ppr OC & OD 123145; 42 CFR
database)
but not less
but not less
482.24(b); 9 CCR 9444, 22
than 7
than 7 years)
CCR 70751(c) & 71551(c);
years)
22 CCR 70751(c),
71551(c), 73543(a),
74731(a), 75055(a),
75343(a), 77143(a), W&I
14124.1-1 CMS Pub. 100-4,
Chapter 1, Section 110.3
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-9
Office of Classification Records Description
Record OR
Retention ! Disposition
Comments 1 Reference
File Number
Image:

Destroy
Active
Inactive
Total
Media
I=Import
Paper
(OFR )
(in office)
(Off -site,
Vital?
Retention
Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged
& QVI
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, endin records re nests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Department Preference;
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", -
Adults: 7
Statute of Limitations for
years
Adults: 7 years
health providers is 3 years;
Pre -hospital Patient Care
Minors: 7
Minors: 7
CCP §340.5, GC §34090;
Fire FR-057 Records: ALL Pre-existing
years or age
years or age
Mag, Mfr,
OD, Ppr
S
Yes: After H&S §§1797.98(e)
QC & OD 123145; 42 CFR
Paper Records
19,
19, whichever
whichever is
is later
482.24(b); 9 CCR 9444, 22
later
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
Report of Suspected Dependent
Yes:

Adult / Elder / Child Abuse
Fire FR-037 Indefinite
to
Indefinite
Yes
Mag, Mfr,
S
Department preference;
A&erOQDC
(attached ePCR —
OD, Ppr
GC §34090
ImageTrend/Elite database )
Requests for Fire/Medical
Fire FR-042 Incident Reports and Fire Cause 2 years
5 years
7 years
Mag, Mfr,
OD, Ppr
S / I
Yes: Department preference,
After QC GC §34090
& Origin Reports
CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-81

Ver 37.0

RECORDS RETENTION SCHEDULE - FIRE
Page F-10
Office of Classification Records Description Retention I Disposition Comments / Reference Record OR
File Number Image: Destroy
Inactive Paper
(OFR) Active � (Off -site Total Vital? Media 1=Import aver (in office) OD or Mfr) Retention Options M=Mfr Imaged
S=Scan C'd
Warnin s1 1f the record is not listed here, refer to the Retention for City -Wide Standards Retentions be in when the act is completed. and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Revenue Program Records -
Department preference;
Fire
FR-058
Fire
Medics, START, Santa Ana
5 years
5 years
':

Mag, Mfr,
Yes
S After QC meets municipal
College Reimbursement: Back
OD, Ppr
& OD government auditing
up not sent to Finance
I
standards; GC §34090
Fire
FR-059
Ride Along Waivers, Station
Tours, Community Outreach
2 years
2 years
{ Mag, Ppr
GC §34090
Department preference;
Fire
FR-015
Standard Operating Procedures
Indefinite
Indefinite
Yes: Until Mag, Mfr,
Statute of Limitations for
S/l No Health Providers is 3
!Fire Department Policy Manual
Superseded OD, Ppr
years; CCP §340.5, GC
§34090
2 years
Station Log Books l Station 2 years
Fire FR-049
Mag, Ppr
Department preference
Journals (kept at Fire Stations)
GC §34090
Vehicle Safety Checks, Daily
Fire
FR-050
Vehicle Inspections, Daily
2 years
2 years
Mag, Ppr
GC §34090
Equipment checks Not in
Incident Database
CITY OF NEWPORT BEACH, CA. 02003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-82

Ver. 16.0
RECORDS RETENTION SCHEDULE: HARBOR
Page HBR-1
Office of
Classification
Records Description
Retention 1 Disposition
Comments 1 Reference
Record
OR
— J- -
-
File Number
Image: Destroy
Active Inactive
Total
Media
1=Import Paper after
(OFR)
(Off-site,
(in office) OD or Mfr}
Retention
Vital?
Options
M=Mfr Imaged &
S=Scan QC'd?
Warnin s? if the record is not listed here, refer to the Retention for City-1/vide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed bv file folder.

I
HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend _normal retention periods erptention resumes after settlement .

HARBOR
Administrative Citations relating to
Harbor
Harbor Operations ' Harbor Gale Resolution +
Resolution +
Statute limitations is up to two
Depart.

HBR-002
Entorcenient Cana f Harbor 5 years
5 years
Ppr
o See Crime Reports;
years; Also
iWarniniqs, Citations and Violations
GC §34090, PC §802
_
[Balboa Yacht Basin Slip and Garage
Harbor
Leases (includes Insurance
Termination
P
Mag, Mfr,
Yes: After
511
Department Preference; GC
Depart.

Certificates) Certificates) - Records held by Basin
OD, Ppr
OC & O❑
§34090
Marine
2 years
Harbor 2 Boat Auction Records (DMV Forms,
HBR 017 years
Mag, Mfr,I
Yes: After
SII
j
GC §34090
Depart.
etc.)
OD Ppr

QC & OD
Department preference; 2 CFR
Harbor
Grants to Vessel Turn -In (Photos, End of Grant
End of Grant
200.334; 4 CFR 91.105(h),
Depart.

HBR-Q18
BID, Proof of Payment Invoice Period 5 years
Period + 5
Mag, Ppr
92,505, 570.490, & 570.502(a), 29
years
CFR 97,42. OMB Circular A-110 &
A-133; GC §34090: GC §8546.7
Harbor
Depart.

HBR-019
Harbor Databases (Mooring
Management, Reservations, Indefinite
Mag, Ppr
Department preference (data is
inter -related); GC §34090
Indefinite
Incidents)
End of Term
Harbor Live -Aboard Permits / Vessel End of Term
HBR-003
Mag, Ppr
GG §34090
Depart.

Inspections + 2 years
+ 2 ears
Indefinite
Harbor HBR-015 Marina Park Slip Agreements - Indefinite Mag, Mir,
SlI Yes: After
Department preference (data is
Depart.

Records held by Marina Park I
OD, Ppr
QC & OD]inter-related):

GC §34090
Harbor
HBR 016
Marine Activities Permits (MAPS) Expiration +
Ma P r
9 p
Department preference; GC
Expiration +
Depart.
(Charter Boats and rentals) 2 years
2 ears
,
§34090
-
End of
End of
- -
Department Preference; Covers
Harbor
HBR-004
Mooring Records (Rentals), includes
Tenancy + 5
Tenancy + 5
yes: During Mag, Mfr,
Yes: After
S/I
auditing periods and statute of
Depart,
insurance certificates
Tenancy OD, Ppr

OC & OD
limitations; GC §34090.7, CCP
years
years
§337 et seq.

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3-83

Ver.41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES PageHR-1 Office of (Classification
Records Description
Retention I Disposition
Comments I Reference
Record OR
File Number
Image: Destroy
Active
Inactive
Total
Media
Paper
I=Import
(OFR)
(in office)
(Off -site,
Retention
Vital?
Options
after
M=Mfr
OD Mfr)
imaged 8�
S=Scan
Warnings! If the record is not fisted here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS., Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

HUMAN

RESOURCES
1095-C, 1094-C (Employer-
Department Preference; IRS: 4
Human HR-049
Provided Health Insurance Offer
Completion
10 years
Completion
Mag, Ppr
years after tax is due or paid; 26
Resources
and Coverage & Transmittal
+ 10 years
CFR 31.6001-1(e)(2); GC §34090
Form)
Human
Benefits Agreements with
--
Department preference; GC
Completion
ResourceHR-050
s
Brokers that negotiate fringe
Completion
10 years
+ 10 years
Mag, Ppr
§34090; CCP §337
benefits on the City's behalf
Superseded
Benefits Plan Documents for
Human Superseded
HR-051 dental, vision, EAP, disability,
Mag, Ppr
Department preference; GC
Resources
etc.
+ 2 years
+ 2 years
§34090
Human HR-043
Civil Service Board Agenda
P
P
Mag, Ppr
Department Preference, GC
Resources
Packets
§34090
Separation +
Human Civil Service Hearings (including
HR-003 Separation 30 years
Mag, Ppr
IDepartment Preference: GC
Resources
audio recordings)
30 ears
§34090
Human
Civil Service Rules and
Superseded
Yes: Until
Copies;
HR-004
Resources
Administrative Services
P
P
Mag, Ppr
Superseded
GC §34090.7
Regulations
I
-
-
-Community Emergency
Response Team (CERT) —
Human
HR 044
Registration Documentation
Separation +
Separation +
MaP
g, pr
Department Preference; GC
Resources
(Applications for Disaster
2 years
2 years
1§§34090, 12946, 12960
Service Workers, authorizations,
LiveScan record, etc.)
Human HR-061
COVID-19 Notifications to
3 years
Mag, Ppr
4 LC §6409.6(k), GC §34090
3 years
Resources
Employees
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022

Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-2 Office of
Classification;
Records Description
Retention I Disposition
Comments 1 Reference
Record
OR
File Number
Image:

Destroy
Active
Inactive
Total
Media 1=Import
Paper
(OFR)
(in office)
(Off -site,
Retention
Vital?
Options M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Department preference (meets
Human
HR-007
Deferred Compensation
2 Years
3 years
5 years
Mag, Mfr, j S / I
Yes: After auditing standards); Published
Resources
Statements (All reports)
OD, Ppr
1 year articles for bank statements show
_
4 -7 years; GC §34090
Department of Fair Employment
t of FaFEH
All State and Federal laws require
Human
8 Housing or Eploy
Final
Final
retention until final disposition of
Resources
HR-008
Claims / Harassment Claims that
Disposition +
Disposition +
Mag, Ppr
formal complaint; State requires 2
are resolved administratively
5 years
5 years
years after action is taken; GC
§§12946, 12960, 34090
When
When
Reports are cumulative, therefore
Superseded
Superseded
older Pull Notices are transitory or
Human
HR-009
DMV Pull Notices
or
or
Mag, Ppr
source records not retained in the
Resources
Upon
Upon
ordinary course of business, CHP
Separation
Separation
audits every 2 years; GC §34090
D.O.T. Requires 5 years for
positive tests, refusals, annual
summaries, etc, 1 year for
negative tests; EEOC / FLSA /
ADEA (Age) requires 3 years
Human
HR-010
Drug and Alcohol Testing 1
2 years
2 years
Ppr
physical examinations; State Law
Resources
D.O.T files: Negative Results
requires 2 years;29 CFR
1627.3(b)(1)(v), GC §§12946,
12960, 34090; 49 CFR 655.71 et
seq.; 49 CFR 382.401 et seq. 49
CFR 653.71
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Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of .Classification
Record OR
Records Description
Retention 1 Disposition
Comments I Reference
File Number
Image: Destroy
(OFR)
Inactive
Active
(Off -site,
Total Media
Vital?
Paper
1=Import
after
(in office)
OD or Mfr)
Retention Options
M=Mfr
I Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is com leted, and im Iy a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 'D.O.T. Requires 5 years for
positive tests, 1 year for negative
tests; EEOC I FLSA I ADEA (Age)
Human
Drug and Alcohol Testing I
requires 3 years physical
Resources HR-011
D.O.T files: Positive Results
5 years
5 years
Ppr
examinations; State Law requires
2 years; 29 CFR 1627.3(b)(1)(v),
GC §§12946, 12960, 34090; 49
CFR 655.71 et seq.; 49 CFR
382.401 et seq. 49 CFR 653.71
Human EEO-4 Reports and records
29 CFR 1602.30; 29 CFR
Resources HR-012
required to generate EE04
3 years
3 years
Mag, Ppr
1602.31, 29 CFR 1602.32; GC
report-- -
_.-
_
.§34090
City's Preference; Lead
Department is OFR for grievances
resolved in their department; All
Final
Final
State and Federal laws require
Human HR-014
Employee Grievances when not
Disposition +,
Disposition +
Yes: Before Mag, Ppr,
retention until final disposition of
Resources
resolved by the department)
5 years
5 years
Disposition
formal complaint; State requires 2
years after action is taken; 29 CFR
1602.31 8 1627.3(b)(ii); GC
§§12946, 12960, 12960, 34090;
29 USC 1113, LC 1174
�Department Preference; EEOC I
FLSA / ADEA (Age) requires 1-3
Human
Minimum 5
Minimum 5
years; State Law requires 2 - 3
Resources HR-041
Employee Investigations
years after
years after
Mag, Ppr
years; 29 CFR 1602 et seq &
Termination
Termination
1627.3(a)(5) and (6), 8 CCR
§11040.7( c), GC §§12946, 12960,
34090
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Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR4 Office of !Classification:

Records Description
Retention l Disposition
Comments 1 Reference
Record OR
File Number
Image: Destroy
Active Inactive
Total Media
1=Import Paper
(OFR)
(in office) (Off -site,
Retention Vital? Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi afions suspend normal retention periods retention resumes after settlement).

Human
Department Preference; GC
HR-052
Resources
Employee Policy Manual
P
P
Mag, Ppr
-
§34090_
Department Preference; EEOC /
FLSA / ADEA (Age) requires 1-3
years; State Law requires 2 - 3
Human
HR-013
Equal Employment Opportunity
3 years
3 years
Mag, Ppr
years; 29 CFR 1602 et seq &
Resources
Data (from applicants)
1627.3(a)(5) and (6), 8 CCR
§11040.7( c), GC §§12946, 12960,
34090
Required 1 year from termination
or 3 years from hiring, whichever
is later; EEOC / FLSA I ADEA
Human
Termination
Termination
Yes: After
(Age) requires 3 years for "any
HR-015
Resources
1-9's
+ 3 years
+ 3 years
Mag, Ppr
S / I 1 year
other forms of employment
inquiry"; State Law requires 2 -3
years; 8 CFR 274a.2; 29 CFR
1627.3(b)(1); GC §§12946, 12960,
34090
Human
HR-053
Injury and Illness Prevention
Superseded
Mag, Ppr
Department preference; GC
Superseded
Resources
Plan
+ 2 years
+ 2 ears
§34090
P
Human Insurance Policies (general
HR-054 P
Mag, Mfr,
Yes: After
S / I
! Department preference; GC
Resources
liability)
OD, Ppr

QC & OD
§34090
Department Preference; Bureau of
Human
2 years After,
2 years After
Yes: Before
National Affairs recommends 2
for
HR-016
Resources
Job Specifications
Superseded
Superseded
Superseded Mag, Ppr
years all supplementary
!
Personnel records; LC 1197.5; GC
§34090
CITY OF NEWPORT BEACH, CA 02003-06 Giadwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-87

Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-5 Office of iClassification Records Description Retention 1 Disposition Comments / Reference' ___Record 0 1 _
File Number Image: Destroy
te siInactive Paper
(OFR) Active (Off-, Total Media 1=Import after
OD (Off -site,
(in office) Retention Vital? Options M=Mfr Imaged &
or Mfr) S=Scan
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.a. last document + 2 vears), since destruction is normally performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations sus end normal retention periods retention resumes after settlement .

Human LiveScan Fingerprint Clearance Department Preference to protect Resources HR-017 Log 50 years 50 years Mag, Ppr City in the event of past employee misconduct; GC § 34090 et seq.

Memorandas of Understanding Copies -
City Clerk HR-019 (See City Clerk Classification CC- When No 005) Longer
Required
Negotiations: Employee
Human 1 Superseded
HR-020 Associations (notes, drafts,
Resources + 20 years
proposals, tentative agreements)
Human HR-021 OSHA Inspections & Citations, 7 years
Resources Log 200 and Log 300
Personnel Files - Benefit File (all
Human
HR-022 employees and all benefits
Separation +
Resources
records including Deferred
6 years
Compensation)
Human
Personnel Files - Benefit File
Date of
Resources
HR-023
(Retirees I Spouse)
Death + 2
years
Copies -
When No Yes: Until Mag, Mfr, S/I
Longer Superseded OD, Ppr
Required
Superseded Mag, Mfr,', S/I
+ 20 years OD, Ppr
7 ears Mag, Mfr, i S/I
y OD, Ppr
eparation +
Yes: Until Mag, Mfr, S
6-years
Separation OD, Ppr
Date of
i
Yes: Yes: Until Mag, Mfr,
Death
S
Separation OD, Ppr
ears
CITY OF NEWPORT BEACH, CA ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 No
Copies maintained for staff
iconvenience; GC §34090.7
For use in interpreting intent of
MOU provisions; EEOC I FLSA
Yes: After
requires 3 years for MOUs; State
1 year
requires 2 years; statewide
guidelines propose permanent; 29
CFR 516.5, GC §§12946, 12960,
34090
Calif. Labor Division is required to
keep their records 7 years; OSHA
Yes: After
requires 5 years; State law

QC & OD
'requires 2 years; 8 CCR
§3203(b)(1), 29 CFR 1904.33,
OMB 1220-0029, 8 CCR
14300.33; GC §34090; LC §6429c
Yes: After
Department preference; GC
1 year
§§12946, 12960, 34090
Yes: After
Department preference; GC
1 year
1§§12946, 12960, 34090
Revision Adopted: 3/16/2022
3-88

Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-6 Office of (Classification
Records Description
Retention l Disposition
Comments l Reference
Record OR
File Number
Image:

Destroy
Active
Inactive
Total
Media I=Import
Paper
(OFR)
(in office)
(Off -site,
Retention
Vital? Options M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Whichever is
Whichever is
Longer: 28
Longer:

Files maintained separately;
years, or
Separation
Claims can be made for 30 years
Termination
r
30 years, or
'for toxic substance exposure; 8
Human HR-024
Personnel Files -Medical File
Separation +
, of Benefits +
Termination
Yes: Until Mag, Mfr, S
Yes: When ,CCR §3204(d)(1) et seq., 8 CCR
Resources
(all employees)
2 years
5 years, or
of Benefits +
Separation OD, Ppr
Inactive '5144, 8 CCR 15400.2, 29 CFR
Death of
5 years, or
1910.1020(d)(1)(i), GC §§12946,
Employee +
Death of
12960, 34090
5 years
Employee +
5 years
Department Preference, statute of
limitations for retirement benefits
Personnel Files -Regular,
is 6 years from last action;
Active, Permanent, Non-
EEOC/FLSA/ADEA (Age) requires
Human
Regular, Temporary and Part -
Separation +
Separation +
Yes: Until i Mag, Mfr,
Yes: After 3 years for promotion, demotion,
Resources HR-025
time Employees
6 years
6 years
Separation OD, Ppr S
Separation transfer, selection, or discharge;
State Law requires 2 -3 years; 29
Includes Backgrounds, Fingerprints,
CFR 1602.14; 1602.31 &
Severance Agreements, if applicable
1627.3(b)(ii), GC §§12946, 12960,
60201: 29 USC 1113
When No
When o
Human
Program Evaluations
Longer
Longer
Department preference; GC
HR-026
Resources
(participant's feedback for
Required -
Required -
Mag, Ppr
§34090
classes, etc.)
Minimum 3
Minimum 3
years
ears
10 years
Human HR-055 Public Self Insurer's Annual 10 years
Mag, Ppr
Department preference; GC
Resources
Report
§34090
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Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-7 Office of
Record
Classification Records Description
OR
Retention 1 Disposition
Comments I Reference
_
File Number
Image: Destroy
Active Inactive
Total Media
1=Import Paper
(OFR)
(in office) (Off -site,
Retention Vital? Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Department preference; Per
Human
NeoGov Policy; 29 CFR
Resources
HR-060 Recruitment Database (NeoGov)
5 years
5 years
Mag, Ppr
1627.3(b)(1), 29 CFR 1602.14 et
seq.2 CCR 11013(c); GC
§§12946, 12960, 34090
'Recruitment File -
Advertisements, Backgrounds
State Law requires 4 years; 29
Human
HR-027 (Unsuccessful); Fingerprints,
4 years
4 years
Mag, Ppr
CFR 1627.3(b)(i)„ 29 CFR
Resources
Flyers, Brochures, Applications
1602.14 et seq., GC §§12946,
(unsuccessful), Tests, Letters, 212960,
34090
Scantrons, Questions
Human
HR-042 Scholarship Program
5 years
5 years
Mag, Ppr.

Meets Auditing Standards; GC
Resources
§34090
Department preference; PERS
I
requires 5 years for Compensation
Earnable (usually compensation is
Studies / Classification !
When No
When No
adopted via Resolution of the City
Human
Compensation & Salary Studies /
Longer
Longer
Council); Bureau of National
Resources
HR-005 Reorganization Studies (for
Required -
Required -
Mag, Ppr
Affairs recommends 2 years for all
employee classifications and
Minimum 3
Minimum 3
supplementary Personnel records;
department structures)
years
years
Wage rate tables are 1 or 2 years;
State requires 2 years; 29 CFR
1516.6(2), 29 CFR 1602.14, 2 C C R
270.5; GC §§12946. 12960, 34090
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Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-8 Office of
Classification
Records Description
Retention 1 Disposition
Comments !Reference
Record
OR
File Number
Destroy
Inactive
Image:

Paper
(OFR)
Active
(Off -site,
Total
Media 1=Import
Vital?
after
(in office)
OD or Mfr)
Retention
Options M=Mfr
Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ZeaLsj, since destruction is normally performed by file folder.

HOLDS: Litigation, claims complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement )+ I
I
1AII State and Federal laws require
Final
Final
retention until final disposition of
Human
Resources
HR 057
: Unemployment Claims 1 EDD
Claims
Disposition +
Disposition +
Mag, Ppr
formal complaint; State requires 2
2 years
2 years
years after action is taken; GC
§§12946, 12960, 34090
2 years
Human HR-031 Verifications of Employment, 2 years
Ppr
GC §34090
Resources
Child Support
Claims can be made for 30 years
1 Whichever is
Whichever is
Longer:
for toxic substance exposure;
Claims for five
Longer: 25
are required years
Separation +
after the end of compensation, or
years,
Termination
30 years, or
injury, whichever is longer; the
Human
HR-030
Workers Compensation Claims
p
Separation +
of Benefits +
Termination
Mag, Mir,
$
Yes: After Workers Compensation Appeals
Resources
5 years
5 years,
of Benefits +
OD, Ppr
QC & OD Board may destroy their records
5 years, or
)after 5 years', 8 CCR 5144, 8 CCR
Death f
Employeea +
Death of
§3204(d)(1) et seq., 8 CCR 10102,
5 years
Employee +
I10755, 10758, 15400.2; 29 CFR
5 years
J1910,9020(d); GC §§12946,
12960 34090

RISK MANAGEMENT
Accident 1 Incident 1 Injury
Human
Reports: EMPLOYEES WITH
Department Preference; Claims
Resources
HR-032
possible Exposure to Toxic
Mag. Mfr.
can be made for 30 years for toxic
Yes: When
1 Risk
Materials (HazMat Responses,
2 years
28 years
30 years
S
OD, Ppr
substance exposure; 8 CCR
Inactive
Manage.

Clean up Responses to spills,
§3204{d)(1) et seq., GC §§12946,
etc.)
12960, 34090
Human Accident I Incident 1 Injury
_
Resources
Reports: EMPLOYEES
Statute of limitations for person
Risk
HR-033
WITHOUT possible Exposure to
2 years
2 years
Mag, Ppr'
injury is 2 years; CCP §335.1, GC
Manage.
!Toxic Materials
�
§34090
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Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-9 Office of
Classification
Records Description
Retention l Disposition
Comments l Reference
Record
OR
File Number
Image: Destroy
Active Inactive
Total Media
1=Import Paper
(OFR)
(in office) (Off -site,
Retention Vital? Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS. Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 'Recommended by State Fire
Human
Marshall; Statute of Limitations for
Resources
Accident I Incident / Injury
Health Providers is 3 years;
! Risk
HR-034 Reports: PUBLIC ADULTS
3 years
3 years
Mag, Ppr
Juveniles are required until patient
Manage.
(medical and non -medical.)
becomes 18 years old; statewide
guidelines propose 3 years; CCP
§340.5, GC §34090
Recommended by State Fire
Human
Age 18 or
Age 18 or
-Marshall; Statute of Limitations for
Accident I Incident / Injury
:Health Providers is 3 years;
Resources
HR-035 Reports: PUBLIC JUVENILES
3 years,
3 years,
Mag, Ppr i
Juveniles are required until patient
! Risk
(medical and non -medical.)
whichever is
whichever is
becomes 18 years old; statewide
Manage.
longer
longer
guidelines propose 3 years; CCP
§340.5, GC §34090
Department Preference; Claim
Human
must be filed within 1 year, lawsuit
Resources
Accident 1 Incident Reports: no
HR-036
2 years
2 years
Mag, Mfr,
Yes: When within 2 years; Statute of
S
/ Risk
j injuries (City Vehicles)
OD, Ppr
Inactive Limitations for contracts is 4 years;
Manage.
;CCP §§ 337 et seq.; GC §§ 911.2,
946, 34090, 34090.E
CITY OF NEWPORT BEACH, CA 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-92

Ver. 41.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-10 Office of
Classification, Records Description
Retention l Disposition
Comments l Reference
Record
OR
File Number
I
Image:Paper
Destroy
Active
Inactive
Total
Media
I=Import
(OFR)
(in office)
(Off -site,
Retention
Vital?
Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged 8
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/or investi ations sus end normal retention periods retention resumes after settlement .

If litigation is filed, the City
Attorney is OFR; Claim must be
,filed within 1 year, lawsuit within 2
Human
'years; complaints against peace
Resources
Claims (General Liability Claim
HR-037
Settlement
5 years
Settle + 5
Yes: Until
Mag, Mfr,
S
Yes: After officers within 5 years; Statute of
/ Risk
Forms) - Adults
years
Settlement
OD, Ppr
QC & OD Limitations for contracts is 4 years;
Manage.
wrongful death for construction is
completion + 5 years; CCP §§ 337
et seq.; GC §§ 911.2,-34090,
34090.6; PC §832.5(b)
Age of
Human Age of
If litigation is filed, the City
Resources
Claims (General Liability Claim
Majority
Majority
Yes: Until
Mag, Mfr,
Yes: After Attorney is OFR; Juveniles may
/ Risk
HR-038 Forms) - Juveniles
(minimum
5 years
(minimum
Settlement
OD, Ppr
S
QC & OD have additional legal recourses;
Manage.

Settlement)
Settle + 5
CCP §§ 337 et seq.; GC §§ 911.2,
years)
944&� 34090, 34090.6; PC §832.5
Human
Resources
Disability Claims / STD & LTD
Separation +
Separation +
Yes: Until
Mag, Mfr,
Department preference to be
Yes: After
/ Risk
HR-039 (no toxic substance exposures)
2 years
28 Years
30 years
Final
OD, Ppr
S
QC & OD consistent with Medical Files; CCP
Manage.

I
Disposition
§§ 337 et seq.; GC §34090
Human
1 Resources
Excess Liability Coverage
I Mag, Mfr,
Yes: After Department preference; GC
/ Risk
HR-058
(policies or documents)
P
P
OD, Ppr
S
QC & OD §34090
Manage.
-
-
Human
Resources
HR-059 Safety Inspection Logs
Superseded
3 years
Superseded
Mag, Ppr
Department preference; GC
;§34090
Manage.

Ver. 15.2 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of
Classification Records Description
Retention I Disposition
Comments I Reference
Record
OR I
File Number
Image:
bestroy
Active
Inactive
Total
Media i=import
Paper
(OFR)
(in office)
(Off -site,
Retention Vital?
Options M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s! If the record is not listed here, refer to the Retention for Cit -Kride Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

INFORMATION TECHNOLOGY
Used for Disaster Recovery
Information
Backups - DAILY - Network, All
When
When
I
Purposes Only; Considered a copy
Tech.

IT-001 Files on Shared Drives,
Superseded
Superseded
Yes
Mag.
and can be destroyed when no
Applications (Enterprise -wide)
longer required; GC §34090 et
seq.

Used for Disaster Recovery
Purposes Only; Store off -site in
Backups -WEEKLY Disaster
When No
When Na
commercial storage for disaster
I
Information
IT-002 Recovery Copy - Network, All
Longer
Longer
Yes
Mag.
recovery; Considered a copy and
Tech.

Files on Shared Drives,
Required
Required
can be destroyed when no longer
Applications (Enterprise -wide)
required; retention based on
administrative value; GC §34090
et seq.

Used for Disaster Recovery
,Purposes Only; Store off -site in
Backups - MONTHLY - Network,
When No
When No
commercial storage for disaster
Information
IT-004 All Files on Shared Drives,
Longer
Langer
Yes
Mag.
recovery; Considered a copy and
Tech.

Applications (Enterprise -wide)
Required
Required
can be destroyed when no longer
required; retention based on
administrative value; GC §34090
et seq.

Department Preference (most are
Information
preliminary drafts not retained in
Tech.

IT-008 E-mail Archival
2 years
2 years
Yes
Mag.
the ordinary course of business -
see City-wide schedule); GC
§34090 et seq.

CITY OF NEWPORT BEACH, CA. C�2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-94

Ver. 15.2 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-2 Office of Classification Records Description
Record_ OR _
Retention I Disposition
Comments 1 Reference
File Number
Image: Destroy
Active Inactive
Total Media
I=Import Paper
(OFR)
(in office) (Off -site,
Retention Vital? Options
M=Mfr after
OD or Mfr)
Imaged &
S=Scan
Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Police Department Preference
Information IT-005 Internet Tracking Database
1 year
1 year
Yes Mag.
(transitory records not retained in
Tech.
the ordinary course of business);
GC §34090 et seq.

Provide
Provide
Existing
Existing
Lead GIS database - Historical Output
Output to
Output to
Historical records are maintained
Depart. IT-006 (Zoning Map, Council Districts,
Lead
Lead
Yes Mag.
by the Lead Department; GC
etc.)
Department
Department
§34090 et seq.

Prior to
Prior to
Change !
Chancle
When
Information IT-007 GIS database When
Yes Mag.

Department Preference (transitory
Tech.

Superseded
Superseded
records); GC §34090 et seq.

CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-95

Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-1 Office of
Classification Records Description
Retention 1 Disposition
Comments I Reference
Record
OR
File Number
—�
—
Destroy
Inactive
Image:

Paper
(OFR)
Active
(Off -site,
Total
Vital?
Media 1=Import
after
(in office)
OD or Mfr)
Retention
Options M=Mfr
Imaged &
S=Scan
Cad?
Warnings! !f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend nonnal retention periods retention resumes after settlement).

ARTS & CULTURAL SERVICES
Library
Services I
Historic Speeches, Historic
Completion +
Mag, Mfr,
Department Preference; GC
Arts &
LS-001 Special Events and Historic
P
P
Cultural
Recordings
4 years
OD, Ppr
§34090
Services
Library
Services I
Art Exhibits and Collections -
Mag, Mfr,
Arts &
LS-002
2 years
2 years
GC §34090
Cultural
Community/ External Art
OD Ppr
Services
Library
Statute of Limitations for
Services I
Art Exhibits and Collections -
Completion +
Mag, Mfr,
contracts is 4 years, personal
Arts &
LS-003 Professional
'(Administration,
4 years
+ 4 ye
+ 4 years
years
OD, Ppr
property 3 years; meets auditing
Cultural
etc.)
requirements; CCP §§337, 338:

Services
GC §34090
Rights of authors extend for the
Library
life of the author's); State law
Services 1
Art in Public Places (Art
Life of the
Life of the
Mag, Mfr,
allows a written contract to extend
Arts &
LS-005
Education, murals, etc.)
Completion
Author + 20
Author + 20
OD, Ppr
rights for an additional 20 years:

Cultural
years
years
4 years to meet auditing
Services
standards: 17 USC 106A(d), GC
j§15813.5;
GC §34090
CITY OF NEWPORT BEACH, CA, =03 Gladwell Governmental Services, Inc, - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-96

Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-2 Office of i Classification 1Records Description
Retention 1 Disposition
Comments I Reference
Record OR
File Number !
Image:Paper
Destroy
Active
Inactive
Total Media
1=Import
(OFR) (in office)
(Off -site,
Retention Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &C'd?
Warnings! if the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi tions suspend normal retention periods retention resumes after settlement).

Rights of authors extend for the
Library
'life of the author's); State law
Services !
'Donations of Visual Art Work
Life of the
Life of the
Mag, Mfr,
allows a written contract to extend
Arts & LS-009 Completion
or Product (received)
Author + 20
Author + 20
OD, Ppr
rights for an additional 20 years:

Cultural
years
years
4 years to meet auditing
Services
standards; 17 USC 106A(d); GC
§15813.5; GC §34090
Meets auditing standards; Grants
covered by a Consolidated Action
Plan are required for 5 years;
Uniform Admin. Requirements for
Library
Grants to Local Governments is 3
Services !
Grant Program (Grants to
Mag, Mfr,
Yes:
years from expenditure report or
Arts & LS-012 5 years
Others)
5 years
OD, Ppr
S ! I
When
final payment of grantee or
Cultural
Inactive
subgrantee; HUD requires 3
Services
years; statewide guidelines
propose 4 years; 2 CFR 200.334;
24 CFR 91.105(h), & 570.502(a),
29 CFR 97.42; OMB CircularA-
110 & A-133; GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-97

Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-3 Office of
Classification Records Description
Retention 1 Disposition
Comments 1 Reference
Record
OR
File Number
Image:

Destroy
Active
Inactive
Total
Media
I=Import
Paper
(OFR)
(in office)
(Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr}
S=Scan
Imaged &
C'd7
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

LIBRARY SERVICES
Library
Facility Use Applications
LS-019
4 years
4 years
Yes:

Before Mag, Ppr
Department preference; GC
Services
(Room Reservations, etc.)
§34090
Event
Library
Mag, Mfr,
Yes:

Thank -you and
Services
LS-020 Gifts & Donations (Private)
2 years
2 years
OD, Ppr
S
When
acknowledgements; GC §34090
Inactive
_ LSCA (Library
Grants
Services and Construction),
LSTA (Library Services and
Technology), SLRC (State
Literacy Resource Centers),
CLLS (California Library
Literacy Services); CLSA
Library
(California Library Services
Final
Final
Mag, Mfr,
Yes:

Per California State Library
Records Management Program
Services
LS-021 Act) and PLF (Public Library
2 years
Expenditure
Expenditure
OD Ppr
S I i
When
Requirements (April 27, 1998);
Foundation) ONLY. For all
+ 5 years
+ 5 years
Inactive
GC §34090
others, follow City-wide
Schedule. (SUCCESSFUL
Reports, and Financial
Information) Send copy of
application and award to
Administrative Services 1
(Finance
Upon
Upon
Library
Library Management Database
LS-023
Withdrawal
Withdrawal
Yes Mag
'Department
preference; GC
Services
I Collection Inventory
from
from
§34090
Collection
Collection
CITY OF NEWPORT BEACH, CA. @2003 Gladwel[ Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3616 Revision Adopted: 311 G12022

Ver. 13.0 RECORDS RETENTION SCHEDULE: LIBRARY SERVICES LS-4 Office of
!Classification
Records Description
Retention I Disposition
Comments 1 Reference
Record
OR
File Number
Destroy
Inactive
Image:

Paper
(OFR)
Active
ite
(Off -site,
teMfi
Total
Vital? Media
I=Import after
(in office) OD or
Retention
Options
M=Mfr ;Imaged &
S=Scan C,d?
Warnings! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi tions suspend normal retention periods retention resumes after settlement).

Library
LS-024
Library Management Database
Indefinite
Indefinite
Yes Mag
Department preference (records
Services
/ Other than Listed
are inter -related); GC §34090
Library Management Database
Department preference; Must re -
Library
LS-025
!Outstanding Debt !Fines and
Inactive + 3
Inactive + 3
Yes Mag
register every 3 years;
Services
Fees Less Than $20
years
years
Delinquencies remain on credit
reports for 7 years; GC §34090
Inactive + 7
Library Management Database
Library Inactive + 7
Department preference,
Services
LS-026
i Outstanding Debt ! Fines and
Yes Mag 1
Delinquencies remain on credit
Fees More Than $20
years
years
reports for 7 years; GC §34090
Library
Library Management Database
Inactive + 3
Department preference, Must re -
Inactive + 3
Services
LS-027
i Patrons with no outstanding
Yes Mag
register every 3 years, GC
debts
years
years
_
_
§34090
When No
Longer
When No
Library LS-028 Library Management Database Longer
f
Yes j Mag
Retain as long as required to
Services
/ Software upgrades
Required
Required
read data; GC §34090
Library
LS-029
Library Registration Application
2 years
i Mag, Ppr
GC §34090 et seq.
2 years
Services
Forms (Patrons)
}
Library
LS-030
Programs (e.g. Summer
2 years
r 2 years
Mag, Ppr
1GC §34090
Services
Reading)
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-99

Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING
Page PL-1
Office of
Classification
Record
OR
Records Description
Retention 1 Disposition
Comments ! Reference
File Number
image:

Destroy I.

Active Inactive t
Total
Media I=Import
Paper
(OFR)
(in office) CD or Mfr
Retention Vital?
Options M=Mfr
after
S=Scan
Imaged &
Warnings' If the record is not listed here. refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years). since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests. and/or investi alions sirs end normal retention penods retention resumes after settlement).

PLANNING
If part of a Consolidated Plan,
records are required for 5 years;
Uniform Admin. Requirements for
Grants to Local Governments is 3
Until Funds are
Until Funds
years from periodic expenditure
Planning
PL-001
Affordable Housing In -Lieu Funds
Allocated
are Allocated
Mag'
Mfr, OD. S 1 E
Yes: report; CDBG is Annual
(minimum 5
(minimum 5
Ppr
p
After QC Performance Report + 4 years;
years)
years)
statewide guidelines propose 4
years; 2 CFR 200.334; 24 CFR

91.105(h), & 570.502(a), 29 CFR

97.42. OMB C�rcular A-110 & A-
133; GC §34090
Meets CDBG requirements;
CDBG Applications Denied t Not
Records are maintained by CDBG
Planning
PL-003
Funded (Subrecipient Grants,
5 years
5 years
Mag,
Vendor as Active for 3 Years, and
Loans)
Ppr
Ithen sent to CDD for 2 year
Inactive retention; 24 CFR 85.42
-
& 91 A 05(h); GC §34090
2 years
Planning PL-011 Banner Permits (Temporary - 2 years
Yes: Before
Mag,
GC §34090
good for 90 days)
Event
Ppr
{2
P48A1qiP@ RL-0 3 49R5 2- Q
Yes-(*
I I S
Yes- Depa Fnent-P•
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do rnt duplicate or distribute without prior written permission from GG5 (909) 337-3516 Revision Adopted; 3/16/2022 3-100

Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING
Page PL-2
Office of Classification Records Description
Record OR
Retention I Disposition
Comments I Reference
_
File Number
Image.

Destroy
Active Inactive 1
Total
Media
I=Import
Paper
(OFR)
(In office) CD or Mfr
Vital?
Retention
Options
M=Mfr
after
S=Scan
Imaged &
,
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by fife folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).
nvironmen aDeterminations:
final EIRs are kept pCioi .,i . ,uti•
Environmental Impact Reports
with Pt--02 'l Not all internal
(EIRs), Negative Declarations,
2 years, or
communications and notes are
etc.) 1 CEQA 1 NEPA
2 years, or
duration of
required to be saved, "E-mails
All written evidence or
duration of
administrative
that do not provide insight into the
correspondence submitted to,
CDni 1
administrative
and/or
Mag,
Yes:
project or the agency's CEQA
PL-030 or transferred from, the City and
Planning
and/or litigation
litigation
Mfr, 017.

S
After QC
compliance with respect to the
all internal agency g y
proceedings, if
proceedings,
Ppr
& OD
project —are not within the scope
communications, including
any, whichever
if any,
of section 21167.6, subdivision
staff notes and memoranda
is longer
whichever is
(e) and need not be retained.
related to a project or related to
longer
PRC 21167,6; GC §34090;
the City's compliance with
Golden Door v Sup. Ct., 53 Cal.

CEQA
_
App. 5th_733 (2020)."
When No
Environmental Determinations: When No
Nan -records; some may be
Planning PL-015 Environmental Impact Reports
Longer
Longer
Ppr
retained as matter of department
(EIRs), Negative Declarations,
Required
Required
�
preference.
etc) Outside City boundaries
Department Preference; City
Planning PL-017 General Plan Elements and
P
P
Yes (all)
Mfr, OD,
S I I
Yes:

Clerk Maintains originals of all
Amendments
Ppr
After QC
documents that were presented to
.1
Council; GC §34090
-
Modification Committee I Zoning
Planning PL-019 Administrator Approval Letters
P
P
Yes (all)
Mfr= OD,
S 1 I
Yes:

GC §34090
and Minutes (see City-wide
P p
Aft QC
schedule for all other records)
P
Planning Commission Agenda
Planning PL-020 P
I
Yes (all)
Mag'
Mfr,p D,
S
Yes:

Department Preference; GC
Packets
r,
After QC
§34090
CITY OF NEWPORT BEACH, CA, D2003-06 Giadwell Governmental Services. Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-101

Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING
Page PL-3
Office of Classification
Records Description
Retention / Disposition
Comments I Reference
Record OR
File Number
Image:
'I Destroy
Active Inactive I
Total
Media
I=Import
' Paper
(OFR) (in office) CD or Mfr
Retention Vital?
Options
M=Mfr
after
S=Scan
Imaged &
Warnin s? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Planning Commission Audio Copies -Send
Clerk PL
(Recordings
Copies - Send
Mag
GC
City 021
to City Clerk i
to City Clerk
Copies; §34090.7
Planning Commission Minutes,
Mag'
Yes:

Planning PL-022 Resolutions P
P
Yes (all)
Mfrr,,pOD,
S
After QC GC §34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-102

Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING
Page PL-4
Office of Classification Records Description Retention I Disposition Comments I Reference Record OR
File Number Image: Destroy
Active Inactive I Total Media I=Import Paper
(OFR) vital? after
(in office) CD or Mfr Retention Options M=Mfr
S=Scan Imaged &
Warnin s± If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Planning Applications (PA) ALL -
Amendments, Appeals, Approval
in Concept, Certificate of
Compliance, Coastal Residential
Development Permit, Compliance
Letters, Condominium Conversion
Permit, Creative / Comprehensive
Projects have a 2 year vesting
Sign Permit, Development
(applicant must pull permit within
Agreement, Development Plan,
2 years) —those applications in
Director /Staff Approval,
which the applicant does not
Environmental Documents,
follow through with permit may be
General Plan Amendments, In-
Mag, destroyed after the vesting period
Planning PL-023 Lieu Parking, Lot Line Adjustment, P
P
Yes Mfr, OD, S Yes! has expired. Some permits must
Lot Merger, Modification Permit,
After QC obtain Council approval, and
Ppr
Off -Site Parking Agreement,
therefore the City Clerk becomes
Planned Community Development'
office of record for material
Plan, Signs (Comprehensive,
presented to Council; Department
Heritage, etc.), Sign Exception
maintains complete files for
Permit, Site Plan Review,
administrative purposes;
Subdivisions, Telecom Permit,
GC§§34090, 34090.7
Temporary Permits, Use Permits,
Variance, Zoning Compliance
letters, etc.

Send recorded documents to the
City Clerk.

CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-103

Ver. 22.0 RECORDS RETENTION SCHEDULE - PLANNING
Page PL-5
Office of Classification, Records Description
Retention f Disposition
Comments 1 Reference
Record I OR
File Number
Image:

Destroy
Active Inactive l
(OFR)
Total
Vital?
Media
I=Import
Paper
after
(in office) CD or Mfr
Retention
Options
M=Mfr
S=Scan
Imaged &
Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Regional Organizational Studies & When No
When No
Non -records; some may be
PL-027 Programs where other Agencies Longer
Longer
Mag'
retained as matter of department
are the Lead (e.g. Rail Studies, Required
Required
Ppr
GC §34090 et seq.
etc.)
,preference;
Mag'
Department Preference; City
Zoning Maps (Historical Only -
Planning PL-028 P
P
Yes (all)
MfrP,
S
Yes:

Clerk Maintains originals of all
New records part of zoning code)
pr
After OC
documents that were presented to
Council, GC §34090.7
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-104

Ver.36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-1
Office of
Classification!
Records Description
Retention I Disposition
Comments I Reference
Record
OR I
File Number
Image: I
Destroy
Active Inactive
Total
Media I=Import
Paper
(OFR)
(in office) (Off -site,
Retention
Vital? Options M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations sus end normal retention periods retention resumes after settlement).

CHIEF OF POLICE
1 ADMINISTRATION
Police
PD-001 Inquiries
Disposition +
2 years
Disposition +
2 ears
Mag, Ppr
GC §34090 et seq.
'If a supervisor determines that
records of prior discipline should
�be retained beyond the applicable
statutory period, approval for such
retention shall be obtained through
the chain of command from the
Chief of Police; Consistent with
Administrative Investigations-
Lexipol Policy; State requires for at
Civilian and Internal WITHOUT
Final
Final
least 5 years; other State &
PD-003 Sustained Finding of
Disposition +
Disposition +
Mag Ppr
Federal laws require retention until
Misconduct as defined in PC
5 years
5 years
final disposition of formal
§832.7
complaint; State requires 2 years
after action is taken; Statute of
Limitations is 4 years after the
discovery of the offense for
misconduct in office; PC 801.5,
803(c).; EVC §1045, GC
§§12946, 12960, 34090, PC
§832.5, VC §2547
Administrative Investigations:

Civilian and Internal - Civilian
Final
PD-093 Complaints WITH Sustained
Disposition +'
LFinalPolice
Mag, PprCPC
§§832.5(b}, 832.7; GC
§§12946, 12960, 34090,
I Finding of Misconduct as
15 years
defined in PC §832.7
Palire
PO-006 Carry Concealed Weapon
5 years
5 years
MagPpr
,
Department preference; GC §
(CCW) Permits
34090 et seq.

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-2
Office of 'Classification Records Description
Record OR
Retention 1 Disposition Comments 1 Reference
i
File Number
':
l Destroy
Image: I y
(OFR) j
Inactive Paper
Active Total Media I=Import
(Off -site, Vital? I after
(in office) Retention ! Options M=Mfr
OD or Mfr) , Imaged &
S=Scan
Warnin s! If the record is not listed here refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. g. last document + 2 ears since destruction is normally performed by file folder.

HOLDS: Litigation,
claims, com faints, audits, pending records requests, and/or investigations sus end normal retention periods retention resumes after settlement).

When No
When No
Longer
Police PD-002 Chiefs Subject Files Required
Longer
Required
Mag, Ppr
Department Preference; GC
(minimum 2
(minimum 2
§34090 et seq.
years)
ears
_
Emergency / Disaster
Police PD-083 Superseded P
—
Yes: Until
Supersede,
S Yes: 1 year
Department Preference; GC
P
Mag, Mfr,
a_
Preparedness Plans
d
OD, Ppr
j
§34090 et seq.

Police PD-004 Overtime Slips (hours) 2 years
_
GC § 34090 et seq.
2 ears
1 Mag, Ppr
Department Preference; Statute of
Personnel Background Packets Inactive /
Police or
Inactive /
Limitations: Public official
PD-081 -Citizens Academy, Teen Separation +
Personnel
Separation +
Mag, Mfr,
OD, Ppr
S / I Yes: After
! 1
misconduct is discovery of offense
+ 4
Academy) 3 years
3 years
year
years; GC §§36507, 34090;
i PC §§801.5, 803(c); 29 USC
_. ---- -
--
r- -
-- - -- -i
1113; 8 CCR §11040.7(7)(C)
Department Preference; Statute of
Inactive /
Personnel Background Packets
Police or Se +
PD-011
Inactive /
Separation +
Mag, Mfr,
Yes: After
S / I
Limitations: Public official
!,misconduct is discovery of offense
Personnel - Volunteers & Interns 6 years
6 years
OD, Ppr
1 year
+ 4 years; GC §§36507, 34090;
!PC
§§801.5, 803(c); 29 USC
1113; 8 CCR §11040.7(7)(C)
Copies; Consistent with HR's
Personnel File; State & Federal
Police PD-005 Personnel Department Separation +
Separation +
Mag, Mfr,
S / I Yes: After
laws require 2 -3 years; 29 CFR
Employee File 6 years
6 years
OD, Ppr
QC
1602.31 & 1627.3(b)(ii), 8 CCR
§3204(d)(1) et seq., GC §§12946,
�
12960, 34090.7
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-106

Ver, 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-3
Office of Classification) Records Description
Retention I Disposition Comments ! Reference
Record OR
File Number
Image: Destroy
Active Inactive Total Media I=Import Paper
(OFR)
(Off -site Vital? after
(in office) , Retention Options M=Mfr
OD or Mfr} Imaged &
S=Scan
Wamin s! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi alions suspend normal retention periods retention resumes after settlement).

Police PD-069 Preliminary Claim Investigation /
2 years
2 years
Mag, Ppr
GC § 34090 et seq.

Potential Liability Claims
Programs: Citizens Academy,
Police PD-007 Teen Academy, Neighborhood
2 years
2 years
Mag, Ppr
GC § 34090 et seq.
•, Watch, etc.
—
Project Assignment Memos
Police PD-089 [(PAM)
2 years
2 years
Mag, Ppr
GC § 34090 et seq.

Racial and Identity Profiling Act
Department preference (consistent
Police PD-094 (RIPA) Annual Report
3 years
3 years
Mag, Ppr
with STOP Source data); GC
§34090
A report provided to the State
Commission on Peace Officer
Standards and Training (POST
Commission) of peace officer
Police PD-097 ;employment- compliant. finding,
2 years
2 years
Mao Ppr
UGC § 34090 et sec
disposition, or ud ment
pursuant to PC 13510.9. Does
not include the records any such
report is based on
Reports and Studies regarding
Police PD-008 Police Operations (not historical -
2 years
2 years
Mag, Ppr
GC § 34090 et seq.
manpower, etc.)
_
RSNP 1 OCRCFLTime Slips /
Department Preference (meets
_
Police PD-009
_ Billing Reports
5 years
5 years
Mag, Ppr
auditing standards); GC § 34090
Special Events (i.e., Police
�—
Police PD-088 Appreciation Breakfast, National
2 years
2 years
Mag, Ppr
GG § 34090 et seq.

Night Out, etc.)
—
3 years
i
Police PD-095 STOP Source Data, Audit Log
3 years
Mag, Ppr
11 CCR 999.228; 11 CCR
gg9.229,_GC §34090
2 ears
Police PD-070 Vehicle Pursuit Reports
2 years
Mag, Ppr
GG § 34090 et seq.

CITY OF NEWPORT BEACH, CA. Oc2003-06 Gladwell Governmental Services, Inc, -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 311 G12022 3-107

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-4
Office of '!Classification Records Description
Retention I Disposition
Comments I Reference
Record OR
File Number
F
Destroy
Active Inactive
Total Media
II mport
Paper
(OFR) (in office) (Off -site,
Retention Vital? Options
M=Mfr
after
OD or Mfr)
Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Liti ation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement .

Yes:

Police PD-010 Work Assignments (Schedules) 3 years
3 years
Current Mag, Mfr,
S f I
Yes: After Department Preference; GC §
Schedule OD, Ppr
1 year 34090
only
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-108

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-5
Office of
Classification Records Description
Retention 1 Disposition
r Comments I Reference
Record
OR
File Number
Imo Destroy
g e:

Active
Inactive
'Total
Media
Paper
I=Import
(OFR)
(in office)
(O
Retention
Vital? Options
M=Mfr after
OD oor Mf
r Mf,
r)
Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -tide Standards Retentions begin when the act is completed, and imply a full file folder e. q. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Liti afion, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

DETECTIVES
Accounting Records:

Yes: Until Mag, Mfr,
Meets auditing standards for
Yes: After Statewide
Police
PD-012 Investigative Expense Funds
2 years
3 years
5 years
municipal governments;
S I I
(Confidential)
Paid OD, Ppr
1 year guidelines propose audit + 4
years; GC §34090
]Alcohol Beverage License
'Applications (Nat related to an
When No
When No
PD-013
(Operator's Permit for a Bar,
Longer
Longer
Ppr
Non -records; GC §34090
Lounge, or Nightclub)
Required
Required
i
When No
When No
Longer
Longer
Department Preference (Federal
Police
PD-071 Asset Forfeiture Files
Required -
Required -
Mag, Ppr
DOJ requires 5 years - Equitable
Minimum 5
Minimum 5
Sharing Guide); GC §34090
years
years
When No
When No
Loner
Longer
Department Preference: Does not
Police I
PD-077 Informant Files
Requiirred -
Required -
Ppr, Mag
contain criminal intelligence
Investigat.

Minimum 2
Minimum 2
information concerning individuals,
GC §34090
ears
ears
CITY OF NEWPORT BEACH, CA. D2003-06 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/1 G12022 3-109

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-6
Office of 'Classification, Records Description
Retention 1 Disposition
Comments ! Reference
Record
OR
File Number
Image:

Destroy
Inactive
Active I
Total
Media
I=Import
Paper
(OFR)
(Off -site,
(in office)
-Mfr)
Retention
Vital?
Options
M=Mfr
after
OD
S=Scan
Imaged 8
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation,
claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement).

Files contain criminal intelligence
information concerning an
individual only if there is
reasonable suspicion that the
individual is involved in criminal
Yes: conduct or activity and the
Police /
Intelligence Files (Vice, Terrorist,
PD-014
5ears
y
5 years
Mag, Mfr,
S / I
When information is relevant to that
Investigat.
etc.)
OD, Ppr
Supersede criminal conduct or activity.
d 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
Operator Permits - Bar. Lounge,
Police
or Nightclub
PD-084 (Offers alcoholic beverages for on-
Termination
Termination
Mag, Ppr
Department preference; GC
site consumption in combination with
+ 3 years
+ 3 years
§34090
food service with late hours)
Police
PD-015 Pawn Slips
2 years
Mag, Ppr
UGC §34090
2 ears
Police
PD-016 Massage Operator Permits
Termination
Mag, Mfr,

M / S I I
Department preference to match
No
Termination
+ 3 ears
y
+ 3 ears
OD, Ppr
p
terms; GC §34090
Permits or Licenses:
_permit
Police
PD-018 Unsuccessful Applications
3 years
3 years
Mag, Ppr
'Department preference to match
(massage, etc.)
— -
permit terms; GC §34090
Yes:

Police
PD-019 Work Assignments (Schedules)
3 years
3 years
Current Mag, Mfr,
S / I
Yes: After Department Preference; GC §
Schedule OD, Ppr
1 year 34090
only
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-110

Ver.36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-7
Office of Classification
Records Description Retention I Disposition
Record OR I
Comments I Reference
File Number Destroy
i Image:

Inactive Paper
Active Total Media I=Import
(OFR) (Off -site, Vital? after
(in office) Retention Options M=Mfr
OD or Mfr) Imaged &
f S=Scan
Warnin sI If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by fife folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention patiods retention resumes after settlement).

PATROL
Yes:

Police
PD-020
Work Assignments (Schedules)
3 years
3 years
Current
Mag, Mfr,
S I I
Yes: After
Department Preference, GC §
Schedule
OD, Ppr
1 year
34090
_
2 years
only
GC 5 34090 et seq.

Police
PIS-072
Ride -A -Long Waivers
2 years
Maq, Ppr

SUPPORT

SERVICES
t PERSONNEL.

AND TRAINING
2 years, or
2 years, or
Completion
Completion
Police PD-021
Supervisor Record !Counseling
of
Performance
of
Performance
Mag, Ppr
Drafts and notes; GC § 34090 et
Jacket
Evaluation,
Evaluation,
seq.
whichever
whichever
occurs first
occurs first
Consistent with Personnel File;
Personnel Background Packets
Statute of Limitations: Public
-Peace Officers (includes
official misconduct is discovery of
Police PD-023
Polygraphs) WITHOUT
Separation +
Separation +
Mag, Mfr, S I I
Yes: After offense + 4 years; GC §§36507,
Sustained Finding of
6 years
6 years
OD, Ppr
QC 34090; 29 CFR 1627.3(b)(i), 29
Misconduct
C F R 1602.14 et seq. 2 CC
11013(c); PC §§801.5, 803(c); 29
USC 1113
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-111

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-8
Office of
Record_
Classification
Records Description
OR
Retention !Disposition
Comments !Reference
File Number
(
I
Destroy
Active Inactive
Total
Media
Ilrlmgort
p
Paper
(OFR)
(Off -site,
(in office)
Retention
Vital?
I Options
M=Mfr
after
OD or Mfr)
S=Scan
i
Imaged 8 j
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigat' ns suspend normal retention periods retention resumes after settlement).

Consistent with Personnel File;
Statute of Limitations: Public
Personnel Background Packets
official misconduct is discovery of
Police or
PD-024 - Selected Employees other
Separation +
Separation +
Mag, Mfr,
S I I
Yes: After 'offense + 4 years; GC §§36507,
Personnel
than Peace Officers
6 years
6 years
OD, Ppr
QC 134090; 29 CFR 1627.3(b)(i), 29
CFR 1602.14 et seq. 2 CCR
11013(c); PC §§801.5, 803(c); 29
LISC 1113
Background Packets
Department Preference (only 2
Police
Personnel
unsuccessful / not hired
PD-025
6 years
6 years
Ma Mfr,
S / I
Yes: After ':years is required); 29 CFR
lemployees or volunteers (not
OD, Ppr
QC 1602.14; 2 CCR 11013(c); GC
_hired)
! -
-
§§12946,12960, 34090
- - --- -
State &Federal laws require 2 -3
Personnel Department Training
File (Includes POST Data, Files
Police
and Printouts for Training
PD-026
Separation +
Separation +
Mag, Mfr,
S / I
years; 29 CFR 1602.31 &
Yes: After
1627.3(b)(ii), 8 CCR §3204(d)(1)
Courses)
4 years
4 years
OD, Ppr
QC
Does Not Include Complaints
et seq., GC §§12946, 12960,
against Peace Officers
!
34 090
Yes:

Police
PD-027 Work Assignments (Schedules)
3 years
3 years
Current Mag, Mfr,
S / I
Yes: After I Department Preference, GC §
Schedule OD, Ppr
1 year 34090
only
j
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-112

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-9
Office of
Classification
Records Description Retention I Disposition Comments I Reference Record
OR
File Number
Destroy
Image:

Inactive Paper
(OFR)
Active Total Media 1=Import
(Off -site, Vital? after
(in office) Retention Options M=Mfr
OD or Mfr) Imaged &
S=Scan
Warnin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investiclations sus end normal retention periods retention resumes after settlement).

SUPPORT SERVICES - OTHER
Police
PD-028
Alarm Permits
Auction Records
2 years
2 years
Mag, Ppr
_
GC §34090
Police
PD-029
2 years
2 ears
Mag, Ppr
GC §34090
Department Preference: Statewide
Audio Recordings - Recordings
guidelines propose 180 days
Police PD-030
of Telephone & Radio
2 years
2 years
Mag
(legally mandated for 100 days);
Communications Dispatch
p
(may be discoverable or made
Recordings
public in some circumstances),
GC §§34090, 34090.6
Store off -site in commercial
Backup Tapes - WEEKLY
storage for disaster recovery;
Disaster Recovery Copy -
:Considered a copy and can be
Police PD-032
Network, All Files on Shared
14 days
14 days
Yes Mag.
(destroyed when no longer
Drives
.required; retention based on
administrative value; recycle
_
itapes; GC §34090 et_seq.

Checking Account Records:

Meets auditing standards for
Police PD-033
DARE, Property/Evidence
2 Years
3 years
5 years
Yes: Until : Mag, Mfr,
S / I
Yes: After municipal governments; Statewide
Account, Station Fund and
paid OD, Ppr
1 year guidelines propose audit + 4
Police Explorer Account
years; GC §34090
Department Manual (Department
Minimum 2
Minimum 2
Mag, Ppr
Department Preference; GC §
Police PD-034
Policies and Procedures)
years
years
34090 et seq.

CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc, -all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-113

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-10
Office of
Record
Classification
OR
Records Description
Retention 1 Disposition
Comments 1 Reference
File Number
Destroy
Image:

Inactive
Active
Total
Media
Paper
1=Import
(OFR)
(in office) (Off -site,
Retention
Vital?
I
after
M=Mfran
i
OD or Mfr)
S=ScOptions
Imaged &
Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ions suspend normal retention periods retention resumes after settlement).

Expiration of
Expiration of
Statute of
Statute of
See appropriate Crime Report;
j Evidence: Crime Scenes
Limitations
Limitations
Mag, Mfr,
Yes: After !Statute of Limitations is 1 year for
Police
PD-035
(includes evidentiary MVS)
(minimum
(minimum
OD, P p r

S / I I
1 year property seized by officers; GC
Final
Final
§34090
Disposition
Disposition
of Case)
of Case
-False Alarms (alarm permits,
Police
PD-036
billing transactions,
2 years
2 years
Mag, Ppr
Finance invoices, when
correspondence, alarm
appropriate; GC § 34090
activations)
Life of
Fleet Maintenance - Equipment Life of
iCovers all statute of limitations;
and Vehicle Maintenance History
Equipment
Equipment
CHIP requires life of vehicle; OSHA
Police
PD-037
(includes vehicle calibration
or Vehicle +
or Vehicle +
Mag, Ppr
requires 1 year; 8 Ca. Code Reg.
records)
4 years
4 years
3203 b 1
I§ ()( ); CCP §337 et. Seq.,
- - -- - --- i--
iGC §34090
3 years
Police PD-078 Jail Video 3 years I
Mag
Department Preference; GC
- - - -- --
-
-
-- ----:§34090 et seq.

Mobile Video and/or Audio
Department Preference; Lexipol
Police
PD-022
Videos (MVS) Non -Evidentiary
2 years
2 years
Mag
Section 446.10.1 requires 1 year;
GC §34090.6(a)
100 days
Mobile Video and/or Audio
Police PD-091 100 days
Mag
Lexipol Section 446.3; GC
Videos (MVS) Test Recordings
I 34090.E a
Yes:

Police
PD-038
Officer Daily Logs
5 years
5 years
Current Mag, Ppr
Department preference; GC §
Schedule
34090
- --
-
_..._.
only
Y i
_ _
3 years
Police ! PD-079 Property Video 3 years
Mag
Department Preference; GC
- ----
§34090 et seq.

Police
PD-076
Solicitors Permits
- -
2 years
Mag, Ppr
!GC § 34090
2 ears
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-114

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-11
Office of (Classification' Records Description
Record OR p
Retention t Disposition
p
Comments !Reference
File Number
Destroy
Image:

Active Inactive
Total Media I=Import Paper
(OFR) (Off -site,
(in office)
Vital?
Retention Options
i after
M=Mfr
OD or Mfr)
Imaged &
S=Scan I
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. fast document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investi ations suspend normal retention periods retention resumes after settlement).

Police PD-080 Watch Commander Video
3 years
3 years
Mag
Department Preference; GC
-
-
§34090 et seq.
-
Yes:
i
Police PD-039 ',Work Assignments (Schedules)
3 years
3 years
Current
Mag, Mfr,
S / I Yes: After
Department Preference; GC §
Schedule
OD, Ppr
1 year
34090
only
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-115

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-12
Office of
Classification
Record
OR Records Description Retention 1 Disposition
_
File Number Destroy
Comments ! Reference
Image: it
Active Inactive Total Media I=Import Paper
(OFR)
(in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) Imaged &
S=Start
Warnin s! If the record is not listed here, refer to the Retention for Ctt -Wide Standards Retentions be in when the act is completed, and imply a full file folder (e.g. last document + 2 ears , since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

SUPPORT SERVICES I RECORDS
Department preference, Pursuant
to PC §457.1 et seq.; required to
Police
PD-044
Arson Registrations: Adults
10 years
P
P
Mag, Mfr,
S I I
Yes: After
register for life; If released from
OD, Ppr

QC & OD
CYA, records are destroyed after
age 25 or sealing pursuant to W&I
§781: GC §34090.7
Pursuant to PC §457.1 et seq.; If
Arson Registrations: Juveniles
Age 25 or
Age 25 or
Mag, Mfr,
released from CYA, records are
Yes: After
Police
PD-045
released from California Youth
Sealing Date
Sealing Date
S l I
OD, Ppr
,destroyed after age 25 or sealing

QC & OD
Authority
+ 5 years
+ 5 years
pursuant to W&I §781; GC
_
§34090.7
5 years
5 years
Mag, Ppr
Poke
PD-046
Bicycle Licenses
Department Preference; GG
§34090 et seq.

Department preference (the
Statute of Limitation for collections
Police
PD-047
Citations (ALL)
2 years
2 years
Ppr
is 5 years from the date of the last
violation); CVC 40222(b); GC
§34090, H&S §11361.5, PC §802
Fully Paid,
Fully Paid,
Department preference (the
Police 1
;Citations
- Payment Plans for
Written off,
Written off,
Statute of Limitation for collections
Records
PD-092
outstanding parking citations
or Forgiven
or Forgiven
Mag, Ppr
is 5 years from the date of the last
received by indigent persons
+ 5 years
+ 5 years
violation); CVG 40222(b); GC
§34090
PD-054
Crime Statistics /Uniform Grime
10 years
Department preference; GC
Police
10 years
Mag, Ppr
Reports - Annual Summaries
§34090
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted; 3/16/2022 3-116

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-13
Office of Classification'
Records Description
Retention t Disposition
Comments !Reference
Record OR
File Number
Image:

Destroy
Inactive
Active
Total
Media
I=Import
Paper
(OFR)
-
(Off-site,
(Offsite
(in office)
Vital?
Retention
Options
M=Mfr
after
OD Mfr
S=Scan
Imaged 8
,
Wamin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Department Preference; Provided
there are no outstanding warrants,
Incident Reports (DR#) - ALL
unrecovered weapons, criminal
deaths, they are not historically
Police PD-048 Except those other specifically
Indefinite
Indefinite
Yes: Before
Mag, Mfr,
S / I
Yes: After significant, and it is not classified
mentioned in this retention
Disposition
OD, Ppr
QC & OD under PC §800 & 290; Stat. of
,schedule (October 1, 1999 to
Limit. is 2 yrs; Destroy juvenile
Current)
!marijuana after age18: H&S
§11361.5, GC §34090, PC §802,
PC §§187, 800 et seq., 11108.2(b)
Department Preference,
Police PD-055 Drug / Narcotic Registrants
5 years
5 years
Mag, Ppr
Registration is required for 5
years; GC §34090, H&S §11590 et
seq., H_&_S §11594(a)
onviction
Conviction
Incident Reports (DR#)
or Arrest (if
Arrest (if
[or
Mag, Mfr,
(Courts and other Agencies "Shall'
Yes: AfterPolice
PD-050 Marijuana 1 Cannabis less than
No
No
OD, Ppr
S/ I
QC&ODdestroy); H&S§ 11361.5 et seq.,
GC§34090i

28.6 grams
Conviction)
onviction)
+ 2 years
2 ears
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-117

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-14 Office of (Classification;
Record _ OR
File Number
(OFR)
(Retentions begin when the act is
Police
Police
Police
Police
Records Description Retention / Disposition Comments I Reference -- - - - — Destroy
Inactive Image: � Paper �
Active (Off -site, Total Vital? Media I=Import after
(in office) OD or Mfr) Retention Options M=Mfr i Imaged & S=Scan g
to the Retention for City -Wide Standards
0 imply a full file folder (e.g. last document + 2 years), since destruction is oendina records reauests. and/or investiaations suspend normal retention Incident Reports (DR#)
Homicide, Falsification of Public
Records, Kidnapping, Unsolved
PD-049
Child or Elder Abuse, Sexual
P
Assault & Neglect, Rape, Misuse
of Public Funds, Train -wrecking,
Treason, Fatalities (Crimes
Subject to Death Penalty or
without statute of Limitations)
Incident Reports (DR#)
Misdemeanor or Infraction
Marijuana I Cannabis
Offender is
PD-073
§11357(d) - Juvenile on School
18 Years
Grounds during School Hours
Old
'(with procedure in H&S
___§11361.5)
_
(Incident Reports (DR#)
2 years or
PD-051
Missing Person Reports
Until
P
(unsolved)
Located
Incident Reports (DR#)
Date of
PD-052
Sealed Cases ("Factual
Arrest + 3
Innocence")
years
P Yes: Beforei Mag, Mfr, S /
Disposition OD, Ppr
i
i
Offender
ff18
Yes: Before' Mag, Mfr,
Yeerss
S /
Disposition OD, Ppr
Old
i
I I
Yes: Before Mag, Mfr,
S /
P
Disposition OD, Ppr
Date of
Mag, Mfr,
Arrest + 3
OD, Ppr
years
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 �d by file folder
resumes after settlement).

Department Preference; Most
have no limitations on
Yes: After,
CC & OD commencement of action; PC §§
i261, 286, 288, 288a, 288.5, 289,
;289.5, and 799
Yes: After (Courts and other Agencies "Shall"
QC & OD destroy); H&S§ 11361.5 et seq.,
11357(d)
Yes: After Dept. Preference; Also see Crime
QC & OD � Reports; GC §34090
;Individual petitions District
Attorney; PD concurs that person
its factually innocent, then seals
record; GC §34090; PC §851.8(a)
Revision Adopted: 3/16/2022
3-118

Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-15
Office of Classification
Record 1, OR
Records Description
I
Retention I Disposition Comments I Reference
File Number
_
Destroy
Inactive Image: paper
(OFR)
Active (Off -site, Total Vital? Media 1=Import after
(in office) OD or Mfr) Retention Options M=Mfr Imaged & S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litt
ation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement .

Incident Reports (DR#)
Per Court
Per Court
r�
eLIP
+r..�r, e r:+., � A
age ofm,.�,r. years; ,
-
Sealing for juveniles arid WaFdf�-
Order
Order
Mag, Mfr,
i
Yes- After
Police
PD-053
Sealed Cases (Juveniles &
(Sealing
(Sealing
OD, Ppr
S / I

QC & OD
th„�netained f�
of Tec,
CC §§340.1, GC §34090; GC
Adults)
date + 5
Date + 5
years)
years)
§68152(g)(1), VV&I-§781(d)
Incident Reports (DR#)
Age of
Age of
Mao, Mfr.

Yes After
Police
PD-063.1
Sealed Cases {childhood sexual
Ma orit + 22
Ma orit + 22
OD, Ppr
S 1 !
CCP r��340.1 GC $34090

QC & OD
asp. ult)
Years
nears
Incident Reports (DR#)
Police
PO-096
Vacatur Relief Granted by
Court Order
Court Order
Mag, Mfr,
Yes: After
Individual petitions Court ("Shall"
Court
+ 1 year
+ 1 year
OD, Ppr
S / I

QC & OD
Destroy); GC §34090; PC
-Victim of Human Trafficking
§§236.14(k); 236.15(k)
(Nonviolent Crimes) _
I
When No
hen No
Preliminary Drafts (entered into
Police
PD-056
!Field Contacts
Longer
onger
Mag, Ppr
the RMS database); GC §34090 et
Required
rRequired
MaP
Mag,
seq.

Department Preference; GC
Police
PD-060
Narcotic 1 Firearm Destruction
10 years
_
ears
y
Lists
§34090 et seq.

PD-061
Order after Hearing (restraining
While Valid
While Valid
Police
Mag
Court records - originals retained
order)
_
by the Court; GC §34090 et seq.

PD-062
Ip
S 11
Yes: After
Police
Photos: Mug Shots
P
Mag, Mfr,
Department Preference; GC
OD, Ppr
QC & OD I§34090
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Ver. 36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-16
Office of :Classification
Record OR
Records Description
Retention ! Disposition
Comments ! Reference
File Number
! Destroy
Image:

Inactive Paper
Active Total Media I=Import
(OFR )
(in office) (Off -site, Vital? Options M=Mfr after
Retention
OD or Mfr) S=Scan Imaged 8
Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi af'ons suspend normal retention periods retention resumes after settlement).

Yes after
QC'd: City
Records Destruction Lists /
City Clerk /
PD-063 Certificates of Records 10 years P
P
Mag, Mfr,
S
Clerk's
Department Preference; GC
Office is
Police
Destruction (Working Co
( 9 Copy) I
OD, Ppr
P
§34090 et. seq.

Office of
Record for
original I
lDepartment
Preference; After
Indefinite, or
Indefinite, or
I2021, Offenders can petition Court
Police PD-064 Sex Offender Registrations: 10 years Death of Death of
Mag, Mfr,
S / I
Yes: After Ifor removal 10 or 20 years after
Adults
Registrant
Registrant
OD, Ppr
QC ;offense, provided there are no
'subsequent offenses; Pursuant to
PC §290 et seq.; W&I §781;
f
After 2021, Offenders can petition
Indefinite
Indefinite
!
Court for removal 10 or 20 years
Sex Offender Registrations: or Sealing
or Sealing
Mag, Mfr,
Yes: After after offense, provided there are
Police PD-065 Juveniles released from 10 years Date + 5 California Youth Authority (or
Date + 5
OD, Ppr
S / I i
I
QC ino subsequent offenses;
years
Court Order)
years (or
Court Order)
ursuant to PC §290 et seq.; W&I
-
— -
§P
Yes:

Current
Mag, Mfr,
Yes: After Department Preference; GC §
Police PD-066 Work Assignments (Schedules) 3 years
3 years
Schedule
OD, Ppr
S / I
1 year 34090
only
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-120

Ver.36.0 RECORDS RETENTION SCHEDULE: POLICE
Page PD-17
Office of IClassification
Records Description
Retention I Disposition Comments! Reference
Record OR
File Number
_
Image: Destroy
Active Inactive Total Media 1=Import Paper
(OFR)
(Off -site, Vital? after
(in office) Retention Options M=Mfr
OD or Mfr) S=Scan Imaged &
Warnin sl if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement).

TRAFFIC
Human
Review Board Accident History
Separation
j
Department Preference (originals
Resources
PD-067
Forms (PD Employees 1 City
of
Mag, Ppr
are in personnel file); GC §
Employees)
Employment
PEn
1 34090.7
Yes:

Police
PD-QB8
Wark Assignments (schedules)
3 years
yeas
Current Mag, Mfr,
S i I Yes: After
Department Preference; GC §
Schedule OD, Ppr
1 year
34090
only
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Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-1 Office of Classification
Records Description Retention I Disposition Comments 1 Reference Record OR
File Number
Destroy
Media Image: Paper
(OFR)
Active Inactive I CD Total Vital? Option ]=Import : after (in office) or Mfr Retention M=Mfr
s Imaged &
S=Scan g
C'd?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigations suspend normal retention periods retention resumes after settlement).

ENGINEERING

SERVICES
Abandonments, Easements,
Entitlements, and Vacations
City Clerk PW-001
Upon
P
P
Yes: Until
Mag'
Mfr,
S
No
Department Preference; GC
(Recorded Documents 1 City
Completion
Completed
OD, Ppr
§34090 7
Property) (See CC-0611CC-013)
Aerial Maps (Digital Plates &
Planning maintains the analog
Mag,
Public Works P11V-002 Software to view them - See
2 years P
P
Yes (all)
Mfr,
S
No
aerial maps; Department
Planning for the Analog Aerial
OD,
Preference for historical
Maps) _
Ppr
purposes; GC §34090
Mag,
Some master plans do not go
Public Works PW-003 Master Plans
P
P
Yes (all)
Mfr,
S
No
to Council; Department
OD,
Preference for historical
Ppr
purposes; GC §34090
Lead Dept.
(General
Mag'
Department preference;
Services,
PW-004 NPDES Monitoring Reports
5 years
5 years
Mfr,
S
Yes: 1
Monitoring records required for
Public
OD' Ppr
year
3 years; 40 CFR §§122.21,
Works, or
122,41, 122.44
Utilities)
Yes: Until
Mag'
Mfr,
Yes: 1
Orange NPDES Permit (Issued to the
PW-005
5 years
5 years
S
Department preference; GC
Count Count
Y Y)
Expiration
Ex p'
OD Ppr
year
§34090.7
-
-
When No
-
-
-- — -
Public Works, PW-006 Preliminary Studies 1 Project
When No
Langer Minimum 2
Langer
Required -
Mag,
Mfr,
S
Yes: After
Department Preference; GC
Assessments (Not Acquired)
years
Required
Minimum 2
OD,
Inactive
§34090
Ppr
years
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-122

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-2 Office of
Classification
OR
Records Description Retention I Disposition
Comments 1 Reference
Record
File Number
Destroy
Image:

Media Paper
(OFR)
Active Inactive 1 CD Total 1=Import
(in office) or Mfr Retention Vital? Option M=Mfr Imaged & S=Scan g
C'd7
Warnings! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvestigation s suspend normal retention periods retention resumes after settlement .

Project Files: City Infrastructure
Department preference; For
and Facilities Projects -
disaster preparedness
Public Works PW-007
Administration File:

Project Administration, Project
Schedules, Invoices, Logs,
Upon
Completion
P
P
Yes: Until
Completed
Mag,
Mfr, S
OD Ppr
Yes: 1
year
purposes and to cover various
statute of limitations; Statewide
guidelines propose Permanent
Work Reports (Inspector
for Infrastructure plans; GC
Reports) G^F*ified ;Is -etc.
§34090, CCP 337 et seq.

Project Files: City Infrastructure
Public Works PW-031
and Facilities Projects - Upon
3 years
Completion +
Mag, S
Yes: 1
Department preference; GC
Certified Payrolls Completion
3 years
OD, Ppri
year
§34090
Project Files: City Infrastructure
and Facilities Projects -
Permanent File:

Department preference;
Retained for disaster
Plans, Specifications, Materials
Mag'
preparedness purposes (City
Public Works PW-008
Upon
Testing Reports, Project Study
P
P
Yes: Until
Mfr' S
Yes: 1
Clerk does not maintain Plans,
Completion
Reports (PSRs), Record R
CompletedUntil
OD Ppr
year
Materials Vesting Reports, etc.)
Drawings ("As Builts"),
Statewide guidelines propose
Regulatory Agency Approvals,
Permanent for Infrastructure
Soils Reports, Structural
plans; GC §34090
Calculations, Surveys, etc.

Mag,
Recorded Maps (Final Maps,
Public Works PW-011
Record of Survey, Tract Maps, P
P
Yes (all)
Mfr,
S
Yes: 1
Drafts should be destroyed; GC
etc.)
OD, Ppr
year
§34090, 34090.7
Planning maintains the analog
Mag,
Public Works PW-033
Standard Drawings P
P
Yes (all)
Mfr,
S
Yes: After
aerial maps; Department
OD,

QC & OD
Preference for historical
Ppr
purposes; GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Govemmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-123

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-3 Office of Classification
Records Description
Record OR
Retention I Disposition
Comments I Reference
File Number
Destroy
.

Media
Image:

Paper
Active Inactive I CD
(OFR)
Total
Vital?
Option
I=Import
(in office) or Mfr
Retention
M=Mfr
S=Scan
Imaged 8�
C'd?
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed
by
file folder.

HOLDS: Litigation, claims, com faints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement).

Sewer and Storm Drain Video When No
When No
Utilities or Inspection Reports / Video or Longer
P P
PW-012 Required - I
Longer
Required -
Mag,
Mfr,
S
Yes: 1 Department Preference; GC
Public Works Digital Recordings - Regular
'Inspections Minimum 2 '
Minimum 2
OD, Ppr
year §34090 et seq.
years
years
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-124

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-4 Office of Classification'
I Records Description
Retention I Disposition
Comments 1 Reference
Record OR
File Number
Image:

Destroy
Active Inactive 1 CD
Total
Media
I=Import
Paper
(OFR)
(in office) or Mfr
Vital?
Retention
Option
M=Mfr
after
s
S=Scan
Imo ed &
9 C'd?
Warnings' If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g, last document + 2 years). since destruction is normal!y performed
by
file folder.

HOLDS: Litigation. claims, complaitrts, audits pending records ro uests, and/orinvesti alions suspend normal retention periods retention resumes after settlement).

TRANSPORTATION AND DEVELOPMENT SERVICES
Assessment I Maintenance
Department Preference, Statute
District Projects (Maps,
Mag,
1of Limitations is 4 - 10 years
Public Works PW-016 Diagrams, Spreadsheets,
Termination P
P
Yes: Until
Mfr,
S
Yes" 1
(for Errors & Omissions); CCP
Improvement Plans - e.g. roads,
of District
Completed
OD, Ppr
year
§§337. 337.1(a), 337.15, 343:
sewer, etc.)
GC §34090.7
Life of the
Life of the Minimum
Encroach-
Mag,
;Statewide guidelines propose
Public Works PW-018 Encroachment Permits ALL
Encroach- Expiration + 2
ment -
Yes; until
Mfr,
S
Yes: 1
Permanent; CCP § 337 et.
ment years
Minimum
Revocation
OD, Ppr
year
Seq.; GC § 34090
Expiration +
2 years
Permits Residential &
Commercial Docks and Piers
End of
End of
Mag,
Public Works PW-034 (Residential & Commercial)
Tenancy + 10
Tenancy + 1 0
Mfr,
S/I
No
'Department Preference; GC
Includes Permit Drawings,
§34090
!Dredging permits, Coastal
years
years
OD, Ppr
Permits, etc.

Public Works PW-020 Intersection File (Traffic Study,
10 years
10 years
Mag,
S
Yes: After
Department preference; GC
Warranty Analysis)
OD, Ppr
1 year
§34090
Department preference to cover
audits from all grant funding
Traffic related service requests
Public
Completion +
Yes:

Mag,
Yes: Upon
agencies; Statute of
Works PW-021 (minor projects - reports,
Completion 10 years
10 years
Before
Mfr,
S/l
Comletion
p
Limitations for Errors &
ordering of signs, etc.)
Completion
OD, Ppr
Omissions is 10 years; CCP
§§337. 337.1(a), 337.15. GC
§34090
CITY OF NEWPORT BEACH, CA. 0=03 Gladwell Governmental Services, Inc, - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-125

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-5 Office of !Classification,Records
Description
Retention I Disposition
Comments I Reference
Record OR
File Number
Destroy
Image:

Media Paper
(OFR)
Active I Inactive l CD Total I=Import
Vital? Option after
(in office) or Mfr Retention s M=Mfr Imaged &
S=Scan C'd?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement).

Offers of Dedication (Rejected,
Copies -
Copies -
Mag, I I
Unprocessed or Unaccepted --
When No
When No
Mfr, Yes: After! Ensure the City Manager has
City Manager PW-023 ;
accepted, City Clerk is Office
Longer
Longer
S
OD, Inactive :!all originals; GC §34090.7
�'If
of Record) (See CW-077)
Required
Required
Ppr !
When
When
Mag,
Public Works PW-025 Traffic Signal Timing
Superseded +
9 years
Superseded +
Mfr, S Yes: After ,Department Preference; GC
1 year
10 years
I OD, 1 year §34090
I Ppr
When
When
Mag, !Department preference
Superseded
Superseded
Mfr, Yes: After (required every 5 years, but can
S
Public Works PW-026 Speed Surveys
(minimum 2
(minimum 2
OD, 1 year be extended to 7 or 10 years);
.-
years)
- Ppr iGC §34090
Mag
Public Works PW-028 Traffic Calming -Summary
10 years
1 10 years
Mfr, S Yes: After GC §34090
((speed humps, etc)
OD, 1 year
Ppr
Mag,
Traffic Counts, Summaries,
Public Works PW-029
Minimum 10
Minimum 10
Mfr, I Yes: After'�Department Preference; GC
S
Reports
years
years
OD, 1 year §34090
Ppr
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-126

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-6 Office of Classification
Records Description
Retention !Disposition Comments t Reference
Record OR
File Number
Image: Destroy
Media Paper
(OFR)
Active Inactive 1 CD Total I=Import
Vital? Option after
(in office) or Mfr Retention M=Mfr
s Imo ed &
S-Scan g
C'd?
Wamin sl If the record is not listed here, refer to the Retention for City- I/Vide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

ADMINISTRATION
Chemical Applications (Contract
Department Preference; Claims
Public Works Administration or in-house)
PW-035 Completion 30
Completion +
Yes:

Mag,
can be made for 30 years for
Yes: After
years
1 Admin. Includes Approved Chemical
30 years
Before
Mfr,
Sll
QC & OD toxic substance exposure; 8
List, MSDS Sheets, etc.

Completion
OD, Ppr
CCR §3204(d)(1) et seq., GC
§§12946, 12960, 34090
Lead Dept. 1 Daily Division Work Diaries
Division PW-036 ("Red Books") 2-years 5 years
_
Department Preference; GC
§34090
7 years
Mag
Ppr
Copies -
Mag,
Demolition Deposit Refund Copies -
Finance 1 PW_037 Payment Authorizations, When No
When No
Mfr, S11
Yes: After Finance maintains official
Accounting Demolition Deposit Forfeit Longer
Longer
OD,
QC & OD record; GC §34090.7
Memo Required
Required
Ppr
Mag,
Public Works PW 038 Department Activities Report 5 years 5 years
Mfr, Sfl
Yes; After Department preference; GC
1 Admin.

OD,
QC & OD §34090
Ppr
Separation + 3
Public Works DL 170s 1 Certificate of Driving Separation + Department preference; DMV
PW-039
1 Admin. Skill 3 years
years
Ppr
requires Separation + 3 years;
GC §34090.7
When No
Mag'
When No
Lead Dept. 1
Preliminary Drafts not retained
PW-040 Franchise List Longer
Division
Longer
Ppr
-in the ordinary course; GC
Required _
Required
§34090
Department Preference to
Public Works Franchised Hauler Tonnage
PW-041 5 years 25 years
30 years
Mag
cover all statute of limitations;
1 Admin. Reports
Ppr
8 CCR §3204(d)(1) et seq.,
CCP §§337 et seq., GC §34090
Public Works Green waste Reports (Contract
PW-042 10 Years
Mag
10 years
Department Preference; GC
1 Admin, and In-house)
Ppr
§34090
CITY OF NEWPORT BEACH, CA. Q2003 Giadwell Govemmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-127

Ver, 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page P1N-7 Office of
Classification
Records Description
Retention I Disposition
Comments I Reference
R
Record
OR
I
File Number
_
image:

Destroy
Media
Paper
(OFR)
Active Inactive 1 CD
Total
Option
1=Import
after
(in office) or Mfr
RetentionVital?
s
M=Mfr
Imaged &
{
S=Scan
C'd?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is can feted, and imply a full file folder (e.g. last document + 2 years). since destruction is normall
erforrned by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement).

Consistent with statute of
Public Works
Hazardous Waste Hauler
May,
limitations for employee
1 Admin.

PW-043
Manifests
2 years 28 years
30 years
Ppr
exposure to hazardous
materials; 8 CCR 3204(d)(1)(A);
22 CCR § 66262.40
P
Public Works Landfill Records (City -owned -
PW-044 10 years P
May
Mfr.

S!I
Yes: After
Department Preference; GC
1 Admin.

Closed)
OD, Ppr

QC & OD
§34090
Department Preference -
Claims can be made for 29
Public Works
! Admin.

PW-045
MSDS Master List
P
P
Mag
Ppr
years for toxic substance
8 CCR §3204(d)(1)
lexposure;
et seq., GCP §§337 et seq., GC
§34090
Expiration +
Public Works Transfer Station Modification
Mag,
Yes: After
Department Preference; GC
1 Admin.

PW-046
Permit
Expiration 30 years
30 years
Mfr,
SJI

QC & OD
§34090
❑D, Ppr
P
Public Works
PW-047 Underground Storage Tanks 3 years P
Yes
May,
Mfr,
SII
Yes After
Department Preference; GC
1 Admin,
OD, Ppr

QC & OD
§34090: H&S §25284.4(i)
Public Works
PW-048
Work Request Database 1
Indefinite
Yes
Mag
GC §34090 et seq.

Indefinite
1 Admin,
Work Histo

FACILITIES & EQUIPMENT MAINTENANCE
CITY OF NEWPORT BEACH, CA. p2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-128

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-8 Office of Classification
Record OR
Records Description
Retention !Disposition
Comments I Reference
File Number
l
Image: Destroy
(OFR)
Active Inactive I CD
Total
Vital?
Media
Option
I=Import Paper
after
(in office) I or Mfr
Retention
M=Mfr
s
Ima ed &
S=Scan g
C'd?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed
by file folder.

HOLDS: Litigation, claims, com laints, audits, pending records requests, and/or investigation suspend normal retention pmods retention resumes after settlement .

Department Preference -
Public Works
Auto Body Paint Shop (records
Claims can be made for 29
I Facilities & PW-049
contain paint I hazardous
10 years 20 years
30 years
Mag
years for toxic substance
Equip. Maint.
materials)
Ppr
exposure; 8 CCR §3204(d)(1)
et seq., CCP §§337 et seq., GC
§34090
Life of the
Public Works Life of the
I Facilities & PW-050
BIT Sheets
Vehicle + 5
Vehicle + 5
Mag
Department preference; GC
Equip, Maint,
years
ears
Ppr
§34090 �
Public Works
CHP Daily Logs (Vehicle
i
I Facilities & PW-051
inspections) I Pre -Trip
2 years
2 years
Ppr
13 CCR 1234(c); GC §34090
Equip. Maint.

Inspections
Public Works
Estimates (Vehicles and
Mag,
I Facilities & PW-052
purchases)
2 years
2 years
Ppr
GC §34090
Equip. Maint.

Department Preference; Statute
of Limitations for Health
Public Works
Fire Apparatus & EquipmentProviders
Surplus + 5
Surplus + 5
Mag,
is 3 years; OSHA
Irequires 1 year; State requires
I Facilities & PW-053
Maintenance Records (excludes]
Equip. Maint.

Ladder Certifications)
years
years
Ppr
;2 years; Statewide guidelines
propose 2 years 8 CCR
§3203(b)(1), CCP §340.5, GC
§34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-129

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-9 Office of Classification Records Description
Retention 1 disposition Comments I Reference
Record OR
File Number
Destroy
! Media Image: paper
(OFR)
Active Inactive 1 CD Total Vital? Option I=Import after (in office) or Mfr Retention s . M=Mfr Imaged &
I S=Scan
C'd?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, corn Taints, audits, pending records requests, and/orOvesti ations suspend normal retention periods fretention resumes after settlement).

Department Preference -
Public Works
!
Claims can be made for 29
Hazardous Waste Hauler
1 Facilities & PW-054 10 years
20 years
30 years
Mag
years for toxic substance
Manifests (Oil, etc.)
Equip. Maint.

Ppr
exposure; 8 CCR §3204(d)(1)
et seq., 22 CCR § 66262.40;
CCP §§337 et seq., GC §34090
Public Works HVAC Records - Operations, Life of
Life of
Mag,
1 Facilities & PW,055 Sub equipment maintenance Equipment + Equipment + 2
Ppr
GC §34090
Equip. Maint. 2 years
ears
Department Preference; If a
motor carrier, required for 18
Life of
months after vehicle is sold,
Public Works Maintenance History - Vehicles Vehicle or
Life of Vehicle
Mag'
CHP requires life of vehicle;
1 Facilities & PW-056 & Equipment - Where City is
Equipment +
or Equipment
Ppr
OSHA requires 1 year; 8 CCR §
Equip. Maint. Provider
5 years
+ 5 years
3203(b)(1); 49 CFR
396.21(b)(1); 49 CFR 396.3(c);
CCP §337 et, seq., 13 CCR
1234(0; GC §34090
Life of Vehicle
Mag,
Public Works Life of
Smog Certificates and
1 Facilities & PW-057 Inspections Vehicle + 5
+ 5 years
Ppr
GC §34090
Equip. Maint. years
�22
Public Works
Mag'
CCR 66266.130(c)(5), H&S
I Facilities & PW-058 Used Oil Disposal 3 years
3 years
§25250.18(b), 25250.19(a)(3)
Equip. Maint.

Ppr
let seg.

FIELD MAINTENANCE
Public Works PW-059 Drivers Logs 2 years !
1 Field Maint,
2 years
Mag'
Ppr
GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. -all rights reserved Do not duplicate or distribute wthout prior written permission from GGS (909) 337-3516 Revision Adopted', 311 G12022 3-130

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-10 Office of
Classification Records Description
Retention I Disposition Comments I Reference
Record
OR
File Number
_
Destroy
Image:

Active Inactive I CD Total Media 1=Import Paper
(OFR)
Vital? Option after
(in office) or Mfr Retention M=Mfr
s Imaged &
S=Scan
Cad?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normaqy performed by file folder.

HOLDS: Liti ation, claims, co m laints, audits, pending records)I requests, and/or investigation suspend normal retention nods retention resumes after settlement).

Public Works
PW-060
Dump Tickets I Manifests - Non-1
2 years
2 years
Mag,
GC §34090
1 Field Maint,
Hazardous Waste
Sidewalk Repair Database
Indefinite
Ppr
Data is inter -related: GC
Public Works
PW-O6i
Indefinite
Yes: Until
Mag,
1 Field Maint.
(Quest)
Paid
Ppr
§34090
A record of all notifications by
excavators and operators to the
Public Works
Underground Service Alerts Minimum
Minimum
Mag,
regional notification center shall
I Field Maint.

PW-062
(USA) / Dig Alerts: Utility Cuts, 3 years
3 years
Ppr
be maintained for a period of
etc,
not less than three years; GC
§§4216.2(fd) & 4216.3(d),
Vehicle Inspections 2 years
Mag`
34090
GC §34090
Public Works
PW_063
2 years
1 Field Maint.

Ppr
PARKS
& TREES
Public Works
I Street 1
>'W-064
Application to Remove Trees !
2 years
2 years
Mag
UGC §34090
Parks &
Petitions
Ppr
Trees
Public Works
� Street
Parks &i PW-065
Demolition Permit Certification 2 years
2 years
Ppg
GC §34090
Trees
Public Works _
--- - -- - --
1 Street 1 PW 066
Notice of Violation (Obstruction 2 years
2 years
Mag
GC §34090
Parks &
of Right of Way, etc.)
Ppr
Trees
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved ❑o not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-131

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-11 Office of 1 Classification!Records Description
Retention 1 Disposition Comments 1 Reference
Record OR
File Number i
Destroy
Image:

Active i Inactive 1 CD Total Media i I=Import Paper
(OFR)
Vital? Option: after
(in office) or Mfr Retention ; M=Mfr
s Imaged
S=Scan
C'd?
Warnings! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement .

Public Works
Consistent with Operational
/ Street / I Park and Parkway Maintenance
PW-067 3 years
3 years
Mag
Complaints and Work Orders;
Parks & !(reports, records, work orders)
j Ppr
CCP §§338 et seq., 340 et
Trees !
- -
i
seq., 342, GC §34090
Department Preference for toxic
j
(substance exposure statute of
Public Works
Mag,
limitations; Agricultural
/ Street / Pesticide and Herbicide Permits
PW-068 5 years
5 years
Yes: After
Mfr, S/I
pesticide records are required
Parks & .(from County)

QC & OD
OD, Ppr
for 2 years; 3 CCR 6623, 8
Trees
CCR §3204(d)(1) et seq., 16
CCR 1970;GC §34090,
Department Preference for toxic
Public Works
substance exposure statute of
/ Street / Pesticide and Herbicide
Mag,
Yes: After
limitations; Agricultural
PW-069 2 years
Parks & Records (in-house) i
28 years
30 years
Mfr, S!I

OC & OD
pesticide records are required
Trees
OD, Ppr
for 2 years;-8 CCR §3204(d)(1)
et seq., 16 CCR 1970; 3 CCR
6623,-GC §34090,
Public Works
Consistent with Operational
/ Street ! PW-070 Tree Maintenance / Plantings 3 years
3 years
Mag
Complaints and Work Orders;
Parks &
Ppr
!CCP §§338 et seq., 340 et
Trees
;seq.,
342, GC §34090
Public Works
Traffic Collision Notifications
[Exception to City-wide
/ Street /
PW-071 (determine cost to bill 2 years
2 years
Mag,
retention; Retained in
Parks &
responsible parties)
Ppr
originating department for
Trees
I
auditing purposes; GC §34090
CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute Wthout prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-132

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-12 Office of Classification Records Description
Retention ! Disposition
Comments ! Reference
Record OR
File Number
Image: Destroy
Active Inactive l CD Total Media 1=Import Paper
(OFR)
V
Vital? Option after
(in office} or Mfr Retention M=Mfr
s Imaged &
S=Scan
d?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. .last document + 2 ears , since destruction is normal! performed b file folder.

HOLDS: Litigation, claims, com faints, audits, pending records requests, and/or investigation suspend normal retention pmods retention resumes after settlement).

Public Works
1 Street 1
PW-072
Tree Inventory Database
P
P
Meg
Department Preference; Data is
Parks &
interrelated; GC §34090 et seq.

Trees
Department Preference; Covers
Public Works
l Street 1
Tree Removal Review 1
Meg
various statute of limitations;
Parks & PW-073
Inspection Reports
5 years
5 years
Ppr
CCP §§ 337 et seq.; GC §§
Trees
911.2, 34090, 34090.6; PC
832.5
REFUSE
Public Works
PW-074
Annual County Inspection
2 Years P
P
Yes (all)
Meg,
Mfr,
Sll
Yes: After
Department Preference; GC
I Refuse
Reports (Old City landfill Sites)

QC & OD
§34090 et. seq.

OD, Ppr
Not all incidents are sent to
Human Resources (only
Public Works
HazMat Incident Responses,
Meg,
workers compensation); GC
PW-475
Clean-ups and Exposure
30 years
30 years
Yes: After
Mfr, S
§34090; Consistent with statute
1 Refuse
Records (Diesel, Oil, etc.)

QC & OD
OD, Ppr
of limitations for employee
exposure to hazardous
materials; S CCR 3204(d)(1)(A);
22 CCR § 66262.40
letegfated Waste Reports 1
CaiRecycle Reports 1 Daily
Meg,
Public Works
PW-076
Records 1 Weight Records 1
30 Years
30 years
Yes: After
Mfr, S/l
Department Preference; GG
1 Refuse
Hazardous Material Screening

QC & OD
OD, Ppr
§34090 et. seq.
(Becomes part of Waste
Stream)
I
Ij
CITY OF NEWPORT BEACH, CA, ©2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adapted: 3/16/2022 3-133

Ver. 27.0 RECORDS RETENTION SCHEDULE - PUBLIC WORKS Page PW-13 Office of
iClassification
Records Description
p
Retention 1 Disposition
p
Comments 1 Reference
Record
OR
File Number
Image:

Destroy
Active Inactive I CD
Total
Media
1=Import
Paper
(OFR)
(in office) or Mfr
Retention Vital?
Option
M=Mfr
S=Scan
Imaged 8�
C'd? i
Wamin sl !f the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed
by
file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigation suspend normal retention periods retention resumes after settlement .

Needle Collection /Sharps
Mag,
Department Preference; Sharps
Public Works
PW-076.1
Collection (OASIS Senior
5 years
5 years
Mfr,
S/l
Yes: After injury logs are required for 5
/ Refuse
Center)
OD, Ppr
QC & OD years: 8 CCR 5193(h)(3); GC
§34090 et. seq.

P
Public Works Recycling Program -Annual
PW-077 1 year P
Mag'
Mfr,
S/I
Yes: After Department Preference; GC
/ Refuse
Report
OD, Ppr
QC & OD §34090 et. seq.

Public Works
Ma g.

Department Preference; GC
I Refuse
PW-078
•Refuse Receipts
3 years
3 years
Ppr
�
1§34090 et. seq.
30 years
Public Works Transfer Station Permit
PW-079 30 years
Mag'
Mfr,
S/I
Yes: After Department Preference; GC
/ Refuse
Inspection Results (monthly)
OD, Ppr
QC & OD §34090 et. seq.
30 years
Public Works Transfer Station Quarterly
PW-080 30 years
Mag'
Mfr,
S/I
Yes: After Department Preference; GC
/ Refuse
Tonna a Re orts
g p
OD, Ppr
QC & OD §34090 et. seq.

CITY OF NEWPORT BEACH, CA. ©2003 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-134

Ver 16 C RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-1 Office of
Classification
Record
Records Description
OR
Retention I Disposition
Comments I Reference
File Number
Image: Destroy
�
Inactive
Paper
(OFR)
Active
(Off -site,
Total
Vital?
Media 1=Import
after
(in office)
OD or Mfr)
Retention
options M=Mfr
Imaged &
S=Scan
C'd?
Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 yeaLs2, since destruction is normally erformed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods retention resumes after settlement).

RECREATION

SERVICES
Recreation
Yes:
& Senior
RS-002 Attendance Sheets
2 years
2 years
During
Mag, Ppr
GC §34090
Services
Class or
Program_
1 Recreation
Class and Camp Registrations
Yes
& Senior
&Rasters 1 User Pay
RS-003 Recreation Programs
2 years
2 years
Before
Mag, Ppr
GC §34090
Services
(Recreation Waivers) - ALL
Event
Recreation
Yes:
& Senior
RS-004 Daily Facility and Activity Logs
2 years
2 years
Before
Mag, Ppr
iGC §34090
Services
Event
Emergency Contact
Information for Participants 1
Recreation
Medical Release Forms 1 Pre-
Yes:

Transitory record used to contact
& Senior
RS-005 school Immunization Records
2 years
2 years
During
Ppr
relatives in the event of an
Services
i(Given to site provider- Coach,
Class or
emergency; CCP §335.1. GC
OASIS Transportation
(Program,
Program
§§34090, 6252(e)
Instructor, etc.)
i
Facility Use Requests and
Recreation
Permits - Includes Certificate
Yes: Until
& Senior
RS-006 of Insurance and Alcohol
2 years
2 years
Completio
Mag, Ppr
IGC §34090
Services
Permits (Room Reservations,
n
Parks, Moonbounces, etc.)
Recreation
Fundraising Files
Yes:
& Senior
RS-021 (Correspondence, Copies of
2 years
E:1
During
Mag, Ppr
GC §34090
Services
Checks, etc.)
Class or
Program
CITY OF NEWPORT BEACH, CA. CD2003 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022 3-135

Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-2 Office of Classification
Records Description
Retention I Disposition
Comments t Reference
Record
OR
File Number
_
Destroy
Image:
(OFR)
Inactive
Active
(Off -site,
Total
Vital?
Media
I=Emport
Paper
after
(in office)
OD or Mfr)
Retention
Options
M=Mfr
Imaged &
5=scan
O,d?
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full life folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti tions suspend normal retention penods fretention resumes after settlement).

Recreation
& Senior
RS-023
,Incident Reports
2 years
2 years
Mag, Mfr,
S/I
Yes: After, GC §34090
Services
OD. Ppr

OC & OD
Yes:

Recreation
Playground Equipment
Before
Mag, Mfr,
'Yes: Upon Department Preference; CCP
& Senior
RS-007
Inspections
10 years
10 years
Completio
OD. Ppr
S!I
Completio §§336(a), 337 et. seq., GC
Services
n §34090
n
Recreation
& Senior
RS-008
(Program Evaluations
4 years
4 years
Mag, Ppr
Department Preference; GC
Services
§34090
Recreation
& Senior
RS-009
Recreation Database
Indefinite
Indefinite
Mag
Data is interrelated; GC §34090
Services
et seq.

Recreation
Yes:
& Senior
RS-012
Special Event Permits
2 years
2 years
Before
Mag, Ppr
GC §34090
Services
Event
Recreation
& Senior
RS-013
Volunteer Sign -ins J Summary
2 years
2 years
Mag, Ppr
§34090
Services
of Hours
iGC
SENIOR

SERVICES
Recreation
& Senior
RS-018
Program Files (e.g. OASIS,
` years
2 years
Mag, Ppr
GC §34090
Services
Intergenerational, Events held)
!Statute of Limitations any
Recreation
"...liability founded upon an
& Senior
RS-019
Sign -In Sheets for Classes
4 years
4 years
Mag, Ppr
instrument in writing" or not
Services
specifically provided for is 4
years; GC §34090, CCP §§337,
343
CITY OF NEWPORT BEACH, CA. 020o3 Gladwell Govemmental Services, Inc. -all rights reserved Do not duplicate or distribute without prior written permission from GGS (9e9) 337-3516 Revision Adopted: 3/16/2022 3-136

Ver. 16.0 RECORDS RETENTION SCHEDULE: RECREATION and SENIOR SERVICES RSS-3 Office of j Classification Records Description
Retention t Disposition
Comments l Reference
Record OR
File Number
Destroy
Inactive
Image:

Paper
Active
Total I Media
I=Import
(OFR) (in office) (Off -site,
Retention Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
C'd?
Warnin s! if the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods retention resumes after settlement).

Recreation
I Department Preference to match
& Senior RS-020 Volunteer Sign -ins I Summary 3 years
3 years
Mag, Ppr
I
retention periods for other
Services of Hours -A
volunteer records; GC §34090
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Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-1
Office of Classification
Records Description Retention !Disposition Comments !Reference Record OR
File Number Image: Destroy
Inactive paper
Active Total Media I=Impart
(OFR) (Off -site, Vita17 after
(in office) Retention Options M=Mfr
OD or Mfr) Imaged &
S=Scan
Wamin st If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is com leted, and im ! a fu1! file folder e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlorinvestigations suspend normal retention periods retention resumes after settlement).

ADMINISTRATION
Utilities 1 Department of Transportation
Expiration of
Expiration o
Admin. UT-001 (Highway Permits) -Cal Trans
1 Permit + 2
Permit + 2
Mag, Ppr GC § 34090
years
ears
Disposal Receipts ! Manifests -
Consistent with statute of
Utilities 1 UT-112 HAZARDOUS WASTE (e.g.,
30 years
30 years
limitations for employee exposure
Mag. Ppr
Admin. storm drain, hazardous material
to hazardous materials; 8 Cal.
from street sweeping, clean ups)
Code Reg. 3204(d)(1)(A)
PUC - Public Utilities Commission
Utilities 1 UT 003 (Correspondence, Rate Changes,
2 years
2 years
Mag, Ppr �GC § 34090
Admin. Applications, Gas, Electricity,
Water, etc.)
When No
Subjects 1 Resource 1
When No
Utilities I Miscellaneous Files i Files Not
Longer
Longer
UT 004 Covered Under Other Utilities
Required -
Required -
Mag. Ppr GC §34090
Admin.

Retention Codes (subjects and
Minimum 2
Minimum 2
resources will vary overtime)
years
years
CITY OF NEWPORT BEACH, CA. @2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do nol duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-138

ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-2
Office of
Classification
Records Description
Retention I Disposition
Comments 1 Reference
Record
OR
File Number
Image: Destroy
Active
Inactive
Total
Media
Paper
l=Import
(OFR)
(in office)
(Off -site,
Retention vital?
Options I
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Warain s? If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g, last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods rotention resumes after settlement).

ELECTRICAL
Utilities 1
AQMD Permits & Reports
UT-078
5 years
5 years
Mag, Ppr
40 CFR 70.6; GC §34090
Electrical
(Electrical)
2 years
Lead Dept. UT 100 Confined Space Entries 2 years
Mag, Ppr
8 CCR 5157(d)(14) & (e)(6); 29
i
CFR 1910.146(e)(6); GC §34090
Generator Operation Logs &
Department preference; AQMD
Lead Dept.

UT 101 Inspections - Fixed I Stationary
5 years
5 years
Mag, Ppr
Rule 1470; GC §34090
Generators
_
Generator Operation Logs &
AQMD Rule 1470; Form
Lead Dept.

UT-1 02 inspections - Portable 1
5 years
5 years
Mag, Ppr
400—E-13a instructions, GC
Emergency Generators)
_
§34090
Life of
Manuals - Operation and
Utilities 1 Life of
Mag, Mfr,
Electrical
UT-006 Maintenance for various
Equipment
Equipment
OD, Ppr
S No Administrative value; GC §34090
equipment
Some grant funding agencies
require audits; Statute of
10 years or
Completion
Limitations for Errors &
After
+ 10 years
Omissions is 10 years; Published
Project Files: Administration
Funding
or After
Audit Standards=4-7 years;
Public Works I
Files (CIP and Maintenance
Upon
Agency
Funding
Yes: Until
Mag, Mfr,
Statute of Limitations: Contracts
Yes: After
or Utilities 1
UT-008 projects): Project Administration,
Completion
Audit, if
Agency
Completed
OD, Ppr
S & Spec's=4 years, Wrongful
QC
Electrical
Certified Payrolls, Invoices,
required,
Audit, if
Death=camp. + 5 years,
Relocation Assistance, etc.
whichever is
required,
Developers=camp. + 10 years;
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§3409a
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 311 G12022
3-139

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-3
Office of I Classification
Records Description
Retention ! Disposition
Comments ! Reference
Record OR
File Number
1 Image:

Destroy
Active
Inactive
Total Media
I I=Import
Paper
(OFR)
(in office)
(Off -site,
Vital?
Retention Options
M=Mfr
after
OD or Mfr)
Imaged &S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement .

Project Files: CIP Projects -
Permanent File: Plans,
Specifications, Materials Testing
Department Preference;
Reports, Notice of Completion,
Upon
Yes: Until Mag, Mfr,
Yes: After Retained for disaster
Public Works. UT-007
Project Study Reports, Record
Completion
P
P
Completed OD, Ppr
S
QC preparedness purposes; GC
Drawings ("As Builts"), Regulatory
§34090.7
Agency Approvals, Soils Reports,
Structural Calculations, Surveys,
Str
- -
-
'Some grant funding agencies
require audits; Statute of
10 years or
Completion
Limitations for Errors &
After
+ 10 years
Omissions is 10 years; Published
Funding
or After
Audit Standards=4-7 years;
Utilities l
Project Files: Utilities
Upon
Agency
Funding
Yes: Until Mag, Mfr,
Yes: After Statute of Limitations: Contracts
Electrical UT-009
Maintenance Projects
Completion
Audit, if
Agency
Completed OD, Ppr
S
QC & Spec's=4 years, Wrongful
required,
Audit, if
Death=comp. + 5 years,
whichever is
required,
Developers=comp. + 10 years;
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§34090
Indefinite
Utilities ! UT-010 Work Request Database (Quest) Indefinite Yes Mag
Records are interrelated; GC
Electrical
§34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-140

Ver 260 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-4
Office of
Classification
Records Description
Retention I Disposition
Comments I Reference
Record
OR
File Number
Image:

Destroy
Active Inactive
Total
Media 1=Import
Paper
(OFR)
(in office) (Off -site,
Retention
Vital? Options M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Warnin s! If the record is not listed here, refer to the Retention for Cit -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal)gperformedby file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

A record of all notifications by
excavators and operators to
Utilities 1
Underground Service Alerts (USA)
the regional notification center
Electrical
UT-012
i pig Alerts. Utility Cuts, etc. -All 3 years
3 years
Mag, Ppr
shall be maintained for a period
of
not less than three years; GC
4216.2 d & 4216.3 d 34090

LANDFILL
Utilities 1
Landfill
UT-079
Expiration of
AQMD Permits & Reports (Landfill) Permit + 2
Expiration o
Permit + 2
Mag, Ppr
GC § 34090
years
djars
Utilities 1
UT-080
Benchmark Reports . Budget
2 years
Mag, Ppr
GC § 34090
2 years
Landfill
Reports to CNG
`
Utilities I
UT-081
Emergency Preparedness 1 Superseded
MagPpr
p
Department Preference; GC
Superseded
Landfill
Hazardo_us- Materials + 2 years
+ 2 ears
'
§34090
Utilities I
UT-082
Hazardous Materials Permits 10 years P
P
Mag, Mfr,
S
Yes After Department Preference; GC
Landfill
OD, Ppr
QC §34090
Expiration of
Utilities ! Landfill Operation Permits & Expiration of
Mag, Mfr,
Landfill
UT-083
Reports Permit + 2
Permit + 2
OD, Ppr
GC § 34090
years
ears
Utilities t
UT-084
_
Spill Prevention Control and 5 years
Yes Mag. Ppr
Department Preference; GC
5 years
Landfill
Countermeasure Plan (SPCC)
§34090
Reports 1 AB 9391 SB
Department preference; SS 1383
Utilities 1
UT-116
,Tonnage
1383 Compliance (Organic Waste 10 years
10 years
Mag, Ppr
compliance is required for 5
Landfill
Collection and Recycling)
I
years; 14 CCR § 18995;.2 H&S
§39730.7; GC §34090
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-141

Ver, 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-5
Office of
Classification
Records Description Retention l Disposition Comments ! Reference Record
I OR
File Number
I� Destroy
Image:

Active Inactive Total Media I=Import Paper
(OFR)
(in office) (Off -site, Retention Vital? Options M=Mfr after OD or Mfr) S=Scan Imaged &
Warnin s! If
the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, andlor investigations suspend normal retention periods retention resumes after settlement).

OIL AND
GAS
Utilities 1
UT-015
Abandonments - Oil Wells
Upon P
P
Yes
Mag, Mfr,
S
Yes: After
Department Preference; GC
Oil & Gas
Completion
5 years
OD, Ppr
QC
§34090
40 GFR 70.6; GC §34090
Utilities 1 Oil
UT-085
AQMD Permits & Reports (Oil &
5 years
Mag, Ppr
& Gas
Gas)
UT-086
Emergency Preparedness I
Superseded
Mag, Ppr
Utilities 1 Oil
GC § 34090
& Gas
Hazardous Materials
2 years
+ 2 ears
8 CCR 5157(d)(14) & (e)(6); 29
CFR 1910.146(e)(6); GC §34090
Lead Dept.

UT-103
Confined Space Entries
2 years
Mag, Ppr
Generator Operation Logs &
Department preference; AQMD
Lead Dept.

UT-104
Inspections - Fixed I Stationary
5 years
5 years
Mag. Ppr
Rule 1470; GC §34090
Generators
Generator Operation Logs &
AQMD Rule 1470; Form
Lead Dept.

UT-105
Inspections - Portable 1
5 years
5 years
Mag, Ppr
400—E-13a instructions, GC
Emergency Generators
§34090
Life of
Mag, Mfr,
Utilities 1
Manuals - Operation and
Life of
Oil &Gas
UT-017
Maintenance for various
Equipment
Equipment
OD, Ppr
S
No
Administrative value; GC §34090
equipment
2 Years P
Utilities 1
UT-018
Oil and Gas Production: Wells,
P
Mag, Mfr,
S
Yes, After
Department Preference; GC
Oil & Gas
Pumps, Condemnations
I
OD, Ppr
QC
§34090
Department Preference; Claims
Utilities 1
Mag, Mfr,
S
Yes: After
can be made for 30 years for
Oil & Gas
UT-019
Oil and Gas Remediation
2 years P
P
OD, Ppr
QC
toxic substance exposure; 8 CCR
Oil and Mineral Rights
P I
§3204(d)(1) et seq., GC §34090
Utilities 1
UT-020
P
Yes
Mag, Mfr,
S
No
Department Preference; GC
Oil & Gas
OD, Ppr
§34090
2 years
Mag, Ppr
GC §34090
Util ities 1
UT-021
Oil Production Report Tickets 1
2 years
Oil &Gas
Run Tickets
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute Wthout prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-142

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-6
Office of
Record
! Classification
OR
Records Description
Retention J Disposition
Comments J Reference
File Number
- - -
I
Image:
' Destroy
(OFR)
Active
Inactive
(Off -site,
Total
Media
Vital?
I=Im ort
Paper
after
(in office)
OD or Mfr)
Retention
Options
M=Mfr
Imaged &
S=Scan
Warnin s! If the record is not listed here, refer to the Retention for City -ode Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y i2en`ormed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Oil Well Information (Fire
Utilities /
UT-022
Protection System Plans,
Life of the
Well
Life of the
Mag, Mfr,
Department Preference;
Yes: After
Oil & Gas
Inspections, Sprinklers,
+ 10
Well + 10
Yes (all)
OD, Ppr
S/I
Inspections required for 3 years;
QC
Evacuation Plans, etc.)
years
years
UFC §103.3.4
Life of the
Oil Well Information and Life of the
Utilities / Inspections - All : (Fire Protection
Mag, Mfr,
Department Preference;
Yes: After
Oil &Gas
UT-023
System Plans, Inspections,
Well + 10
Well + 10
Yes (all)
OD, Ppr
S/I
Inspections required for 3 years;
QC
Sprinklers, Evacuation Plans, etc.)
years
years
UFC §103.3.4
Utilities !
UT-024
Oil Well Inspections (Division of
10 ears
y
( ) Mag, Mfr,
Yes all
S/I
Department Preference;
Yes: After
Inspections required for 3 years;
10 ears
y
Oil & Gas
Gas, Fire, Fish & Game, etc.)
OD, Ppr
QC
UFC §103.3.4
Expiration o
Permit + 2
Expiration of
Utilities / UT-025 Permits (Coastal Permits, AQMD, permit + 2 Mag, Mfr,
S
Yes: After Department Preference; GC
Oil & Gas
etc.)
OD, Ppr
QC §34090
years
ears
Some grant funding agencies
require audits; Statute of
10 years or
Completion
Limitations for Errors &
Project Files: Administration
After
+ 10 years
!Omissions is 10 years; Published
Files (CIP and Maintenance
Funding
or Aft er
Audit Standards=4-7 years;
Public Works
or Utilities !
UT-027
projects): Project Administration,
Upon
Agency
Funding
Yes: Until MagMfr
Statute of Limitations: Contracts
Yes: After
Project Schedules, Meeting
Completion
Audit, if
Agency
Completed OD,, Ppr,
S
& Spec's=4 years, Wrongful
QC
Oil & Gas
Minutes, Certified Payrolls,
required,
Audit, if
Death=comp. + 5 years,
Invoices, Relocation Assistance,
whichever is
required,
Develope rs=comp. + 10 years,
etc.
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§34090
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-143

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-7
Office of
Record
Classification Records Description
OR
Retention l Disposition
Comments I Reference
File Number
l
Image:

Destroy {
(OFR)
Active
Inactive
(Off -site,
Total
Vital? Media
I=Import
Paper
after
(in office)
OD or Mfr)
Retention
Options
M=Mfr
Imaged &
S=Scan
Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Project Files: CIP Projects -
Permanent File: Plans,
Specifications, Materials Testing
Reports, Notice of Completion,
Department Preference;
Public Works
UT-026 Project Study Reports, Record
Upon
P
P
Yes: Until Mag, Mfr,
S
Yes: After Retained for disaster
Drawings ("As Builts"), Regulatory
Completion
Completed OD, Ppr
QC preparedness purposes; GC
Agency Approvals, Soils Reports,
§34090.7
Structural Calculations, Surveys,
etc.

Some grant funding agencies
require audits; Statute of
10 years or
Completion
Limitations for Errors &
After
+ 10 years
Omissions is 10 years; Published
Funding
or After
Audit Standards=4-7 years;
Utilities /
Project Files: Utilities
UT-028
Upon
Agency
Funding
Agency
Yes: Until Mag, Mfr,
Yes: After Statute of Limitations: Contracts
Oil & Gas
Maintenance Projects
Completion
Audit, if
Audit, if
Completed OD, Ppr
S
QC & Spec's=4 years, Wrongful
Death=comp. + 5
required,
years,
whichever is
required,
Developers=comp. + 10 years;
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
•;
§34090
Reports to Regulatory Agencies -
Utilities /
UT-087 Oil & Gas: Reports relating to
10 years
P
P
Mag, Mfr,
S
Yes: After Department preference; GC
Oil & Gas
Environmental (Pollution Control),
OD, Ppr
QC §34090
_Oil Operations, Royalties, etc.

Utilities /
UT-088 Reports to SCAQMD (operation of
5 years
r5ye ars
Mag, Ppr
Department preference; GC
Oil & Gas
fixed generators, etc.)
§34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-144

Ver.26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-8
Office of
Record
Classification
OR
Records Description
Retention 1 Disposition
Comments I Reference
File Number
Destroy
Image: I
Active
Inactive
Total
Media
Paper
I=Import
(OFR)
(in office)
(Off -site,
Retention
Vital?
Options
after
M=Mfr
OD or Mfr)
Imaged &
S=Scan
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/orinvesti ations suspend normal retention periods retention resumes after settlement).

STORM
DRAINS
Storm Drain Video Inspection
When
en
Utilities
UT-114
Reports I Video or Digital
Superseded
Mag Ppr
Department Preference; GC
/ Storm Drain
Recordings - Regular
(minimum 1
rSuperseded
mum
§34090 et seq.

Inspections_
year)
arStorm
Drain Video Inspection
_
When
Transitory record; not part of
en
Utilities
UT-1 15
Reports 1 Video Tapes or Digital
Superseded
Superseded
Mag
overall program administered by
I Storm Drain
Recordings - Spot Checks I
(minimum 1
(minimum
PW Administration; GC §34090
Inspections
ear)
1 ear)
et se .

WASTEWATER
Utilities 1
UT-089
AQMD Permits & Reports
5 years
5 years
Mag, Ppr
40 CFR 70.6; GC §34090
(Wastewater)
_Wastewater
Utilities /
Wastewater
UT-029
Chemical Usage
3 years
3 years
Mag, Mfr,
a Ppr
S / 1
Yes: After
QC
Code of Federal Regulations
requires 3 years; 40 CFR
122.41(�)(2)
Utilities 1
UT-031 iDaily
Division Work Diaries ("Red
3 years
3 years
Mag, Mfr,
S l 1
Yes: After
Consistent with work orders; GC
Wastewater
Books") (Operator's daily logs)
OD, Ppr
QC
§34090
Lead Dept,
UT-106
Confined Space Entries
2 years
2 years
{Mag, Ppr
8 CCR 5157(d)(14} & (e)(6); 29
CFR 1910.146(e)(6); GC §34090
Generator Operation Logs 8
Lead Dept.

UT-107
Inspections - Fixed I Stationary
5 years
5 years
Mag. Ppr
Department preference; AQMD
Generators
Rule 1470; GC §34090
Generator Operation Logs &
AQMD Rule 1470; Form
Lead Dept.

UT-108
Inspections - Portable 1
5 years
5 years
Mag, Ppr
400—E-13a instructions, GC
Emergency Generators
§34090
Life of
Manuals - Operation and
Utilities 1 Life of
Mag, Mfr,
Wastewater
UT-032
Maintenance for various
Equipment
Equipment
OD, Ppr
S
No
Administrative value; GG §34090
equipment
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladmll Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/1612022
3-145

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-9
Office of
Record
Classification Records Description
OR p
Retention 1 Disposition
p
Comments 1 Reference
File Number
Destroy
Image:
(OFR )
Active
Inactive
(Off -site,
Total Vital? Media
Paper
I=Import
after
(in office)
OD or Mfr)
Retention Options
M=Mfr
Imaged 8
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Lead Dept.
(General
Services,
Monitoring records required for 3
Public
UT-033 NPDES Monitoring Reports
3 years
3 years
Mag, Ppr
lyears; 40 CFR §§122.21, 122.41,
Works, or
122.44
Utilities)
When No
When No
Orange 1 NPDES Permit (Issued to the
Yes: Until
County
UT-034 County)
Longer
Longer
Expiration Mag, Ppr
GC §34090.7
Required
Required
- - _
-
1Some grant funding agencies
require audits; Statute of
(Limitations
10 years or
Completion
for Errors &
After
+ 10 years
Omissions is 10 years; Published
Project Files: Administration
Funding
or After
Audit Standards=4-7 years;
Public Works
Files (CIP and Maintenance
Upon
AgencyYes:

Funding
Until Mag, Mfr,
Statute of Limitations: Contracts
Yes: After
or Utilities /
UT-036 projects): Project Administration,
Completion
Audit, if
Agency
Completed OD, Ppr
S & Spec's=4 years, Wrongful
QC
Wastewater
C69Certified Payrolls, Invoices,
required,
Audit, if
Death=comp. + 5 years,
Relocation Assistance, etc.
whichever is
required,
Developers=comp. + 10 years;
longer
whichever is
I Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-146

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-10
Office of j Classification
Records Description
Retention / Disposition
Comments ! Reference
Record OR
File Number
Image:

Destroy
Active
Inactive
Total
Media
1=Import
Paper I�
(OFR)
(in office)
(Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records reguests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Project Files: CIP Projects -
Permanent File: Plans,
Specifications, Materials Testing
Department Preference;
Reports, Notice of Completion,
Upon
Yes: Until Mag, Mfr,
Yes: After Retained for disaster
Public Works UT-035
Project Study Reports, Record
Completion
P
P
Completed OD, Ppr
S
QC preparedness purposes; GC
Drawings ("As Builts" ), Regulatory
§34090.7
Agency Approvals, Soils Reports,
Structural Calculations, Surveys,
;etc' -
---
__
Some grant funding agencies
require audits; Statute of
10 years or
Completion
Limitations for Errors &
After
+ 10 years
Omissions is 10 years; Published
Funding
or After
Audit Standards=4-7 years;
Utilities /
UT-037
Project Files: Utilities
Upon
Agency
Funding
Yes: Until Mag, Mfr,
Yes: After Statute of Limitations: Contracts
Wastewater
Maintenance Projects
Completion
Audit, if
Agency
Completed OD, Ppr
S
QC & Spec's=4 years, Wrongful
required,
Audit, if
Death=comp. + 5 years,
whichever is
required,
Developers=comp. + 10 years;
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§34090
Reports to Regulatory Agencies -
Utilities /
Wastewater: Monthly and
Mag, Mir,
Hazmat discharge records are
Yes: After
UT-038
Wastewater
Quarterly Reports, including
5 years
5 years
OD, Ppr
S / I
required for 3-5 years; 40 CFR
OC
-
backup data
---
-P I-
-
122.410)(2)
5 ears
y
Utilities / UT-090 Reports to SCAQMD (operation of 5 ears y
Ma Ppr
9,
'Department preference; GC
Wastewater
fixed generators, etc.
g }
-
§34090
5 years
Utilities ! SanitarySills and Overflows
UT-039 5 years 5 years
Mag, Mfr,
S /
Yes: After If treating water, required for 5
Wastewater
SSOs
( }
OD, Ppr
QC years; 40 CFR 122.410)(2)
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-147

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-11
Office of I
Record
Classification Records Description
OR
Retention I Disposition
Comments ! Reference
File Number
I 1
- Destroy
Image:

Active
Inactive
Total
I
Media
Paper
1=Import
(OFR)
(in office)
(Off -site,
Retention
Vital?
Options
after
M=Mfr i
OD or Mfr)
Imaged &
S=Scan
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests and/or investi ations suspend normal retention periods retention resumes after settlement).

Utilities /
Sanitary Surveys of Drinking
-040
2 years
8 years
10 years
Mag, Mfr,
Yes: After'
S ! I 22 CCR §64470
Wastewater
Water Systems
OD, Ppr
QC
Utilities /
UT-042 Sewer Line Maintenance (reports,
y 10 ears
Life of the
-
' Mfr, I,
Mag
_-
S ! I Yes: After Department Preference; GC
Life of the
Wastewater
records, work orders)
Sewer
Sewer
OD, Ppr
Q_ C §34090
Sewer System Management Plan
Department preference; SSOs
Utilities I
(SSMP) and Audits I Sanitary
are required for a minimum of 5
Wastewater
UT-098 (Spills Overflow Prevention Plan
5 years
5 years
Mag, Ppr
years; 40 CFR 122.410)(2);
and Sanitary Sewer
� SWRCB Order 2006-03; GC
�(SSOPP)
Overflow Response Plan
§34090
Department preference; POTW
Utilities /
UT-113 Source Control ! Grease Disposal
Expiration +
Expiration +
Ma P r
g' p
reports are required for 3 years;
Wastewater
Permits
3 years
3 years
140 CFR §§122.21, 122.41-1 40
CFR 403.12; GC §34090
Source Control ! Pretreatment
Department preference; POTW
Utilities /
Wastewater
UT-099 Annual / Semi -Annual Reports !
3 years
3 years
Mag, Ppr
reports are required for 3 years;
�40 CFR §§122.21, 122.41; 40
FOG (Fats, Oil & Grease)
CFR 403.12; GC §34090
Life of
Utilities / UT-043 Station Maintenance Logs ! Job i Life of Mag, Ppr
Department Preference; GC
Wastewater
_ Logs (Pumps, Well Logs, etc.)
Station_
Station
_
§34090
When
Utilities / Video Inspection Reports / Video
Wastewater When
Department Preference; GC
or Public
UT-044 or Digital Recordings - Regular
Superseded
Superseded
Mag Ppr
§34090 et seq.

Works
Inspections
Utilities 1
Video Inspection Reports /Video
When No
Transitory record; not part of
When No
Wastewater
UT-045 Tapes or Digital Recordings - Spot
Longer
Longer
Mag
overall program administered by
or Public I
Checks I Inspections
Required
Required
PW Administration; GC §34090
Works
et seq.

Utilities / Waste Discharge Requirements
jMonitoring records required for 3
Wastewater
UT-091 Permit Fee
3 years
3 years
Mag, Ppr
!years; 40 CFR §§122.21, 122.41,
122.44
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-148

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-12
Office of
Classification
Record
OR
Records Description
Retention I Disposition
Comments I Reference
File Number
Destroy
Inactive
Image:

Paper
(OFR)
Active
Total
(Off -site,
Vital?
Media
I=Import
offer
(in office)
Retention
OD or Mfr)
Options
M=Mfr
Imaged &
S=Scan
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e.g. last document + 2 years), since destruction is non-naily performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records re nests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Wastewater Lateral Dig Out
Department Preference to cover
Utilities 1
UT-046
Agreements (private digging - we
7 years
7 years
Mag, Mfr,
51 I
Yes: After the period of time negative
Wastewater
have billing records)
OD, Ppr
QC information remains on consumer
credit ratings; GC §34090
WATER
Department preference; State
Utilities 1
Water
OT-047
Annual Water Quality Report
(Consumer Confidence Report) 1
Public Water System Statistics
10 years
P
P
Mag, Mfr,
OD, Ppr
S 1 I
Yes: After law requires 12 years, federal 10
QC years; 40 CFR 141.33(a); 22
CCR §64470; 22 CCR §64483;
_
GC §34090
Utilities 1
UT-048
AOMD Permits
5 years
5 years
Yes: Until
MagMfr,
, ,
5 1 I
Yes After
40 CFR 70.6; GC §34090
Water
_
Completion
OD, Ppr
Expiration
!Department Preference; Meets
Utilities /
UT-049
Backflow Inspections/Approvals
5 years
5 years
Ppr
California Department of Health
Water
requirements (3 years); GC
§34090; 17 CCR 7605
12 years
Utilities 1 Calibration Records (Lab
UT-050
2 years 10 years
Mag, Mfr,
S 1 I
Yes: After Consistent with Chemical
Water
Equipment)
OD, Ppr
QC Reports; 40 CFR 141.33(a)
10 years
Chains of Custody / Water
Utilities ! UT-075
2 years 8 years
Mag, Mfr,
S / 1
Yes: After 40 CFR 141.33(a); 22 CCR
Water
Analysis & Sampling: Chemical
_O_ D_, Ppr
QC §64470
Lead and Copper are required for
Chains of Custody 1 Water
12 years or 2 compliance cycles
Utilities 1
_
UT-076
Analysis &Sampling: Lead &
2 years
10 Vears
12 years
Mag, Mfr,
S I I
Yes: After (some compliance cycles are
p y
Water
Copper
OD, Ppr
QC nine years); 22 CCR 64401
r22 CCR §64470, 40 CFR
141.33(a); 40 CFR 141.91
CITY OF NEWPORT BEACH, CA. 002003-06 Gi Governmental Services. Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adapted 3/16/2022
3-149

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-13
Office of
Record
Classification i Records Description
OR
Retention ! Disposition
Comments 1 Reference
File Number
Image:

Destroy
Inactive
Active
Total
Media
I=Import
Paper
(OFR)
(in office) (Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan Imaged &
Wamin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). 130 years if employer qualifies as
Utilities /
Chemical Use Report Form /
Mag, Mfr,
hazardous material exposure &
Yes: After
Water
UT-051
Material Safety Data Sheet
2 years 28 years
30 years
OD, Ppr
S
required to file MSDS; reports are
QC
(MSDS) / Safety Data Sheet (SDS)
mailed to the County; 8 Cal.

Code Reg. 3204(d)(1)(A)
2 years
Lead Dept. UT-109 Confined Space Entries 2 years
Mag, Ppr
18 CCR 5157(d)(14) & (e)(6); 29
CFR 1910.146(e)(6); GC §34090
Public Works
UT-053
Construction Meters / Logs
Expiration +
Mag, Ppr
,GC 34090
§
Expiration +
(temporary) -
2 years
2 ears
Department Preference; Records
of actions taken to correct
Utilities /
UT-054
Correspondence with Regulatory
25 years P
P
Mag, Ppr
violations are required for 3
Water
Agencies
years; Reports are required for
10 years GC §34090 40 CFR
141.33(b, c)
- -
Utilities /
UT-055 Cross Samples
Mag, Mfr,
Department Preference to cover
Yes: After'
Water
-Connection
12 years
12 years
OD, Ppr
S / I
QC Lead and Copper retention
requirements; 40 CFR 122.91
Customer Concerns /Customer
5 years is required in State and
Utilities /
UT-092
Complaints / Reports: Odor / Taste'
5 years
5 years
Mag, Ppr
Federal law for any complaints,
Water
/ Visual Complaints - Drinking
140 CFR 122.410)(2) & 40 CFR
Water
.141.33(b); 22 CCR 64470
Life of
Equipment
Utilities /
Water
UT-056
Equipment Binders
Life of
Equipment
Mag, Mfr,
OD, Ppr
S
-S
No .Administrative value; GC §34090
P
Utilities / E ui ment Repair Orders
UT-057 Equipment
P
I
Ma Mfr,
/ I
: A -- -
Yes: After ,Administrative Value; GC §34090
Water
includes pumps, -etc.) -
�Gennerator
OD. Ppr_
Operation Logs &
Lead Dept.
p
UT-1
Inspections - Fixed l Stationary3
y ears
3 ears
y
Mag, Ppr
g p
AQMD Rule 1470; GC §34090
Generators
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-150

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-14'
Office of
Record
j Classification I Records Description
OR
Retention l Disposition
Comments I Reference
File Number
_
Image:

Destroy
Active Inactive
Total
Media
1=Import
Paper
(OFR)
(in office) (Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged & :

Warnings! if the record is not listed here, refer to the Retention for City- Wide Standards Retentions begin when the act is completed, and imply a full Me folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records re nests, and/or investi ations suspend normal retention periods retention resumes after settlement). !Generator Operation Logs &
IAQMD Rule 1470; Form
Lead Dept.

UT-111
Inspections - Portable l
5 years
5 years
Mag, Ppr
I400-E-13a instructions, GC
Emergency Generators
§34090
Utilities 1 Hydrant and Valve Maintenance,
Transitory records (source
Water
UT-058
Hydrant Flush (Route Forms)
1 year
1 year
Mag, Ppr
records entered into the
database); GC §34090
3 ears
Utilities / Job Log Books (Operator's daily
UT-059 3 ears
Mag, Mfr,
S / I
Yes: After ,Consistent with work orders; GC
Water
logs)_ I
--
OD, Ppr
QC 11§34090
Utilities 1
UT-060
Manuals - Operation and
Maintenance for various
--
Life of
Life of
-
Mag Mfr,
S
No 'Administrative value; GC §34090
Water
equipment
Equipment
Equipment
OD, Ppr
Utilities 1
I
UT-061
Meter History (Meter Service
Life of the
Mag, OD,
S / I
Yes: After Department Preference; GC
Life of the
Water
Cards)
Meter
Meter
Mfr, Ppr,
QC §34090
P
Utilities 1
UT-062 Meter Sets &Installs P
Mag, OD,
S / I
Yes: After Department Preference; GC
Water
Mfr, Ppr
QC §34090
5 years
Utilities 1 UT-063 Monthly Water Production Reports 2 years 3 years Water
Mag, Ppr
Consistent with other auditing
standards; GC §34090
j Covers statute of limitations for
Utilities /
UT-064
Permits: Natural Gas, Propane,
Expiration +
Expiration +
Yes: Until MagPpr
p
!contracts (4 years); Statewide
Water
etc.
4 years
4 years
Completion '
guidelines propose Permanent;
CCP § 337 et. Seq.; GC § 34090
CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-151

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-15
Office of
Classification Records Description
Retention 1 Disposition
Comments / Reference
Record
OR
File Number
Image: Destroy
.

Active
Inactive
Total Media
Paper
1=Import
OFR
( )
(in office)
Off -site,
Retention Vital? Options
M=Mfr after
OD or Mfr)
S=Scan Imaged &
Warnin s! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder e. q last document + 2 years), since destruction is normally performed by file folder.

HOLDS: Litigation, claims, com taints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). !Some grant funding agencies
require audits; Statute of
10 years or
Completion
Limitations for Errors &
Project Files: Administration
After
+ 10 years
Omissions is 10 years; Published
Files (CIP and Maintenance
Funding
or After
Audit Standards=4-7 years;
Public Works
projects): Project Administration,
Upon
Agency
Funding
Yes: Until Mag, Mfr, �
Yes: After
Statute of Limitations: Contracts
or Utilities /
UT-066 Project Schedules, Meeting
Completion
Audit, if
Agency
Completed OD, Ppr
S
QC
& Spec's=4 years, Wrongful
Water
Minutes, Certified Payrolls,
required,
Audit, if
Death=comp. + 5 years,
Invoices, Relocation Assistance,
whichever is
required,
Developers=comp. + 10 years:
etc.
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
§34090
Project Files: CIP Projects -
Permanent File: Plans,
Specifications, Materials Testing
Department Preference;
Public Works'
Reports, Notice of Completion,
UT-065 Project Study Reports, Record
Upon
P
P
Yes: Until Mag, Mfr,
Yes: After
S
Retained for disaster
Drawings ("As Builts"), Regulatory
Completion
Completed OD, Ppr
QC
preparedness purposes; GC
Agency Approvals, Soils Reports,
§34090.7
Structural Calculations, Surveys,
etc.

CITY OF NEWPORT BEACH, CA. 02003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-152

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-16
Office of
Classification I
Records Description
Retention 1 Disposition
Comments / Reference
Record
OR
File Number
Image: Destroy
Active
Inactive
Total
Media
I=Import Paper
(OFR)
(in office)
(Off -site
OD or Mfr)
Retention
Vital?
Options
after
M=Mfr Imaged &
S=Scan
Warnings! If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal!y performed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement). iSome grant funding agencies
'require audits; Statute of
10 years or
Completion
I
;Limitations for Errors &
After
+ 10 years
Omissions is 10 years; Published
Funding
or After
Audit Standards=4-7 years;
Utilities !
Project Files: Utilities
Upon
Agency
Funding
Yes: Until Mag, Mfr,
Statute of Limitations: Contracts
Yes: After
Water
UT-067
Maintenance Projects
Completion
Audit, if
Agency
Completed OD, Ppr
S OC !& Spec's=4 years, Wrongful
required,
Audit, if
iDeath=comp. + 5 years,
whichever is
required,
Developers=comp. + 10 years;
longer
whichever is
Statewide guidelines propose
longer
termination + 5 years; CCP
§§336(a), 337 et. seq., GC
5 ears
Y
Utilities ! Report. MWDOC 5 Year
UT-093 5 ears
Y
Ma P r
9, P 1
(Department preference; GC
Water
Pro ection
1 4
§34090
Reports to Orange County Water
Utilities !
!Department preference; GC
Water
UT-094
District: Groundwater Pumping &
5 years
5 years
Mag, Ppr
§34090
Billing, Annexation C95ee, etc.
_
5 years
Utilities I IReports to SCAQMD (operation of
UT-095 5 years
Mag, Ppr
( (Department preference; GC
Water
fixed generators, etc.)
1§34090
P
Utilities / Reservoirs: Reports, Inspections,
UT-097 10 years P
Mag, Mfr,
Yes: After Department preference, GC
S / I
Water
etc.

OD, Ppr
QC §34090
Utilities /
UT-068
Routes (Reading, etc.)
When
Mag, Ppr
;Transitory Records, GC§34090
When
Water
Superseded
Superseded
!et seq.

Indefinite
Utilities !
UT-069 Service Request Database Indefinite
Yes Mag
:Records are interrelated; GC
Water
_ §34090
Life of
Utilities ! UT-070 Station Maintenance Logs ! Job Life of Ma P r
g' P
Department Preference; GC
Water
Logs (Pumps, Well Logs, etc.)
Station
Station
34090
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-153

Ver. 26.0 RECORDS RETENTION SCHEDULE - UTILITIES
Page U-17
Office of
Record
Classification
OR
Records Description
Retention t Disposition
Comments t Reference
File Number
Image:

Destroy
Active Inactive
Total
Media
1=Import j
Paper
(OFR)
(in office) (Off -site,
Retention
Vital? Options
M=Mfr
after
OD or Mfr)
S=Scan
Imaged &
Wamin sl If the record is not listed here, refer to the Retention for City -Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally erformed by file folder.

HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investi ations suspend normal retention periods retention resumes after settlement).

Utilities !
UT-071
System Chlorination & Fluoridation
2 Mag, Mfr,
Yes: After State law requires 12 years,
Water
years 10 years
12 years
OD, Ppr
S / I
QC Federal 10 years; 40 CFR
_ 141.33(a)
Indefinite
Utilities / UT-072 Valve Turning Data Indefinite
Mag
Records are interrelated; GC
Water
1 §34090
Vulnerability Assessment /
Utilities /
UT-077
Emergency Response Plan I Risk
Superseded
Ma Ppr
g' p
Highly Confidential; 42 USC 300i-
Water
& Resiliency Assessment / Hazard
+ 5 years
2(de), GC §34090
_
Mitigation Plan
Utilities / Water Districts (outside agencies) When No
j
_
Non -Records used for
Water
UT-073
/ Projects outside City Boundaries
Longer
H5e
Mag, Ppr
administrative purposes; GC
-
Required -
§34090
Department Preference; Actual
laboratory reports may be kept,
Utilities /
UT-074
Water Reports, Sampling &
Testing: Bacteriological &
2 Mag, Mfr,
or data may be transferred to
Yes: After
Water
years 3 years
OD, Ppr
S ! I
tabular summaries; State law
QC
Organics
requires 5 years-, 40 CFR
141.33(a) and (b)(1); 22 CCR
§64470
CITY OF NEWPORT BEACH, CA. ©2003-06 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior permission from GGS (909) 337-3516 Revision Adopted: 3/16/2022
3-154

Newport Beach City CouncilApril 11, 2023

Newport Beach City Council
April 11, 2023